Jianbin Luo

Yonggang Meng
Tianmin Shao
Qian Zhao

Advanced Tribology

Proceedings of CIST2008 & ITS-IFToMM2008

Jianbin Luo
Yonggang Meng
Tianmin Shao
Qian Zhao

Advanced Tribology
Proceedings of CIST2008 & ITS-IFToMM2008

With 1609 figures

Editors
Prof. Jianbin Luo Prof. Yonggang Meng
State Key Laboratory of Tribology Tsinghua University State Key Laboratory of Tribology Tsinghua University
100084, Beijing, China 100084, Beijing, China
E-mail: luojb@tsinghua.edu.cn E-mail: mengyg@pim.tsinghua.edu.cn

Prof. Tianmin Shao Dr. Qian Zhao

State Key Laboratory of Tribology Tsinghua University State Key Laboratory of Tribology Tsinghua University
100084, Beijing, China 100084, Beijing, China
E-mail: shaotm@tsinghua.edu.cn E-mail: zhaoqian@tsinghua.edu.cn

ISBN 978-7-302-20422-0
Tsinghua University Press, Beijing

ISBN 978-3-642-03652-1 e-ISBN 978-3-642-03653-8

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 Content

Advanced Tribology
̣Proceedings of CIST2008 &
ITS-IFToMM2008

Edited by:
Jianbin LUO, Yonggang MENG,
Tianmin SHAO, Qian ZHAO

State Key Laboratory of Tribology,

Tsinghua University, Beijing, China

Tsinghua University Press Springer

1
 Preface

Preface
The 5th China International Symposium on Tribology (CIST 2008), conjugated with the 1st International
Tribology Symposium of IFToMM (ITS - IFToMM 2008), was held from September 24 to 27, 2008 in Beijing,
China. The symposium was jointly organized by the State Key Laboratory of Tribology (Tsinghua University), the
State Key Laboratory of Solid Lubrication (Lanzhou Institute of Chemical Physics, Chinese Academy of
Sciences), and the Tribology Institution of Chinese Mechanical Engineering Society. Increasing activities in the
area of tribology of academia and industry in recent years were discussed during the symposium. Overall, a total of
463 abstracts were accepted for presentation and 378 participants took part in 41 oral sessions or in the poster area.

We gratefully acknowledge the financial support for the symposium from the National Natural Science
Foundation of China, International Federation for the Promotion of Mechanism and Machine Science (IFToMM),
STLE (USA), the State Key Laboratory of Solid Lubrication, Lanzhou Institute of Chemical Physics (China),
China University of Mining and Technology, SAE Magnetics (H.K.) Ltd. (Hongkong, China), NSK Ltd. (Japan),
ETT (Eureka Think Tank) (Japan) and Quaker Chemical (China) Co. Ltd. (USA).

The symposium brought tribologists together from industry to academia all over the world for the purpose of
sharing their research information and viewpoints. The topics of the symposium included:

Subjects Organizers
Prof. Yuanzhong Hu (China)
Lubrication
Prof. Jane Wang (USA)
Prof. Zhongrong Zhou (China)
Friction and wear
Prof. Valentin L. Popov (Germany)
Prof. Yonggang Meng (China)
Micro/Nano-tribology
Prof. Dae-Eun Kim (R. Korea)
Prof. Tianmin Shao (China)
Tribology of coatings, surface and interface
Prof. A. Erdemir (USA)
Prof. Shirong Ge (China)
Biotribology
Prof. Zhongming Jin (UK)
Prof. Weimin Liu (China)
Tribo-chemistry
Prof. S. Mori (Japan)
Prof. Xinchun Lu (China)
Industry tribology
Prof. Yongzheng Zhang (China)

We would like to thank all the organizers of the above subjects and the session chairs in the symposium. We
also would like to express our great gratitude to Profs. Siwei Zhang, Qunji Xue, Jianbin Luo, Hugh Spikes, and
Stven Granick, for their excellent plenary talks, to Profs. Y. Kimura, S. M. Hsu, W. M. Liu, Y. G. Meng, A.
Erdemir, and A.G. Wang, for their keynote speeches, to all of the invited presenters and all the participants in the
symposium.

In the social programme on Sep. 27, 2008, some participants took a short tour of the Beijing city, which just
successfully hosted the 29th Olympic Games and the Paralympics in August and September of 2008. Although the

I
 Preface

games ended in a splendor of fireworks a few days before the symposium, many participants met the joy, the
warm, and the passion of Beijing in their journey. In the afternoon of Sep. 26, more than 100 participants visited
the State Key Laboratory of Tribology (SKLT), Tsinghua University, as the first state key laboratory in the field of
tribology in China and was established in 1988. Now there are more than 20 full-time staffs, about 20 part-time
research assistants, and 70 postgraduate students working on tribology in the laboratory.

The success of the symposium depends heavily on the colleagues and students in SKLT, and many friends
who played a role in organization. We would like to thank Profs. Yonggang Meng, Tianmin Shao, Hui Wang,
Xinchun Lu, Drs. Xiangjun Zhang, Yu Tian, Qian Zhao, Chenhui Zhang, Haosheng Chen, Jiadao Wang, Dan Guo,
Tianbao Ma, and Ms. Yuhua Qi, Ms. Xiaochen Chen, as well as Dr. Aiyang Zhang, Dr. Jingyun Fan, for their great
contribution to the symposium. We would also like to thank our student volunteers for their excellent works.

We now look forward to the 6th China International Symposium on Tribology to be held in 2011 in Lanzhou,
China.

Shizhu Wen

Jianbin Luo

State Key Laboratory of Tribology

Tsinghua University, Beijing 100084, China

II
 Content

Content
Plenary Lectures
Current Industrial Activities of Tribology in China ........................................................................................... Siwei Zhang 3
The Fullerene-Like Nanostructure Hydrogenated Carbon Films with Super-Low Friction .... Qunji Xue, Junyan Zhang 4
Tribology in Nanomanufacturing—Interaction between Nanoparticles and a Solid Surface .......... J. B. Luo, D. Guo 5
Tribology at Small Scales .....................................................................................................................................Steve Granick 11
Frontiers of Research in Liquid Lubrication ................................................................................................. Hugh A. Spikes 12

Keynote Talks
EHL with Grease at Low Speeds ..............................................................Yoshitsugu Kimura, Toshiaki Endo, Daming Dong 15
The Nature of Adhesion and Friction .............................................................................................................Stephen M. Hsu 20
Space Tribology of China ........................................................................................................................................ Weimin Liu 21
Active Control of Sliding Friction ...................................................................................................Yonggang Meng, Yu Tian 22
Superhard and Low Friction Nanocomposite Coatings: Design, Synthesis, and Applications
.............................................................................................A. Erdemir, O. L. Eryilmaz, M. Urgen, K. Kazmanli, V. Ezirmik 23
Tribology of Metal-on-Metal Bearings at High Inclination Angles
............................................................................................................ Reginald Lee, Aaron Essner, Aiguo Wang, Shirong Ge 24

Technical Sessions
ĉ. Lubrication
Key Factors to Induce Cavitation-Erosion (Invited) .................................... Darong Chen, Jiadao Wang, Haosheng Chen 31
Mechanical and Tribological Properties of TiC-Reinforced HSS-Based Composites with an Interpenetrating
Network for High Temperature Self-Lubrication Applications ...................................... Yanjun Wang, Zuomin Liu 32
Friction and Wear Characteristics of Advanced Space Lubricants (Invited)
................................................................................................Nobuyoshi Ohno, Sobahan Mia, Shigeki Morita, Shingo Obara 38
Lubrication Analysis of Journal Bearing and Rotor System Using CFD and FSI Techniques
................................................................................................................... Huiping Liu, Hua Xu, Peter Ellison, Zhongmin Jin 40
Oil Film Behavior under Minute Vibrating Conditions in EHL Point Contacts
........................................................................................................................Chen Feng, Taisuke Maruyama, Tsuyoshi Saito 42
Different Loading and Motion Applied on Hip Simulators Affects the Lubrication of
Metal-on-Metal Hip Implants...................................................Leiming Gao, Fengcai Wang, Peiran Yang, Zhongmin Jin 44
EHD Lubrication of Different Types of Gears ............................................................................................... Vilmos Simon 46
The Role of Heat Partition in Elastohydrodynamic Lubrication (Invited)
.......................................................................................................................H. P. Evans, A. Clarke, K.J. Sharif, R.W. Snidle 48
Influence of Surface Roughness on Elastohydrodynamic Journal Bearings with Non-Newtonian Lubricants
................................................................................................................ Chatchai Aiumpornsin, Mongkol Mongkolwongrojn 50
Theoretical Investigation of Journal Bearings with Non-Newtonian Fluids Included Thermal Effects
................................................................................................................ Mongkol Mongkolwongrojn, Chatchai Aiumpornsin 52
Magnetic Fluid Based Squeeze Film Behavior between Transversely Rough Curved Plates
...........................................................................................................G.M.Deheri, Rakesh M. Patel, Nikhilkumar D. Abhangi 54

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Engine Lubrication System Analysis and Oil Pump Design Optimization..............................................Quanbao Zhou 56
Temperature-Dependent Rheology and Tribology of Lubrication Greases Investigated with New Flexible
Platform for Tribological Measurements on a Rheometer ............................................... Jörg Läuger, Patrick Heyer 61
Study on Characteristic Parameters of Wear Particle Boundary ...................................................Guobin Li, Delin Guan 64
Viscosity Variation Model and Its Application in Micro/Nano-Scale Clearance
.............................................................................................................................Dong Chun-liu, Zhang Chao-hui, Wang Yan 70
Numerical Solving Method for the Structural Stiffness of Gas Foil Bearings.........Geng Haipeng, Qi Shemiao, Yu Lie 75
Biotribological Properties of Natural Swine Joint Cartilage ...................................................Cui Tao, Xiong Dangsheng 81
Effect of Surface Texturing on Lubrication Film Formation within Non-Conformal Contacts
.....................................................................................I. Kupka, M. Hartl, R. Polišuk, M. Vaverka, M. Vrbka, O. Šamánek 84
Experimental Investigation of Time-Dependent Oil Film Pressure in a Dynamically Loaded Journal Bearing
.............................................................................................................................Sun Meili, Xia Chengyong, Wang Xiangang 86
Experimental Research and Numerical Simulation of LY12 and HPb62-2 Ring Compression
......................................................................................................................Bin Guo, Feng Gong, Chunju Wang, Debin Shan 94
Application of Metal Self-Repairing Additives on Cylinder-Piston Ring Rubbing Pairs
....................................................................................... Lei Wang, X. C. Zhou, Q. Q. Li, C. Q. Yuan, X. P. Yan, Y. H. Chen 98
Wettability Study of Multiply-Alkylated Cyclopentanes (MACs) on Silicon Substrates ..... Ying Wang, Mingwu Bai 102
Numerical Analysis on Hydrodynamics of Circular Translational Polishing under Mixed Lubrication
...................................................................................................................................................................... W. Zhai, P. Feng 104
Micro-Tribological Analysis of POM-MoS2-Compounds ......................................... R. Stengler, S. Schraube, X. G. Hu 109
On Lubrication Characteristics of Dual Tori Double-Enveloping Toroidal Worm Drive
................................................................................................... Yaping Zhao, Wenjun Wei, Xuezhu Dong, Jiancheng Zhou 110
Thermoelastohydrodynamic Lubrication Analysis of Crankshaft Bearing Considering Crankshaft
Deformation under Load .......................................................................................... Jun Sun, Jianglin Liu, Changlin Gui 112
Transient Behavior of Elasto-Metal-Plastic Journal Bearing during the Stage of Stop
................................................................................................................................ Jian Jin, Guoxian Zhang, Xiaojing Wang 116
Analyses on the Splashing Parameters of High-Speed Oil Impacted a Wall in Jet Lubrications
.................................................................................................................. Le Gu, Zhenghuan Ye, Liqin Wang, Dezhi Zheng 120
Interferometry Measurement of Spinning Effect on Sliding EHL ........................................... F. Guo, X. M. Li, B. Fan 122
Effect of Wide Dimples on Planar Contact Lubrication ..... Jiadao Wang, Zhongling Han, Haosheng Chen, Darong Chen 125
Friction Properties and Microstructure of Al-Cu-Fe Nano Films ........................ Zhou Xi-ying, Liu Yan-hui, Xu Zhou 127
Tribological Properties of Ti6Al4V Alloy by FOTS Self-Assembled Monolayers Modification Treatment
............................................................................................................................................... Sun Changguo, Zhang Huichen 130
Influence of Spinning Effect on the Rolling EHL Films ............................................................ X. M. Li, F. Guo, B. Fan 134
A Study on Lubrication Characteristics between Piston Ring and Cylinder Bore of Bent-Axis Type Piston Pump
............................................................Jae-Youn Jung, Ihn-Sung Cho, Il-Hyun Beak, Hyun-Il Shin, Jae-Cheon Jo, Lu Hong 136
The Fabrication and Lubricant Performance of MoS2 Nanotubes Arrays .......................Caihong Sun, Changsheng Li 140
The Research on the Lubricant Aging under Durability Test of the Porous Sliding Bearings
.................................................................................................................. Giemza Boleslaw, Kaldonski Tadeusz, Krol Artur 142
Models for Predicting Friction Coefficient and Parameters with Influence in Elastohydrodynamic Lubrication
................................................. P. Lafont Morgado, J. Echávarri Otero, J. B. Sánchez-Peñuela Lejarraga, J. L. Muñoz Sanz,
A. Díaz Lantada, J. M. Muñoz-Guijosa, H. Lorenzo Yustos, P. Leal Wiña 144
Elastohydrodynamic Film Thickness in Elliptical Contacts with Rolling and Spinning ........................ Tae-Jo Park 146
Experimental Study on the Tribological Properties of Pure Powder Lubrication under Plane Contact
......................................................................................................................Wang Wei, Liu Xiaojun, Liu Kun, Li Hongxian 151

IV
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Hydrodynamic Analysis and Experiment Verification of the High-Pressure Small-Flow Centrifugal Pump
................................................................................................................................ Li Bao-liang, Jiang Qin-Yu, Pan Xing-he 153
Effect of Liquid Surface Tension and Viscosity on Micro-Bubble Induced by External Electric Field
.......................................................................................................................................................... Xie Guoxin, Luo Jianbin 155
Study of Water Lubrication in Sliding Point Contact Friction Pairs with Hydrophobic Surfaces
............................................................................................................ Zhizuo Ma, Chenhui Zhang, Shuhai Liu, Wenshi Zhu 157
A Simplified Numerical Elastic-Plastic Contact Model for Rough Surfaces
............................................................................................. Zhanjiang Wang, Wenzhong Wang, Yuanzhong Hu, Hui Wang 159
Film Characteristics of Grease in Point Contact under Micro-Swaying Motion
.............................................................................................Li Gang, Zhang Chenhui, Luo Jianbin, Liu Shuhai, Lu Xinchun 167
Effects of Solid Body Temperature on the Non-Newtonian Thermal EHL Behavior in Point Contacts (Invited)
....................................................................................................................................................... Xiaoling Liu, Peiran Yang 169
Numerical Analysis on Dynamic Characteristics of Flying Magnetic Head with Ultra Thin Spacing
...................................................................................................................................................... Yao Hua-ping, Huang Ping 171
The Analysis of Higher Guide Bearing Pad Temperature and Its Fault Diagnosis
........................................................................................................................... Mei Gui, Gao Zhi, Liu Ying, Liu Xiangfeng 175
Pitting Life Prediction Based on a 3-D Line Contact Mixed EHL Analysis and Subsurface von Mises Stress
Calculation (Invited) ................................................................................................Dong Zhu, Ning Ren, Q. Jane Wang 178
Numerical Lubrication Simulation of Metal-on-Metal Hip Joints: Ball-in-Socket Model and Ball-on-Plane Model
.......................................................................Wenzhong Wang, Fengcai Wang, Zhongmin Jin, D. Dowson, Yuanzhong Hu 180
Deterministic Simulation of Surfaces in Conformal-Contact Lubrication (Invited)
.....................................................................................................Shangwu Xiong, Chih Lin, Jane Q. Wang, Yansong Wang 182
Simulation and Experimental Validation of the Effect of Surface Texture on Fluid Film Formation
............................................................................................. Zhang Jinyu, Meng Yonggang, Le Chengning, Hideki OGATA 184
Marangoni Stress and Its Effects on the Flow in an Evaporating Sessile Droplet .............. Xuefeng Xu, Jianbin Luo 186
Film Forming Characteristics of Oil-in-Water Emulsion with Super-Low Oil Concentration
................................................................................................................................... Ma Liran, Luo Jianbin, Zhang Chenhui 188
A Piston Lubrication Model Considering the Coupling between the Piston Secondary Motion and the
System Inertia Variation in an IC Engine ......................... Xiaoxiang Zhang, Zhinan Zhang, Ping Wang, Youbai Xie 191
Analysis of the Combined Effect of the Surface Roughness and Inertia on the Performance of High-Speed
Hydrostatic Thrust Bearing .......................................................... Yang Xuebing, Xiong Wanli, Lü Lang, Hou Zhiquan 197
Study on the Efficiency of the New-Style Reducer with the Green Lubricant
...............................................................................................Hu Junhong, Jin Yingli, Guo Dan, Ding Jinyuan, He Weidong 202
Pressure Dependence of the Limiting Shear Stress Coefficient of Liquid Lubricants ......G. T. Y. Wan, P. L. Wong 206
A Method of Dual Number for the Aerodynamic Property Analysis of Gas-Lubricated Mechanism:
Self-Pressurizing Thrust Bearings and Non-Contacting Face Seals ...............Wanfu Xu, Bin Geng, Chunjing Shi 211
A Model for the Calculation of the Micro-Pores Number of Compressively Molded Polyimide Porous
Materials ................................................................................................. Yuping Pu, Jianmin Chen, Peng Zhao, Qunji Xue 216
Frictional Dynamics in a Two Dimensional Frenkel-Kontorova Model with Square Lattice Symmetry
............................................................................................... Ju-na Wei, Cang-long Wang, Wen-shan Duan, Jian-min Chen 220
Advances in investigation of Elasto-Aerodynamic Lubrication in Compliant Foil Bearings (Invited)
.........................................................................................................................................Lie Yu, Shemiao Qi, Haipeng Geng 225
Normal Stress Effects in Journal Bearing Lubrication with Maxwell Fluid
......................................................................................................... Li Xiaodi, Chen Haosheng, Chen Darong, Wang Jiadao 231

V
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Ċ. Friction and Wear

Analysis of Bearing Outer Ring Creep with FEM .............................. Jianjun Zhan, Kinji Yukawa, Hiromichi Takemura 237
Effect of Content of MoS2 on Sliding Tribological Behavior of Copper-Based Powder Metallurgy Materials
under Electrical Current .......... Shangguan Bao, Zhang Yongzhen, Xing Jiandong, Sun Lemin, Hu Daochun, Qiu Ming 239
Research on Frictional Wear Properties of C/C Composite with Electric Current
...............................................................................................................L. X. Jia, Y. Z. Zhang, J. Li, L. M. Sun, Y. W. Zhao 242
Friction Behavior of C/C-SiC Braking Composites Fabricated by Warm Compacted-in situ Reaction
..................................................................................................................... Zhuan Li, Peng Xiao, Xiang Xiong, Su-hua Zhu 246
Tribological Properties of Hybrid Ag4SiW12O40 Nanoparticles Multilayer Films
..............................................................................................................Yanbao Guo, Deguo Wang, Siwei Zhang, Yuqi Xiao 250
Study on Fatigue Crack Behavior of Rail in Different Curve Radius ..............Wen Zhong, Wenjian Wang, Qiyue Liu 255
Improvement in Wear Resistance of TiNi Alloy Processed by Equal Channel Angular Extrusion and
Annealing Treatment .......................................................................................................................Z. H. Li, X. H. Cheng 257
Self-Healing of a Soft Primer Coating Caused by Plasticization during Sliding against UHMWPE
...............................................................................................................Pieter Samyn, Koenraad Bonny, Gustaaf Schoukens 260
Performance of an Infinitely Long Transversely Rough Hydrodynamic Slider Bearing
....................................................................G. M. Deheri, Chandaniben D. Changela, H. C. Patel, Nikhilkumar D. Abhangi 262
Investigation on Fretting Fatigue Behavior of Ti811 Alloy at Elevated Temperature ...Xiaohua Zhang, Daoxin Liu 264
Dry Sliding Wear Behavior of a Tribological Couple: Spray-Deposited Al-Si/SiCp Composites/Brake Pads
...................................................................................................................................... Teng Jie*, Chen Ding, Chen Zhenhua 268
Wear Behaviors of a Cu-Based Bulk Metallic Glass under Various Gas Atmosphere
........................................................................................................................................ G. Q. Zhang, L. N. Wang, H. Z. Liu 270
A Study of the Correlation between Gear Wear and Vibration ........ Cao Yibo, Xie Xiaopeng, Liu Yan, Ding Tianhuai 273
Study on the Relationship between Microstructural Change in Friction-Induced Deformation Layer and
Friction Behavior of Austenitic Stainless Steel .............................. Xue Zongyu, Zhou Sheng, Wei Xicheng, Li Jian 278
Abrasive Wear Behavior of Several Metallic Materials under Simulated Sand-Dust Environment
...................................................................................................................................................... Chunxia Li, Fengyuan Yan 283
Wear Behavior of Plasma-Nitrided 2Cr13 Martensitic Stainless Steel under Air and Vacuum
............................................................................................Yang Jianqun, Liu Yong, Ye Zhuyu, Yang Dezhuang, He Shiyu 285
Sealing Performance and Wear Mechanism of PTFE Oil Seal....................... Ye Zibo, Huang Xing, Liang Rongguang 287
Fretting Corrosion Wear of Synergy between Mechanical and Electrochemical for Biomaterials in Hanks
Balanced Salt Solution.....................................................................................................................Li Ji-wu, A. Iwabuchi 292
Torsional Fretting Behaviors of UHMWPE against Different Counter-Bodies (Invited)
...................................................................................................................Z. B. Cai, M. H. Zhu, J. Yu, S. X. Qu, Z. R. Zhou 298
An Experimental Study on the Rotational Fretting Wear Behavior of LZ50 Steel
.............................................................................................................................J. L. Mo, M. H. Zhu, Z. J. Liao, Z. R. Zhou 300
Comparative Study of Tribological Properties with Different Fibers Reinforced PTFE/PEEK Composites
at Elevated Temperatures .........Mu Liwen, Feng Xin, Zhu Jiahua, Wang Huaiyuan, Sun Qingjie, Shi Yijun, Lu Xiaohua 302
Research on Friction Characteristic of End Faces of Mechanical Seals ............... L. Wei, B. Q. Gu, X. Feng, J. J. Sun 304
Failure Mechanism of Hadfield Steel Crossing ..... F. C. Zhang, B. Lv, T. S. Wang, C. L. Zheng, Q. Zou, M. Zhang, M. Li 309
Synthesis and Tribological Behavior of Surface Coated Cu Nanoparticles in Liquid Paraffin
............................................................................................Ling Zhang, Lei Chen, Hongqi Wan, Jianmin Chen, Huidi Zhou 311
Tribological Behaviors at High Load of MoS2 Films in Vacuum
.................................................................... Xinxin Ma, Gang Wang, Guangze Tang, Yong Liu, Shiyu He, Dezhuang Yang 313

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Experimental Study on Running-in of Steel Fiction Pair of Block on Disk in Oil with Micro-and-Nano
Diamond Powder .......................................................................................................... X. P. Xie, Z. G. Wang, S. L. Chen 315
Thermomechanical Properties and Tribological Behavior of CaCO3 Whisker Reinforced
Polyetheretherketone Composites ................................................................. Lin Youxi, Gao Chenghui, Chen Minghui 319
Corrosive Fretting Wear Behavior of a Titanium Alloy TC11 in Artificial Seawater
..........................................................................................................................H. Y. Ding, Z. D. Dai, Y. Zhang, G. H. Zhou 322
Investigation on Rolling Contact Fatigue and Wear Properties of Railway Rail
................................................................................................................... Wenjian Wang, Wen Zhong, Jun Guo, Qiyue Liu 327
Superlubricity Characteristics Using Ceramic Composite Mineral Powder as Lubricating Oil Additive
........................................................................................................................ Yuzhou Gao, Wengang Chen, Huichen Zhang 329
On the Wear-Resistance of Zinc-Based Composites Reinforced by Modified Silicon Phase
........................ Zhao Haofeng, Wang Ling, Wang Wei, Tan Xingxuan, Huang Tingli, Xia Zhengjun, Liu Yanling, Liu Bin 333
On the Wear-Resistance of Low-Alloyed Steel Modified by Inoculants
............................................ Wang Ling, Zhao Haofeng, Yan Kai, Liu Bin, Wang Wei, Chen Xi, Qin Qing, Wang Zhigang,
He Jun, Liu Mengyin, Liu Zhigang, Wu Hongyan 336
Research on Worn Mechanism of Disc-Brake Pair Materials for Drilling Rig
.......................................................................................................................X. H. Wang, S. W. Zhang, D. G. Wang, N. Wu 338
Modelling of Self-Lubrication in Frictional Interaction ......................................................................... I. G. Goryacheva 344
An Asperity-Contact Based Oxidation Model for Fretting Wear with the Presence of Debris
..................................................................................................................J. Ding, S. B. Leen, E. J. Williams, P. H. Shipway 346
Rolling Contact Fatigue of Silicon Nitride Balls under Pure Rolling Condition
..............................................................................................Zhou Jing-ling, Chen Xiao-yang, Zhang Pei-zhi, Wu Guo-qing 348
Influence of Different External Pressure on the Thermo-Mechanical Coupling of the Rough Surface
during Sliding Contact ......................................................................................................J. M. Huang, C. H. Gao, Z. Liu 350
Effect of Transverse Surface Topography on Cavitation Erosion.................. Y. Li, Z. Xu, H. Chen, J. Wang, D. Chen 356
The Theory of Debris Group in Ferrographic Analysis ................................ Tonggang Liu, Xiaohang Tang, Zhiyi Yang 361
A Method to Monitor Nonferrous Debris in Ferrographic Analysis .................Liu Tonggang, Liu Shujin, Yang Zhiyi 366
Interaction between Micro-Particales and Bubbles in Cavitation-Erosion of Hydro-Machinery
........................................................................ Wang Jiadao, Chen Haosheng, Xu Yanji, Qin Li, Li Yongjian, Chen Darong 368
Magnetization of Friction Surfaces and Wear Particles under Tribological Processes ..... Alan Hase, Hiroshi Mishina 370
Wear Progress Prediction of Carbide Tool in Turning of AISI1045 by Using FEM
.................................................................................................... Xie L.-J., Schmidt C., Biesinger F., Schmidt J., Pang S.-Q. 372
Friction and Wear Properties of Fe7Mo6-Based Alloy under the Lubrication of Ethyl-Alcohol
.............................................................................................................................. T. Murakami, H. Mano, Y. Hibi, S. Sasaki 376
Seizure of PEEK and Its Composite at High Sliding Velocity in Oil Lubrication ............. T. Akagaki, M. Kawabata 378
Tribological Behavior of Chromium Alloyed Layer Prepared on Surface of TiAl
................................................................Zhiyong He, Xiaofeng Wang, Ying Fan, Zhenxia Wang, Xiaoping Liu, Zhong Xu 384
Wear Characteristics under Boundary Lubrication Contacts in Phosphorated Starch Based
Electrorheological Fluids ....................................... Chul-Hee Lee, Young-Min Han, Jung Woo Sohn , Seung-Bok Choi 386
Abrasive Wear Mechanisms of Multi Component Ferrous Alloys Abraded by Soft, Fine Abrasive
Particles (Invited) ....................................................................................................De Mello, J. D. B., Polycarpou, A. A. 388
The Analyzes of Mutual Influence of Contact Spots in Sliding Contact of a Periodic Surface and
a Viscoelastic Foundation ..................................................................................................................... Lyubicheva A. N. 390
Different Nano-Fillers on the Tribological Properties of PTFE Nanocomposites
............................................................................................................... Huaiyuan Wang, Xin Feng, Liwen Mu, Xiaohua Lu 392

VII
 Content

Study on Surface Passivation Treatment and Tribological Properties of 1Cr18Ni9Ti Stainless Steel in
Hydrogen Peroxide ............... Wang Jihui, Gu Kali, Yuan Chengqing, Sun Xianming, Hu Sheng, Hu Xiaozhong, Li Jian 396
High Speed Tribology: Some Developments on Thermal Behaviors (Invited) ..............Zhang Yongzhen, Qiu Ming 402
Dry Sliding Wear Behavior of Cu-Graphite Composite within a Wide Range of Sliding Velocity
.............................................................................................................................................................. Wenlin Ma, Jinjun Lu 404
Tribological Aspects of Control over Frictional Interaction between Solids in the Presence of Liquid Crystals
...............................................................................................................................................S. F. Ermakov, A.V. Mikelionis 406
Effects of the Concentration of Sodium Lauryl Sulfate Solution and NaCl Additive on the
Potential-Controlled Friction ................................................................................Siqing He, Yonggang Meng, Yu Tian 408
Study of Wear and Corrosion Properties of Coated Ionic Liquid
..... Zhang Xiaohao, Zhang Xiangjun, Liu Yonghe, Mikhail Kosinsky, Imad Ahmed, Stefan Krischok, Juergen A. Schaefer 413
Deformation Behavior of Al-4Cu-2Mg Alloy during Cold Upset Forging
..................................................................J Babu Rao, Syed Kamaluddin, J Appa Rao, M M M Sarcar, N R M R Bhargava 417
Dry Sliding Wear Behavior of Pure Aluminium and Al-Cu Alloys ........ A Narendra Kumar, R Srinivasu, J Babu Rao 422
Tribological Properties of Spark-Plasma-Sintered Al2O3-SrSO4 Self-Lubricating Nanocomposites at Elevated
Temperatures ............................. Yufeng Li, Jiahu Ouyang, Yaming Wang, Yu Zhou, Takashi Murakami, Shinya Sasaki 426
Tribological Behaviors of Some Materials in Sea Water ............................ Jianzhang Wang, Fengyuan Yan, Qunji Xue 430
Nanofretting Wear of Monocrystalline Silicon (100) against Spherical SiO2 Tip in Vacuum
..........................................................................................................Jiaxin Yu, Linmao Qian, Bingjun Yu, Zhongrong Zhou 433
Influence of Surface Finishing Operations on the Reciprocating Sliding Friction and Wear Response of
WC Based Cemented Carbides
..............................................K. Bonny, P. De Baets, W. Ost, S. Huang, J. Vleugels, O. Van der Biest, W. Liu, B. Lauwers 435
Mechanical and Tribological Properties of Titanium Reinforced Polybenzimidazole Composites
...................................................................................................................................Lu Yanhua, Chen Jianmin, Zhou Huida 437
Friction and Wear Behavior of Laser Cladding NiAl/hBN Self-Lubricating Composite Coating
.......................................................... Shitang Zhang, Jiansong Zhou, Baogang Guo, Huidi Zhou, Yuping Pu, Jianmin Chen 442
Research on the Wear-Resisting Material Produced by Vacuum Evaporation Pattern Casting
........................................................................................................ Jianxiu Liu, Yongjun Liu, Minxin Zheng, Xiangke Ning 443
Effect of Surface Topography on Friction and Wear of Cast Iron for Cylinder Liners
............................................................................................................................J. Keller, V. Fridrici, Ph. Kapsa, J. F. Huard 447
Wear Resistance Analysis of Hardening Materials for Engine Cylinder .......Jianmin Sun, Qinghui Zhou, Gequn Shu 449
Effects of Speed Sequence on Friction Properties of Sintered Cu-SiO2
..................................................................................................................... Fei Gao, Rong Fu, Baoyun Song, Yves Berthier 454
The Fluid Dynamic Lubrication between Tooth Surfaces of High Order Contact........................................ L. Huran 457
Study on Friction and Wear Behavior of Glass Fiber and Fly Ash Reinforced MC Nylon Composites
.......................................................................................................................... S. H. Zhang, G. Chen, C. Cui, C. Mi, F. Tian 460
Experimental Study of Ultrasonic Vibration Assisted Chemical Mechanical Polishing for Sapphire Substrate
.....................................................................................Wenhu Xu, Xinchun Lu, Guoshun Pan, Jianbin Luo, Chenhui Zhang 464
Friction and Wear of the Ceramic Coating Formed on Magnesium Alloy
....................................................................................................................Fei Chen, Hai Zhou, Qingfeng Zhang, Fanxiu Lv 467
Thermal-Mechanical Couple Simulation of Solid Brake Disc in Repeated Braking Cycles
........................................................................Pyung Hwang, Xuan Wu, Young-Bae Jeon, Qi-Cheng Peng, Hee-Chang Seo 471
Preliminary Applications of King’s ART Technology in Industry ..................Ling Chen, Yayue Zhao, Yuansheng Jin 473
Wear Properties of Potassium Titanate Whiskers Reinforced ZL109 Alloy Composites
..................................................................................................................................................Wei Zhongshan,Wu Shenqing 475

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Mineralogical Mechanochemical Agent Assisted Reconditioning Effects and Mechanism

on Worn Ferrous Surfaces (Invited) ........................................................................... Jin Yuansheng, Yang Zhongxue 477
Experiment Research on the Friction Performance of O-Ring with Different Oil Swelling Ratios
........................................................................................................................... Fu Suhong, Liu Jinli, Liu Nan, Ma Jingxuan 479
Friction Behaviors of Bushing in Rolling Contact with Shaft and Electroless Ni-PTFE-P or
Ni-Al2O3-P Coating ........................................................................................ Dayong Liu, Yiwu Yan, Kalun Lee, Jie Yu 482

ċ. Micro/Nano-tribology
Nano and Micro Indentation and Scratch Tests of Mechanical Properties of Thin Films
.............................................................................................................Norm V. Gitis, Ilja Hermann, Suresh Kuiry, Jun Xiao 489
Synthesis of Nano-MoS2 Particles and Its Role in the Self-Lubrication of Polyacetal-Based Composite
..............................................................................................................Xianguo Hu, Kunhong Hu, Yufu Xu, Ralph Stengler 491
Analysis of a Three-Body Contacting Model with the Adhesive Effect ...............Jeng-Haur Horng, Chin-Chung Wei 493
Analysis of Three-Body Contacting Model with Scale Effect.................................Chin-Chung Wei, Jeng-Haur Horng 495
Adhesion, Friction and Wear Measurements at Microscale
.............................................................................................N. Myshkin, A. Grigoriev, A. Kovalev, W. Scharff, E. Kovalev 497
Fabrication and Nano-Tribological Behaviors of PDDA/Ag NPs Composite Molecular Deposition Films
..................................................................................Xiao Yu-qi, Wang De-guo, Zhang Si-wei, Guo Yanbao, Gao Mang-lai 499
Frequency Shift of Single Walled Carbon Nanotube under Axial Load
.............................................................Kan Biao, Ding Jianning, Cheng Guanggui, Wang Xiuqin, Fan Zhen, Ling Zhiyong 503
Effect of Heat Treatment on the Nano-Tribological Properties of Ionic Liquid Films
............................................................................................................Wenjie Zhao, Deming Huang, Jibing Pu, Mingwu Bai 505
Analysis on Wafer Tilt Effects in CMP Process ..........................................Chao-hui Zhang, Zi-cheng Wang, Yan Wang 507
Size Effects on Friction of C3602 in Cylinder Compression ..............Bin Guo, Feng Gong, Chunju Wang, Debin Shan 509
Investigation on the Tribological Characteristics of Nano/Micro Solid Anti-Wear Additives
in Engine Lubricants ........................................................ Zhang Kejin, Wang Dan, Pan Yanchun, Lu Yun, Han Zhiyong 511
The Influence of Carbon Nanotubes on the Tribological Behavior and Wear Resistance of a Polyamide
Nanocomposite ......................................................................................... B. May, M. R. Hartwich, R. Stengler, X. G. Hu 515
Experimental Investigation of the Frictional Behaviors at Particle-Surface Interfaces in CMP Application
Using an Atomic Force Microscope .............................................................In-Ha Sung, Hung-Gu Han, Hosung Kong 516
Finite Element Simulation and Analysis of Nano-Scale Adhesive Contacts..................... Liu Yuan, Zhang Xiangjun 518
Nano/Micro-Tribological Properties of Ultrathin Functionalized Imidazolium Ionic Liquid Films
on Silicon Wafer ............................................................................................................................. Yufei Mo, Mingwu Bai 520
Micro Asperity Type Induced in Electrostatic Resistance of MEMS ....... Xuejin Shen, Licheng Hou, Xiaoyang Chen 522
Experimental Analysis and Numerical Simulation of the Recess Slider in Magnetic Recording System
with Ultra-Thin Spacing .....................................................................................Rongjun Niu, Hongbin Liu, Ping Huang 528
Effect of Solvents on Frictional Properties of Monolayer Lubricant Films Coated on Magnetic Disk
Surfaces (Invited).............................................. Hedong Zhang, Yasunaga Mitsuya, Yosuke Fujikawa, Kenji Fukuzawa 531
Fly-Ability and Durability Test of Dynamic Fly Height Heads at 1 nm Clearance
.......................................................................................................Ning Li, David B. Bogy, Lanshi Zheng, Yonggang Meng 533
Cavitation Erosion Characteristics of Titanium Alloy Thin Film Prepared by Ion Beam
Enhanced Deposition ...................................................................................... Zhang Huichen, Gao Yuzhou, Zhou Rixue 536
Measurements of Vertical Elongation and Adhesive Force of Nanometers-Thick Lubricant Films
on Magnetic Disks Using Micro Probe for SPM
........................ Yasuji Ohshima, Hedong Zhang, Yasunaga Mitsuya, Masayuki Watanabe, Takashi Sumi, Kenji Fukuzawa 540

IX
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Experimental Research on Boundary Slip of Confined Liquids at Micro/Nano Scale and Effect of
Shear Rate and Viscosity .................................................... Wang Xin, Zhang Xiangjun, Meng Yonggang, Wen Shizhu 542
Study on Micro-Scale Gas Slider Bearing with Direct Simulation Monte Carlo Method
...............................................................................................................................................Yanrui Zhang, Yonggang Meng 544
Tribological Behaviors of Self-Assembled Dual-Layer Films in Atmosphere and in Vacuum
...........................................................................................Bingjun Yu, Linmao Qian, Jiaxin Yu, Jun Luo, Zhongrong Zhou 546
Research on Fractal Contact Model of Cylinders’ Surface.......................................... Huang Kang, Zhao Han, Chen Qi 548
Friction between Diamond-Like Carbon (DLC) Films—a Molecular Dynamics Study
..................................................................................................................................Tianbao Ma, Yuanzhong Hu, Hui Wang 554
Molecular Dynamics Simulations of Atomic-Scale Friction in Diamond-Silver Sliding System
................................................................................................................................ Pengzhe Zhu, Hui Wang, Yuanzhong Hu 556
Molecular Dynamics Study on Carbon Nanotubes Sandwiched between Si Surface
...........................................................................................................................................Li Rui, Hu Yuanzhong, Wang Hui 558
Tribological Aspects of Nanoimprint Process (Invited) .......................................................................Zygmunt Rymuza 560
Molecular Dynamic Simulation of Effect of Crystallographic Orientation on Nano-Indentation/Scratching
Behaviors of BCC Iron .............. Cheng Lu, Yuan Gao, Guillaume Michal, Hongtao Zhu, Nam N. Huynh, A. Kiet Tieu 562
3D Misorientation of Cantilevers and Its Impact in Friction Force Microscopy
.............................................................................................................................Guillaume Michal, Cheng Lu, A. Kiet Tieu 564
Coupled Simulative Analysis for Drive Characteristic of Micro-Comb Structure..............................D. Guo, Y. Zhu 566
Relating Friction and Processes Development during Chemical-Mechanical Polishing (CMP)
.............................................................................................................................. Filip Ilie, Tiberiu Laurian, Constantin Tita 571
An Irreversible Thermodynamics Theory for Friction and Wear (Invited) ...........................................Zhendong Dai 576
Fabrication and Flying Test of Silicon Sliders .................................................... Jing Lin, Yonggang Meng, Nanhai Song 579
Surface Damages on Silicon Surfaces Created by Large Silica Cluster Impacts:
Molecular Dynamics Simulation....................................................... Ruling Chen, Jianbin Luo, Dan Guo, Xinchun Lu 582
Silicon Oxide Surface Chemistry and Nano-Tribology (Invited) ............................................................Seong H. Kim 584
Dynamic Testing for Evaluation of HDI Robustness
.............................................................................Zhi Sheng Deng, Li Zhi Su, Eric Lap Pang Lam, Eric Cheuk Wing Leung 586
Effect of Wall Roughness on Electroosmotic Flow in Microchannels .................................................Y. Liu, D. Yang 588
Nanopositioning and Nanomeasuring System: Friction and Its Control (Invited) .................................. Yonghe Liu 592

Č. Tribology of Coatings, Surface and Interface

Fundamentals of Friction and Energy Dissipation (Invited) ................................................................... Yuanzhong Hu 597
The Future of Boundary Lubrication by Carbon Coatings and Environmentally Friendly Additives
.......................................................................................... Mi de Barros Bouchet , C Matta , J Michel Martin, L Joly-Pottuz 598
Tribological Behavior of Sputtered Boron Carbon Nitride Coatings and the Influence of Processing Gas
.................................................................................................................... Youming Chen, Shengrong Yang, Junyan Zhang 600
Effect of the Prepared Process on Tribological Properties of Multi-Layer Elastomeric DLC Monolayer
.................................................................................... Ding Jianning, Cheng Guanggui, Kan Biao, Fan Zhen, Ling Zhiyong 602
Tribology Behaviors of in situ Nanoparticles Doped Molecular Deposition Films
................................................................................................................................ Yanbao Guo, Deguo Wang, Siwei Zhang 606
The Friction Property of Hydrogenated Carbon with Fullerene Microstructure after Annealing
........................................................................................................ Qi Wang, Chengbing Wang, Zhou Wang, Junyan Zhang 608
Study of Worn Surface Characterization Based on Singular Entropy........................................Li Guobin, Guan Delin 610

X
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An Adaptive Meshless Model for Asperity Thermal Elasto-Plastic Contacts Considering

Temperature-Dependent Material Properties ......................................................................... Geng Liu, Zheng Zhang 612
Thermal Oxidized Coating on Surface of Titanium Alloy for Improvement of Tribological
Properties in Vacuum............................................................................Yong Liu, Zhuyu Ye, Dezhuang Yang, Shiyu He 614
Study on Friction and Wear Properties in Vacuum for -Ray Irradiated PTFE Coatings
......................................................................................................... Yong Liu, Zhuyu Ye, Xingdong Yuan, Dezhuang Yang 618
Friction and Wear Behaviors of Plasma Sprayed Conventional and Nanostructured WC-12Co
Coatings at Elevated Temperature .............................Bin Yin, Yulong An, Huidi Zhou, Fengyuan Yan, Jianmin Chen 621
Wear Behavior of Chromizing-Titanizing Coating .................................. Lou Baiyang, Jin Lingchuan, Xu Bin, Yu Keer 623
Preparation and Polishing Performances of -Al2O3/ Fe2O3 Composite Particles
..................................................................................................................... Qionglin Yan, Hong Lei, Yi Chen, Yuliang Zhu 625
Effect of Gamma Irradiation on Friction and Wear Behavior of MoS2/Graphite Coatings in Vacuum
............................................................................................Jianqun Yang, Yong Liu, Zhuyu Ye, Dezhuang Yang, Shiyu He 630
Preparation of Silica / Alumina Composite Abrasives and Their CMP Behavior on Hard Disk Substrate
.........................................................................................................................................................Fengling ChuˈHong Lei 633
Friction Properties of Laser Surface Texturing and Molybdenum Alloying Duplex-Treated Ni-Based Alloy
................................................................................................................................................ Jianliang Li, Dangsheng Xiong 636
Erosion Characteristic in Ultrasonic Cavitation Experiment..................................................................Luo Jing, Li Jian 638
Modification Effects of Potassium Titanate Whisker on the Water Absorption and Tribological
Properties of PTFE Composites .................................. Jiahua Zhu, Yijun Shi, Xin Feng, Huaiyuan Wang, Xiaohua Lu 640
Influence of the C+-Implantation Dose on the Wetting and Adhesion Properties of Silicon Sufaces
........................................................................................................................................................ D. G. Wang, D. K. Zhang 642
The Effect of Laser Induced Oxygen-Diffusion Hardening on the Surface Structure and Scratch
Resistance of Commercially Pure Ti .........................Chen Changjun, Zhang Min, Zhang Shichang, Chang Qingming 649
Structure and Tribological Characterization of TiB2/TiBN Multilayer Coatings Deposited by Magnetron
Sputtering................................................................................................................................... W. S. Lin, J. Chen, J. Zhou 651
First Principles Investigation of Water Adsorption on Fe (110) Crystal Surface Containing N
............................................................................................................................W. Zhao, J. D. Wang, F. B. Liu, D. R. Chen 654
Research on Fabrication and Tribological Properties of Ti-Al Intermetallic Compound Lubricate Film
................................................................................................................................ Zhang Ye, Li Changsheng, Tian Mingxia 658
XPS and SEM Analyses of Self-Repairing Film Formed by Mineral Particles as Lubricant Additives on
the Metal Friction Pairs ............................................................................ Wengang Chen, Yuzhou Gao, Huichen Zhang 660
Study on the Characteristics of Transferred Lubricating Thin Films on Ceramic Surfaces Generated in
Liquid Nitrogen .........................................................................................Le Gu, Liqin Wang, Dezhi Zheng, Xiaomei Jia 665
Cr17Ni14Mo3 Powder Laser Cladding on 45Steel Substrate
......................................................................................................Sun Huilai, Zhao Fangfang, Lin Shuzhong, Qi Xiangyang 667
Microstructure and Tribological Properties of Plasma Sprayed NiCr/Cr3C2 and NiCr/Cr3C2-BaF2 ˜ CaF2
Composite Coatings .......................................................................... Chuanbing Huang, Lingzhong Du, Weigang Zhang 669
Friction and Wear Property of Amorphous Carbon Films Prepared by Ion Beam Assisted Deposition
............................................................................................................................Rong Sun, Shuhui Yu, Ruxu Du, Qunji Xue 676
Research on Silicon Content and Structure Relationship of Amorphous Si-DLC Films by Molecular
Dynamics Simulations ......................................................................................................... H. Lan, T. Kumagai, T. Kato 678
Effect of Deposition Parameters on Nano-Mechanical Properties of DLC Films by PECVD........ H. Lan, T. Kato 682
The Effect of Laser Texturing of Steel Surfaces on Film Lubriction Based on Stribeck Curves
..........................................................................................................................Hongbin Liu, Rongjun Niu, Yonggang Meng 685

XI
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Formation and Crystallization Kinetics of Amorphous Alloys.............................................................. N. Li, C. H. Gao 688

Fabrication and Wear Resistance of Ni-CeO2 Nanocomposite Coatings by Electrodeposition under
Ultrasound Condition .................................................................................Yujun Xue, Jishun Li, Wei Ma, Mingde Duan 695
On the Measurement of Slip Length for Liquid on Super-Hydrophobic Surface
.............................................................................................................. Li Jian, Zhou Ming, Cai Lan, Yang Haifeng, Ye Xia 697
Effect of Plasma Surface Niobizing of -TiAl Alloy on Wear Resistance
............................................................................................................... Xiaoping Liu, Bingying Wang, Zhiyong He, Li Cao 699
Tribological Properties and High-Speed Drilling Performance of Zr-C:H:Nx% Coatings with Different
Contents of Nitrogen ........................................................................................................ W. H. Kao, Y. L. Su, S. H. Yao 701
Tribological Behavior of Sputtered CrAlNbN Hard Coatings at Elevated Temperatures
...................................................................................................................................................... G. A. Fontalvo, C. Mitterer 703
The Method of Elastic Coatings Diagnostics from Indentation Data .................. E. Torskaya, S. Chizhik, S. Siroezkin 705
The Effect of Electric Field on Adhesion Force with liquid in MIM Structures
........................................................................Xiong Yi, Zhang Xiangjun, Liu Yonghe, Zhang Xiaohao, Mikhail Kosinskiy 707
Simulation of Friction Composite Behavior Using Heat Treatment
.......................................................................................... Jií Gabryš, Gražyna Simha Martynková, Yafei Lu, Yuxiong Liu 710
In-situ Microtribology with High Local Resolution
.........................................................................Wolfgang P. Weinhold, Eberhard G. Mueller, Ralph Stengler, Michael Stoll 712
Optimization of Energy Efficiency of Transparent Conducting Oxide Thin Films in the Field of Solar
Cells by Microtribological Rating.................. Jing Yu, Volker Sittinger, Wolfgang P. Weinhold, Carsten Diegelmann 716
Contact Analysis of a Spherical Wear Particle between Elastomeric Seal and Coated Steel Surface
....................................................................................... Tae-Jo Park, Hyun-Dong Cho, Yun-Geon Hwang, Hyun-Gi Chung 718
Effect of Particles Size and Morphology of Selected Compounds of Friction Composite on Friction
Performance ...................................................... Karla Barabaszová, Gražyna Simha Martynková, Yuxiong Liu, Yafei Lu 720
New Technique of DLC Coating Obtaining for Tribology Applications
................................................................................. Chekan N. M., Zhuang Yan, Akulich V. V., Akula I. P., Ladutko E. V. 722
Effect of Spraying Parameters on Microstructure and Thermal Stability of Fe-Based Metallic Glass Coatings
................................................................Li Fuping, Li Jinshan, Kou Hongchao, Jiang Chaoping, Xue Xiangyi, Fu Hengzhi 724
Factors Influencing the Fluid-Assisted Surface Cracking under Rolling-Sliding Contact Loading
.................................................................................................................................................... J. Wang, S. Ioannides, J. Lai 726
Microstructure, Phase and Microhardness Distribution of Laser Deposited Ni-Based Amorphous Coating
............................................................ Jiang Chaoping, Li Jinshan, Kou Hongchao, Dai Jiangbo, Xue Xiangyi, Fu Hengzhi 728
Friction Modifiers Optimization of the Ceramic Composites for Automotive Applications
........................................................................... Gražyna Simha Martynková, Karla Barabaszová, Pavla Thorová, Yafei Lu 730
Friction and Wear Behaviors and Rolling Contact Fatigue Life of TiN Film on Bearing Steel by Plasma
Immersion Ion Implantation and Deposition Technique .........Hongxi Liu, Yehua Jiang, Rong Zhou, Baoyin Tang 732
Connectivity Characterization of 3D Surface Topography Based on Mathematical Morphology
.................................................................................................................... Liu Xiaojun, Liu Kun, Wang Wei, Gui Changlin 734
Effect of Microstructure on the Friction Properties of the Electroless Ni-P Deposit
.................................................................................................................................. Y. H. Cheng, Y. Zou, L. Cheng, W. Liu 736
Erosion Behaviors of Elastic Polymer Coatings............................... Zhong Ping, Liao Youwei, Yuan Chengqing, Li Jian 738
Mechanical Properties of the TiAlSiN Coatings by Post Heat Treatments
..................................... Wei-Yu Ho, Chi-Lung Chang, Chih-Wei Chen, Chun-Nane Chen, Li-Wei Shen, Chi-Chun Hwang 742
In-situ Measurements of Surface Temperature Fields on Ring-Block Contact Surface under
Friction Using an Infrared Thermography .............................................................. Tao You, Jianwei Yu, Xiaofen Yu 744

XII
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Research on the Preparation, Characterization and Tribological Properties of Ultra-Thin

Self-Assembled Monolayers on the Magnetic Head Surface ......................................... Hu Xiaoli, Zhang Chenhui 748
Super-Hydrophobic and Self-Lubricating Carbon Coating on Ti3SiC2
.............................................................................................Jian Sui, Yanjie Zhang, Shufang Ren, Monika Rinke, Jinjun Lu 750
Corrosion Protection of Ultra-Thin Diamond-Like Carbon Films on Cuprum
................................................................................................................................ Min Zhong, Chenhui Zhang, Jianbin Luo 752
SEM and AFM Study on Nanoparticles Used as Lubricating Oils Additives........................................ Gu Zhuoming 754
Study on Wear Model for Piston Ring and Strengthened Cylinder Wall of Engine ..........Jianmin Sun, Haiqiao Wei 756
State of the Art in Laser Surface Texturing (Invited) ................................................................................... Izhak Etsion 761
La2O3 Effect on Microstructure, Mechanical and Tribological Properties of Ni-W Coatings
.......................................................................................................................................................... Baolei Han, Xinchun Lu 763
A Comparative Study of Growth Process and Tribological Behavior between Single Component and
Mixed Alkylsilane Self-Assembled Molecular Films ............................X. K. Wang, Y. H. Liu, J. B. Luo, X. C. Lu 765
The Effect of Surface Morphology on the Friction Behavior of HF-CVD Diamond Films
...........................................................................................................................................................Bin Shen,Fanghong Sun 770
Particles Detection and Analysis of Hard Disk Substrate after Post-CMP Cleaning
........................................................................................... Yating Huang, Xinchun Lu, Guoshun Pan, Bill Lee, Jianbin Luo 772
Hard Wear-Resistant Coatings: A Review .................................................................T. Hoornaert, Z. K. Hua, J. H. Zhang 774
The Cavitation Erosion of the Mild Carbon Steels Implanted with Titanium and Nitrogen
............................................................................................ Liu Fengbin, Wang Jiadao, Chen Darong, Xu Yanji, Zhao Ming 780
Research of the Pits Induced by MnS Inclusions at the Incipient Stage of Cavitation Erosion
................................................................................... Jiang Nana, Liu Shihan, Chen Haosheng, Wang Jiadao, Chen Darong 782
The Water Wettability of the Hydrogenated and Oxygenated Diamond Films
................................................................................................................................ Wang Jiadao, Liu Fengbin, Chen Darong 785
Investigation on the Effect of Transverse Grooves on Friction Force
.......................................................................................................Zhou Gang, Wang Jiadao, Chen Haosheng, Chen Darong 787
Research for Forming Mechanism of Benard Coating Shaped Bi-Unit Composite Structure
.................................................................................................Zhaoliang Dou, Jiadao Wang, Haosheng Chen, Darong Chen 791
Microstructure and Mechanical Properties of TiCN Coatings Prepared by MTCVD
............................................................................................................................ Zhengbing Qi, Peng Sun, Zhoucheng Wang 796
Erosion-Wear Behavior and Mechanism of HVAS Coatings ................................................................ Y. H. Han, L. Li 801
Tribological Properties of Textured Ti Coating Prepared by Masked Deposition.......Yuanyue Zhang, Tianmin Shao 804
A Method of Micro Laser Surface Texturing Based on Optical Fiber Focusing
...................................................................................................................................Yiqian Zhou, Tianmin Shao, Liang Yin 806
Application of Laser in Surface Technology—An Overview of the Research Work Performed
in SKLT (Invited) ........................................................................................................................................ Tianmin Shao 807
Influence of Heat Treatment on Hardness, Elastic Modulus and Bonding Strength of Ti/Ta/TiN/TaN
Nanomultilayer Coatings .............................................................................................................H. F. Gong, T. M. Shao 808
Mechanical and Tribological Properties of Titanium Reinforced Polybenzimidazole
................................................................................................................ Yanhua Lu, Jianmin Chen, Haixia Cui, Huidi Zhou 812
Diamond-Like Carbon Thin Films Deposition on Glass Using an Electron Cyclotron Resonance (ECR)
Microwave Chemical Vapor Deposition (CVD) System
................................................................................................. Guangan Zhang, Liping Wang, Pengxun Yan, Junyan Zhang 816

XIII
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č. Biotribology
The Biotribological Behavior Researches on the -Tocopherol Doped and Gamma-Irradiated UHMWPE
..............................................................................................................................................................Ni Zifeng, Ge Shirong 823
The Effects of Protein and pH on the Tribo-Corrosion Performance of Cast CoCrMo —A Combined
Electrochemical and Tribological Study ............................................................D. Sun, J. A. Wharton, R. J. K. Wood 825
Biotribological Properties of Carburized Titanium Alloys ...............Yong Luo, Shirong Ge, Zhongmin Jin, John Fisher 827
Effect of Corrosion and Biofilm on Friction Behavior in Biotribocorrosion System for Metal-on-Metal
Hip Prosthesis ......................................................Yu Yan, Anne Neville, Duncan Dowson, John Fisher, Sophie Williams 829
A Microscopic Model for Pedestrian Slips Caused by Particle Contamination
................................................................................ Hung-Jung Tsai, Hung-Cheng Tsai, Pay-Yau Huang, Chih-Hsiang Liao 831
Elastohydrodynamic Lubrication of Aspherical Metal-on-Metal Artificial Hip Joints
.................................................................. Qingen Meng, Leiming Gao, Feng Liu, Peiran Yang, Fisher John, Zhongmin Jin 833
Long-Term Contact-Coupled Wear Prediction for Total Metal-on-Metal Hip Joint Replacement
...................................................................................... Muhamad Noor Harun, Zhongmin Jin, Fengchai Wang, John Fisher 835
The Molecular Orientation Induced by Multi-Directional Sliding in the UHMWPE Used for the Artificial
Joint Replacements ........Lu Kang, Eric Lewis, Jagan Mohanraj, Tom Brown, David Barton, Zhongmin Jin, John Fisher 837
Radial Displacements in a Thin Semi-Spherical Layer of Biphasic Articular Cartilage for Use in EHL
Models of Natural Hip Joints .................................................................................. A Félix Quiñonez, J Fisher, Z M Jin 839
Investigations of the Sliding Friction Behaviors of Locusts on Slippery Trapping Plate
...................................................................................................................................... Wang Lixin, Zhang Xin, Zhou Qiang 841
Tribology of Sequentially Irradiated and Annealed UHMWPE with and without Impingement
.......................................................................... Aaron Essner, Lizeth Herrera, Reginald Lee, Jason Longaray, Aiguo Wang 843
Study on UHMWPE Carrying Estradiol to Treat the Particle-Induced Osteolysis
....................................................................... Shuxin Qu, Aiqin Liu, Xiaomin Liu, Shengfu Li, Jie Weng, Zhongrong Zhou 845
Friction and Wear Characteristics of UHMWPE Studied by Orthogonal Method
.................................................................................................................................... Wu Gang, Zhao Chunhua, Zhao Xinze 847
Wear Mechanism of Sliding Tracks between Femoral Head and Acetabular Cup of Artificial Joint
......................................................................................................Wang Shibo, Wang Qingliang, Ge Shirong, Zhang Dekun 851
Dynamic Contacting Characteristic of Natural Articular Cartilage under Reciprocating Sliding
....................................................................................................................................................... Qian Shanhua, Ge Shirong 853
Application of Principal Component Analysis and Fuzzy C-Means Clustering Algorithm to
the Classification of UHMWPE Wear Debris from Artificial Joints
.............................................................................................J. P. Wu, X. P. Yan, C. Q. Yuan, X. C. Zhou, Z. Jin, J. L. Tipper 855
Numerical Surface Characterization of Wear Debris from Artificial Joints Using Atomic Force Microscopy
.............................................................................................................................. C. Q. Yuan, X. P. Yan, Z. Jin, J. L. Tipper 857
A Novel Propelling Mechanism Based on Frictional Interaction for Endoscope Robot
............................................................................................................................................... Young-Tae Kim, Dae-Eun Kim 859
Study on the Release of Estradiol form UHMWPE Loading Estradiol Wear Debris in vitro
...............................................................Xiaomin Liu, Aiqin Liu, Shuxin Qu, Xiaohong Li, Linmao Qian, Zhongrong Zhou 861
A New Method to Simulate Wear within the Patellofemoral Joint of TKR
............................................................................................................................P. Ellison, D. C. Barton, Z. M. Jin, J. Fisher 863
Modification and Tribological Study on Implant Polymers of Hip Prosthesis ......................................Maoquan Xue 865
Dynamic Contact Model of Bio-Adhesive Pads of Animals: Simulation Experiments
..........................................................Xiong Yi, Xiangjun Zhang, Imad Ahmed, Michael Kosinsky, Yonghe Liu, J Schaefer 867
Examination of Biolox®delta from Serum Lubricated Reciprocating Sliding Wear ........... L. Ma, W. M. Rainforth 869
Lubrication of Synovial Joints (Invited) ........................................................................................................ Zhongmin Jin 871

XIV
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Ď. Tribo-chemistry
Mechanism and Applications of Chemical and Mechanical Polishing (Invited)
.................................................................................................................................. Xinchun Lu, Guoshun Pan, Jianbin Luo 875
Tribological Performance of Biomass-Oil from Straw Product
............................................................................................................... Xianguo Hu, Qiongjie Wang, Yufu Xu, Xifeng Zhu 876
Extreme Pressure Properties and Mechnism of Bismuth Naphthenate with Sulfur Containing Additives
........................................................................................................ Huanqin Zhu, Jianqiang Hu, Yongguo Zhang, Yiwei Fei 878
Synthesis and Tribology Properties of Stearate Coated Ag Nanoparticles
............................................................................................................... Lei Sun, Xiaojun Tao, Pingyu Zhang, Zhijun Zhang 880
Filtrate Reducer Activity and Antiwear Behavior of Drilling Fluid Doped with an Non-Conventional Additive
.................................................................................. Wei Danping, Geng Zhiyong, Liu Xiaoyu, Yan Lili, Wang Chengbiao 882
Utilization of Industrial and Agricultural Wastes as a Source of Lubricants, Additives and Fuels ....... Wei Danping 884
Effect of Tribochemical Reaction on Friction and Wear of DLC under Lubrication with Ionic Liquids at
High-Vacuum Condition (Invited)
........................................................ Shinya Sasaki, Tsutomu Yagi, Hiroki Mano, Koji Miyake, Miki Nakano, Takao Ishida 886
Tribochemical Reaction of Ionic Liquids on Sliding Metal Surfaces
........................................................ Tsutomu Yagi, Shinya Sasaki, Hiroki Mano, Koji Miyake, Miki Nakano, Takao Ishida 888
The Tribological Properties of Oil-Soluble Nano-Copper and Nano-Silica Particles as Additives of
Lubricating Oils............................................................................................. Jingjing Huang, Xiaohong Li, Zhijun Zhang 890
Preparation and Tribological Properties of Monodispersed Metallic Cu-Sn Alloy Nanoclusters with
Modified Surface .................................................................... Tao Zhao, Rong Sun, Shuhui Yu, Ruxu Du, Zhijun Zhang 892
Tribological Studies on a Novel Borate Ester Containing Benzothiazol-2-yl and Disulfide Groups as EP
and Multifunctional Additive ...................................................................... Yonggang Wang, Jiusheng Li, Tianhui Ren 894
Tribological Behavior of AZ91D Magnesium Alloy against SAE52100 Steel under Ionic Liquid
Lubricated Conditions ........................................................................................Yanqiu Xia, Zhengfeng Jia, Junhong Jia 896
Tribological Characteristics of Magnesium Alloy Using BN-Containing Additives under Boundary
Lubricating Condition ............................................................................ Zhengfeng Jia, Yanqiu Xia, Weimin Liu, Bin Li 899
Synthesis of YPO4 Nanoparticals vis Microemulsion Method and Its Friction Properties of
Lubricating Oils........................................................................................... Limin Zhao, Xin Shao, Yibin Yin, Wenzhi Li 903
A Protective Coating Formed in-situ on the Cylinder Bore in Presence of Mg6Si4O10(OH)8
.............................................................................................................................................. Zhongxue Yang, Yuansheng Jin 905
Chemical Mechanical Polishing of Copper in Organic Phosphonic Acid System Slurry
..........................................................................................Zhang Wei, Lu Xinchun, Liu Yuhong, Pan Guoshun, Luo Jianbin 906
Chemical Mechanical Planarization of Copper Using Ethylenediamine and Hydrogen Peroxide
Based Slurry ..................................................................... Ping Liu, Xinchun Lu, Yuhong Liu, Jianbin Luo, Guoshun Pan 908
Rheological and Tribological Characteristics of Chemically Modified Rapeseed Oil
.............................................................................................................. Li Qinghua, Tao Dehua, Zhang Jianhua, Mo Yunhui 912
Research on Friction-Coatings with Activated Ultra-Thick Tin-Base
................................................................................................................. Mo Yunhui, Tao Dehua,Wei Xicheng, Li Qinghua 915
Surfactants Lubricating Oil Additives (Invited) ........................................................................ S. Plaza, L. Margielewski 920

ď. Industry Tribology
Efficient Tribology Testing of Lubricating Oils with Nano-Additives................................... Norm V. Gitis, Jun Xiao 925
Manufacture and Characterization of C/C-SiC Fabricated by Warm Compacted-in situ Reacted Process
..........................................................................................................................................Li Zhuan, Xiao Peng, Xiong Xiang 926

XV
 Content

Experimental Investigations on Relationship between Sorptive Properties, Surface Tension, Contact Angle
and Lubricity of Engine and Gear Oils ...................................................... Tomasz Jan Kaldonski, Tadeusz Kaldonski 928
The Latest Technology of Traction Drive Half-Toroidal CVT ........................................Daping Liu, Takashi Imanishi 930
Long Life Bearing Technologies on Material Aspect ................ Peng Xiangduo, Yasuyuki Shimizu, Nobuaki Mitamura 932
Fault Diagnosis of Gear Using Oil Monitoring Samples and Vibration Data
.................................................................................................................. Cao Yibo, Xie Xiaopeng, Liu Yan, Ding Tianhuai 934
Prediction of Static Performance of Bump-Type Foil Bearings and Validation............ Kai Feng, Shigehiko Kaneko 940
Study on Condition Monitoring in Petrochemical Equipment Using Oil Analysis Technology
...............................................................................................................................Xiaopeng Xie, Wei Feng, Qiansheng Liao 942
Dynamic Mechanical Properties of Polymer-Lining and Their Effect on Coefficient of Friction
.................................................................................................................................Yuxing Peng, Zhencai Zhu, Guoan Chen 947
Machine Condition Monitoring and Remaining Life Prediction Using Integrated Approach
............................................................................................. S. Ebersbach, Zhongxiao Peng, Chengqing Yuan, Xinping Yan 949
Study on Condition Characteristics of Tribo-System and Its Description Method
....................................................................................................Xinping Yan, Chengqing Yuan, Xincong Zhou, Xiuqin Bai 957
Study of Tribological Faults and Their Prevention Approaches in Dredger
.......................................................................................................................... X. P. Yan, Y. H. Chen, A. N. Li, C. Q. Yuan 961
Elastohydrodynamic Lubrication and Asperity Contact Simulation of Engine Main Bearing with Flexible
Rotating Crankshaft and Flexible Engine Block ............... Liang Chen, Xigeng Song, Dongxin Xue, Zhangjie Ming 967
Tribology Extenics Condition Evaluation Based on Case Reasoning
.............................................................................................................. Zhao Chunhua, Yu Zhiqiang, Zhao Xinze, Wu Gang 973
Effect of Surface Material on the Cavitation Erosion Noise: Experimental Investigation
............................................................................................................... Ge Han, Chen Haosheng, Chen Darong, Yan Dayun 977
Research on Mechanism of Casing Wear in Sliding-Impact Wear Condition
........................................................................................................Fan Jianchun, Zhang Laibin, Chun Shengli, Yu Huiyuan 980
Durability of Phosphorated Starch Based ER Fluid under Damper........ C. H. Lee, J. W. Sohn, Y. M. Han, S. B. Choi 983
Effect of Different Atmosphere on Dry Friction Behavior of Steel Sliding against Brass at High Speed
...................................................................................................Qiu Ming, Zhang Yongzhen, Du Sanming , Shangguan Bao 989
A Study on the Application of a Mineral Additive in Lubricating Oil for Cylinder Liner
......................................................Yue Wen, Wang Chengbiao, Huang Haipeng, Wen Qingfeng, Liu Yuandong, Liu Jiajun 991
Effect of Ingredients in Slurry Containing Alumina on Polishing of Hard Disk Substrate
.....................................................Jiazhen Sun, Guoshun Pan, Yan Zhou, Yonghua Zhu, Jianbin Luo, Xinchun Lu, Yan Liu 993
Study on Dispersion Stability and Self-Repair Principle of Ultrafine-Tungsten Disulfide Particulates
............................................................................................................................................................ Shi Chen, Mao Daheng 995
Research on Micro-Abrasion Performances of TiN Coating in Simulated Body Fluid
................................................................................................................................ Weijiu Huang, Guo Wang, Zhaofeng Li 1000
Micro-Abrasion-Corrosion of Ti6Al4V Alloy in Simulated Artificial Hip Joint Environments
................................................................................................................................ Weijiu Huang, Guo Wang, Ziqin Zheng 1005
Chemical-Mechanical Polishing of NiP Alloy for Hard Disk Drive Substrates
.............................................................................................................. Weiming Lee, Zuqiang Qi, Wanjia Lu, Jianbin Luo 1011
The Material Removal Rate of Metal Polishing Process ..............................................Yeau-Ren Jeng, Pay-Yau Huang 1013
Tool Life Modelling for High-Speed Milling ...............................................................................Wu Delin, Zhou Yunfei 1015
Nano-Scratching-Induced Damages and Their Effect on Fracture Properties of a Single Crystal Sapphire
...........................................................................................................................................Yufu Liu, Y. Kagawa, K. Shiraki 1017
Interfacial Forces in Chemical-Mechanical Polishing (Invited) ................................................ Dedy Ng, Hong Liang 1019
Influence of Water on the Tribological Behavior of Collector Materials against Railway Contact Wires at
High Sliding Speeds ........................................................................... L. M. Sun, D. C. Hu, B. Shangguan, Y. Z. Zhang 1020
Index of Authors ......................................................................................................................................................................... 1025

XVI
Proceedings of CIST2008 &
ITS-IFToMM2008

Plenary Lectures
 Current Industrial Activities of Tribology in China

Current Industrial Activities of Tribology in China

Siwei Zhang
Chinese Tribology Institution (CTI), CMES
China Petroleum University, Beijing, China

Abstract: A recent investigation of the industrial
application of tribology in China is presented. This work
is aimed mainly at finding out the current situation of
industrial activities of tribology and proposing some
recommendations with the emphasis on the energy and
material savings in the process of manufacture and
operation of machinery. Eight representative industries
were selected as the investigated objects, namely
metallurgical industry, energy (coal, electric power) and
petrochemical industries, railway transport, automotive
industry, agriculture machinery, shipping industry, aerospace
industry and military equipment.
It was found that owing to application of tribology, the
sum total of the estimated potential savings of the first 6
investigated objects above mentioned is 103.61 hundred
million USD (according to the exchange rates in November
2006) per year. The first three contributors of savings are
automotive industry, metallurgical industry and railway
transport. Based on the above figure and the statistical data
of value-added of industry of all industrial enterprises in
China in 2006, the Chinese industrial enterprises can save
414.8 hundred million USD per year, namely, 1.55% of
gross national product (GNP) in 2006.
On the basis of the investigation, a general view of the
current industrial activities of tribology in China was
obtained which has a practical significance for the
international community of tribology, and some
recommendations dealing with industrial application,
research and education were made and delivered to the
government departments concerned.
Finally, the author highlights the green tribology from the
view point of ecological balance and sustained development.
Green tribology is considered as an important way to
propel the society forward sustainedly. It might be one of
the key directions of technological progress of tribology in
striding forward towards the new century.
(The whole paper will be supplied by the author if reader
needs it.)

3
 Plenary Lectures—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

The Fullerene-Like Nanostructure Hydrogenated Carbon Films with Super-Low Friction

Qunji Xue, Junyan Zhang

State Key Laboratory of Solid Lubrication, Lanzhou Institute of Chemical Physics,
Chinese Academy of Sciences, Lanzhou 730000, China

Abstract: Carbon-based thin films have been subject of
extensive research over the last decade due to their
excellent properties, such as low friction coefficient,
chemical inertness, infrared transparency, and high
hardness. The hardness of carbon-based films is usually
linked to the presence of sp3 C–C bonds and these films are
called diamond-like carbon. Recently, it was shown that
some nonhydrogenated carbon and carbon nitride films
containing a high number of sp2 bonds exhibit very
interesting properties, such as high hardness (up to 55 GPa)
combined with an extreme elasticity (elastic recovery of
85%). The combination of a hard and at the same time an
elastic material has been attributed to a ‘‘fullerene-like’’
microstructure. The fullerene-like materials composed of
graphene multilayers, onions and nanotubes together with
amorphous structures have been already synthesized by
different physical vapor deposition techniques. Here, we
reported that fullerene-like nanostructure hydrogenated
carbon films can also be fabricated by plasma chemical
vapor deposition—pulsed glow discharge. The fabricated
fullerene-like nanostructure hydrogenated carbon films
possess high hardness and high elasticity, more importantly,
the films exhibit ultra-low friction under ambient condition
with 20% relative humidity.
The fullerene-like nanostructure characterized by
curved graphite planes with interval of approximately 3.4 Å
and the lattice spacing of 3.34±0.02 Å of the bulk graphite
are observed by HRTEM. Nanoindentation is an attractive
technique for analyzing the mechanical properties of thin
films independently of the substrate. The significant finding
for the nanoparticles hydrogenated carbon films with
thickness of 1500 nm is the elastic recovery which is as
high as 85%. The friction coefficient as a function of the
sliding time of the fullerene-like hydrogenated carbon films
against Si3N4 ball was assessed on a reciprocating
ball-on-disk tribotester. We found that the fullerene-like
hydrogenated carbon films exhibited not only high hardness
and high elasticity concurrently, but also super-low friction
coefficient (μ=0.009) in ambient atmosphere with 20%
relative humidity. The low-temperature deposition process
allows the fullerene-like structure carbon films to be
deposited atop hard or magnetic thin films to supply a
super-low friction protective layer. Moreover, the finding
of the fullerene-like structure carbon films in this study will
definitely open a new avenue of carbon films’ research and
applications.
(The whole paper will be supplied by the authors if reader
needs it.)

4
 Tribology in Nanomanufacturing—Interaction between Nanoparticles and a Solid Surface

Tribology in Nanomanufacturing—Interaction between Nanoparticles and a Solid Surface

Jianbin Luo, Dan Guo

(State Key Laboratory of Tribology, Tsinghua University, Beijing, 100084, China)

ABSTRACT of feature size below 0.35m. It is a process using abrasive,

Nanomanufacturing is a new area brought up in recent corrosive slurry to physically grind flat and chemically remove
years, which is defined by NSF (The National Science microscopic topographic features on a wafer so that subsequent
Foundation, USA) as encompassing all processes aimed toward processes can begin from a flat surface. But the material
building of nanoscale (in 1D, 2D, or 3D) structures, features, removal mechanism of CMP, such as how to measure the
devices, and systems suitable for integration across higher movement of nano-particles? what will happen when a particle
dimensional scales (micro-, meso- and macroscale) to provide in collision with the worked solid surface? how to get a super-
functional products and useful services. Nanomanufacturing smooth surface in CMP? These are not fully understood. In the
includes both bottom-up and top-down processes. Tribology paper, our recently works on the interaction of nanoparticles
becomes very important in nanomanufacturing, particularly in and a solid surface in CMP processes are introduced.
process of chemical mechanical material removal, contact
printing, assembly and joining, scanning probe lithography etc.
In the present paper, the characteristic of liquids in a nano-gap, INTERACTION OF NANOPARTICLE WITH A SOLID
the collision, adsorption, and desorption of nano-particles with SURFACE - EXPERIMENTAL STUDY
a solid surface, and the surface modification in nanofacturing
have been discussed. In order to investigate the interaction between a
nanoparticle and a solid surface, the movement of nanoparticles,
Keywords: Tribology, Nanomanufacturing, Nanoparticles, CMP
the collision between a nanoparticle and a solid surface etc.
should be observed. A series of experiments surrounding the
INTRODUCTION interaction of nanoparticles with a solid surface are introduced
H. Rohrer, the 1986 Nobelist, said in a letter to Jiang in the paper.
Zemin in 2003 (the president of China from 1989 to 2003):
“150 years ago, the emergence of micron concept set a new Observation of nanoparticle’s movement [4,5]
accuracy assessment standard, and then became a firm
A system for the nanoparticle observation is developed as
technological base of the industrial revolution. The countries
shown in Fig.1, which includes a fluorescence microscope with
that learnt it initially, mastered and made the best use of it have
high resolution, an Evolution QE cooled charge coupled device
gotten a tremendous predominance in the industry development.
camera, an image processing software, a syringe pump, and
Similarly, the future technology will belong to the countries
other assistant equipment. The seed nanoparticle has a shell of
that take the nanotechnology as the new accuracy standard
SiO2 and the fluorescein inside with diameters about 40±5 nm.
advisably, learn and use it firstly.” At present, after developing
The excitation wavelength of the particle is 454 nm, and the
nano-science and nano-technology for many years, the key
point is how to turn them into manufacturable technology or
industry products. Nanomanufacturing redefined by NSFC
includes manufacturing of nanoscale structure, manufacturing
with nano-precision, and integration across higher dimensional
scales (micro-, meso- and macroscale). It includes both
bottom-up and top-down processes. Many of nano- manufacturing
processes are related to the tribology, such as scanning probe
lithography, assembly and joining, material removal processes
in CMP (Chemical Mechanical Planarization) and so on.
Nanomanufacturing brings some new challenges to the
tribology. For example, in the nanomanufacturing of hard disc
driver, the areal density is increased from 40 Gb/in2 to 500
Gb/in2 then to 1000 Gb/in2, the fly height of magnetic head is Fig.1 The apparatus for nano-particle observation
accordingly reduced from 15 nm to 4 nm then to 2 nm, which
results in a lot of problems such as how to get an atomic
smooth surface, how to get a special surface with low energy
and self-lubricated, and how to get a fly height about 2-3
nanometers [1]. In the nano-printing process, the width of lines
will be down to tens of nanometer, therefore, the compactedness
of space with deformed material and geometric distortion of the
pattern is closely related to the nano-rehelogy and adhesion in
the solid/liquid interface [2,3]. For the nanomanufacturing in
integrate circuit (IC), one difficulty is the planarization for the
different layers with different hardness, e.g. Cu layer, barrier
layer (Ta), and medium layer (SiO2). Chemical mechanical
planarization (CMP) is the most effective planarization tool in
the manufacture of IC and become the indispensable technology Fig.2 Trajectories of seed particles in a flow [4 ]

5
 Plenary Lectures—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Velocities of particles
800 Velocities of liquid

700 sample1 200ul/min

V(um/s)
600

500

400

300

200

100

0 500 1000 1500 2000 Fig. 5 Collision, adsorption, and desorption of a nanoparticle
X (um)
on a solid surface [ 6]
Fig.3 Velocity distributions of solid phase in a micro channels

Fig.4 The particle trajectories in a water droplet during

evaporation process [5]

emission wavelength is 592 nm. Using the experimental

apparatus, the movement of thses seed nanoparticles in water
flowing through a micro-channel with a width and a depth of 2
mm was observed. In the system, the fluid is driven by an
injection pump. Consecutive images of these seed particles in
the flow are acquired at intervals of 50 ms, and then identified
and tracked as shown in Fig.2. From trajectories of particles,
the velocity of an individual particle can be calculated, and then
the velocity profile of the solid phase in the flow can be
obtained. From Fig.3, it can be seen that nanoparticles followed
the flow in micro channels, and therefore, fluorescent
nanoparticles can be used as the seeds to track the flow of
microfluids. Trajectories of nanoparticles in a water droplet
also can be observed during its evaporation process as shown in
Fig.4.
Collision of nanoparticles with solid surface [6,7]
In order to find whether the collisions in the CMP process
can contribute to material removal, an experiment under
controlled conditions at a temperature of 29 oC with a relative
humidity of about 30% was carried out in the experiment, and
the variation of the images of fluorescent nanoparticles
adsorbed on a glass surface after impact was checked by the
fluorescent microscope system mentioned above. The aim is to
provide a new method for investigating the material removal
mechanism in a CMP process.
Driven by an injection pump, a cylindrical slurry jet
spouts from a nozzle exit of the system and impacts normally
on a lower surface of a cover-glass as shown in Fig. 5. The
distance between the nozzle exit and the lower glass surface is
less than 1 mm. Fluorescent nanoparticles had been already
deposited on the glass surface by placing a deionized water
droplet with fluorescent nanoparticles on the surface and
allowing it to dry before the impact test and the coverglass had
been put into a sealed box for about 8 hours to ensure that the
nanoparticles were firmly adsorbed on the surface.
Fig. 6 Images of the adsorbed fluorescent particles when the
abrasive concentration is 15wt%. (a), pre-impact image at the
impacting speed of 1 m/s; (b), post-impact image at the
impacting speed of 1 m/s; (c), pre-impact image at the
impacting speed of 3 m/s;(d), post-impact image at the
impacting speed of 3 m/s. [6]
As shown in Fig. 6 where the length of the space bars is
10 m, many adsorbed fluorescent nanoparticles can be
observed when the abrasive concentration is 15 wt%. Fig. 6a
and 6b were taken before and after the impact respectively at
the impacting speed of 1 m/s. From such two figures it can be
seen that the number and the position of the adsorbed particles
are almost the same after the impacting. A similar situation also
can be seen in Fig. 6c and 6d when the impacting speed
increases to 3 m/s. The experimental results indicate that the
adsorbed nanoparticles can hardly be removed from the solid
surface by the hydrodynamic effect of the impacting liquid and
by the collisions of the impacting nanoparticles if the impacting
speed, the impacting time, and the particle concentration of the
impacting liquid are less than 3 m/s, 1.5 minute, and 15 wt%
respectively. Based on the assumption that the bonding energy
between the adsorbed particles and the solid surface is not
higher than that among atoms of the surface layer of the
polished disc, it can be deduced that the effect of the collision
between the abrasives and the wafer surface on the material
removal can be negligible under the experimental condition.
However, if the speed and the particle incidence angle changed,
what would happen?
Another experiment on cylindrical liquid jet containing

6
 Tribology in Nanomanufacturing—Interaction between Nanoparticles and a Solid Surface

deionized water and SiO2 nanoparticles impacting obliquely on
a surface of a single crystal silicon wafer at a speed of 50 m/s
with an incidence angle of 45º was performed as shown in Fig.
7 and Fig. 8 which is a picture captured by a high speed video
camera.
atom pileup also can be found on the surface and its maximum
height is approximately 15 Å. In addition, there are a few
crystal grain packets in which the lattice is distorted, and the
orientations of the lattice fringes in the packets deviate from
that of the matrix of the Si wafer.

Fig.7 Schematic of a cylindrical slurry jet impacting a silicon

wafer

Fig. 9 TEM images of the surfaces under different impact

conditions with an exposure time of 30 s. (a) without particles;
(b) with particles [7]

Fig.8 The pictures captured by a high speed video camera

Fig.10 AFM image of the surface with the exposure time of 10
The microstructure of the impacted surface was examined
min [7]
by using a high resolution transmission electron microscope
and an atomic force microscope (AFM). Some crystal defects,
lattice distortion, grain refinement, and the rotation of grains in
the surface layer of the silicon wafer exposured to the
impacting liquids, i.e. DI water and a slurry with nanoparticles,
for 30 s have been observed as shown in Fig. 9. However, when
the exposure time is extended to 10 min, an amorphous layer
containing crystal grains is exhibited in the subsurface, and
many craters, scratches, and atom pileups can be found in the
surface.
Compared with the TEM image of the solid surface
impacted by the DI water without any obvious damage on the
surface (Fig. 9a), it can be found that there are many significant
elliptical damage regions with different sizes on the Si(100)
surface impacted by a slurry with SiO2 nanoparticles as shown
in Fig 9b. Impacting pits also can be found by AFM as shown
in Fig. 10. It can be seen that the width and length of a pit is
about 50 and 130 nm, respectively, and at one end of the pit Fig.11 Cross-section HTEM images of the specimen subsurface
there is a nose which is 13 Å higher than the surface according with the exposure time of 10 min [7]
to the cross-section profile of the pit. This suggests that an
atom pileup occurs on the surface after particles impact on the In summary, when the incident speed and angle change,
surface. some damage regions can be found on impacted surface or in
In the cross-section of the tested specimen for the the surface layer due to the impacting of nanoparticles.
exposure time of ten minutes as shown in Fig. 11, it can be HRTEM observation from different locations in a damaged
found that there is a damaged layer with a thickness about 15 region with the exposure time of 30 s shows the existence of
nm where the lattice fringes have been transited into an heavy and heterogeneous deformation in the surface layer with
amorphous silicon state from a crystalline silicon matrix. An many crystal defects, lattice distortion, and the refinement of

7
 Plenary Lectures—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

grains. With the increase of the exposure time, many pits and
scratches on the surface, an amorphous layer in the surface
layer, and an atom pileup in the outlet region of the scratch can
be found.

MOLECULAR DYNAMIC SIMULATION OF NANO-

PARTICLES IMPACTING ON A SOLID SURFACE
Theoretical analyses have been done by Duan et al. and
Chen et al. [8-12] for the investigation of a collision process of
a nanoparticle to a Si or SiO2 surface. Effects of the incident
angle, energy, cluster size, on the trajectory of a nanoparticle,
the deformation, temperature, and pressure distribution in the Fig.14 Side cross-section and look down views of the
damaged region, and the material remove rate of the surface transformed region under the impacting of a SiO2 cluster with a
layer are investigated by molecular dynamic simulation. Fig. 12 diameter of 5.4 nm at a speed of 4313 m/s
shows the schematic diagram of a nanoparticle cluster impact
on a crystal silicon surface in a wet or dry condition for the
molecular dynamics simulation.

Fig.15 Temperature distribution and pressure change with time

at a speed of 4313 m/s in a dry impacting process

Fig.12 Schematic diagram of a nanoparticle cluster impact on

crystal silicon at wet or dry condition [12]

As illustrated in Fig. 13, different shapes of the damaged

region are created on the surface when the incident angle
changes. In the whole range of the incident angle from 0 to 75嘙,
the shapes of the depressed regions exhibit a continuous change.
The smaller the incident angle is, the wider and shallower the
shape becomes. There are hill-shaped atom pileups at the rim of
the depressed region, when the incident angle is within the
range from 15° to 75°. For the incident angle of 0° the
trajectory of the particle determines the formation of any pileup;
and for the incident angle of 15° the penetration depth is so
small that the atoms of the surface cannot be extruded out to
form any pileup. When the incident angle is larger than 75°, the
pit and the atom pileup become too smaller to be observed as
shown in Fig.13.
Fig.13 The configurations of the silicon surface after a
nanoparticle impacts at an angle of 90° (a); 75° (b); 60° (c); 45°
(d); 30 (e) and 15°(f) [8,13]
Fig. 16 Critical velocity of extrusion formation under different
incident angle
The molecular dynamic simulation and analysis indicate
that the silicon surface is extruded due to combinational effects
of thermal spread, phase transformation, and crystallographic
slip with the impact of a larger silica cluster. Fig. 14 shows a
cross-section and a planform of the transformed region under
an impacting of a SiO2 cluster with a diameter of 5.4 nm at a
speed of 4313 m/s. The temperature and pressure distribution
are shown in Fig. 15 during a dry impacting. It is found that the
extrusion on the silicon surface will be in embryo during the
impact unloading stage and will grow up during the cluster
rebounding stage. Furthermore, the critical impact velocity to
induce the formation of extrusions on silicon surface is
associated with the incidence angle of the cluster as shown in
Fig.16. The result is useful to the optimizing of the CMP
process parameters of silicon wafers. Furthermore, the critical
velocity of the pileup on the silicon surface is affected by the
incidence angle rather than the particle size. It reaches the
minimum at the incidence angle of 45°.
It is also found that the water film reduces the contact
temperature, and has little effect on pressure. The impacted
surfaces after a wet collision is more smooth than that after a
dry collision. There is a best size region of particles where
MRR is highest as seen in Fig. 17, which is related to the unit
area energy in impacted region. [12-14].

8
 Tribology in Nanomanufacturing—Interaction between Nanoparticles and a Solid Surface

Fig. 17 Dimension size effect in simulation and CMP process

ADVANCEMENT IN CMP PROCESS Fig.19 Surface modification of nanoparticle

There are many problems in the CMP process, such as:
1. The agglomeration of nano-particles in CMP process
will result in scratches on a polished surface.
2. Adhesion of nanoparticles on the polished surface will
make much trouble to the cleaning process.

Fig.20 The roughness analysis of hard disk substrate surface

before and after surface modification of particles

Fig. 18 The surface of a substrate disc of a hard disc driver

(HDD) after CMP

As shown in Fig. 18, it can be obviously seen the scratches

due to the agglomeration of nano-particles and many adhesion
particles on the HDD substrate surface after CMP. An idea to
solve these problems is using the surface modification of
nanoparticles to reduce adhesive force between the particle and
the disc surface as shown in Fig. 19 where the surface of a
silica nanoparticle is modificated organic molecules. Through
Fig. 21 Al2O3 particles before and after surface modified by
graft copolymerization of siloxanes, functional groups such as
PBTCA
–OH, -NH2, -COOH and so on which are marked as R1 and R
in Fig. 19 are immobilized on spheral silica particles and act as
flexible molecular brush in chemical mechanical polishing.
Surface loose materials which are caused by chemical
corrosion or oxidization are removed softly through
deformation grinding and chemical binding. The roughness Rz
of the hard disk substrate surface polished by modified silica
particles is improved from 0.114 nm to 0.089 nm as shown in
Fig. 20. We can also see from Fig. 20 that the surface defects
such as microscratches, pits, and particle contaminations are
decreased greatly.
In the primary CMP of hard disk substrate, Al2O3 particles
are often used as abrasive, which are easy to agglomerate and Fig. 22 Result of primary CMP of hard disk substrate using
lead to scratches in the surface. Surface modification of Al2O3 particles modified by PBTCA
nanoparticle can improve the problem. Fig. 21 shows the Al2O3
particles before and after surface modified by PBTCA. Figure CONCLUSION
22 shows Ni-P surfaces of hard discs roughly polished by using In summary, the interaction between a nanoparticle and a
a slurry with Al2O3 particles before and after modified by solid surface is very complicated. Our research works indicate
PBTCA. It can be seen the surface roughness is reduced from that there is a best size region of particles and best incidence
13 Å to 2.2 Å. angle range for the MRR in the CMP process. The surface

9
 Plenary Lectures—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
modification of nanopartilces will reduce the agglomeration of
nanoparticles, the number of micro/nanoscratch, and the
number of adhesive particles on the solid surface. Smaller size
and soft surface of particles, and a lower friction coefficient are
in favor of getting a smoother surface in CMP process. It also
indicates that tribology is very important in the
nanomanufacturing.
ACKNOWLEDGEMENTS
The work is financially supported by the International Science
& Technology Cooperation Project and NSFC with the Grant
No. 50721004.
REFERENCES
[1] Yang M.C., Luo J.B., Wen S.Z. et al., 2001,
“Investigation of X-1P coating on magnetic head to
enhance the stability of head/disk interface”, Science in
China, 44 (Supp.), pp. 400-406.
[2] Shen M.W., Luo J.B., Wen S.Z. et al., 2001, “Nano-
tribological properties and mechanisms of the liquid
crystal as an additive”, Chinese Science Bulletin, 46(14),
pp.1227-1232.
[3] Wang H., Hu Y.Z., and Guo Y., 2004, “Molecular
dynamics study of the interfacial slip phenomenon in
ultrathin lubricating film”, Lubrication Science, 16(3),
pp.303-314.
[4] Xu X.F., Luo J.B., and Yan J., 2008, “A PIV system for
two-phase flow with nanoparticles”, Int. J. Surface
Science and Engineering, 2(1/2), pp.168-175.
[5] Xu X.F., Luo J.B., 2007, “Marangoni flow in an
evaporating water droplet”, Applied Physics Letters,
91(12), pp.124102.
[6] Xu X.F., Luo J.B., Lu X.C., Zhang C.H., Guo D., 2008,
“Effect of nanoparticle impact on material removal”,
Tribology Transactions, 51(6), pp718-722.
10
[7] Xu J., Luo J.B., Lu X.C. et al., 2005, “Atomic scale
deformation in the solid surface induced by nanoparticle
impacts”, Nanotechnology, 16, pp.1-6.
[8] Duan F.L., Luo J.B., Wen S.Z., Wang J.X., 2005,
“Atomistic structural change of silicon surface under a
nanoparticle collision”, Chinese Science Bulletin, 50(15),
pp. 1661-1665.
[9] Chen R.L, Luo J.B, Guo D., Lu X.C, 2008, “Extrusion
formation mechanism on silicon surface under the silica
cluster impact studied by molecular dynamics
simulation”, Journal of Applied Physics, 104(10),
pp.104907.
[10] Chen R.L., Luo J.B., Guo D., Lu X.C., 2008, “Phase
transformation during silica cluster impact on crystal
silicon substrate studied by molecular dynamics
simulation”, Nuclear Instruments & Methods in Physics
Research Section B-Beam Interactions with Materials
and Atoms, 266(14), pp.3231-3240.
[11] Chen R.L., Luo J.B., Guo D., Lu X.C., 2009, “Energy
transfer under impact load studied by molrcular dynamic
simulation”, Journal of Nanoparticle Research, 11, pp.
589-600.
[12] Chen R.L., 2008, “The collision mechanism between the
silica cluster and the silicon surface studied by molecular
dynamics simulation”, PHD Disertation of Tsinghua
University, China.
[13] Luo J.B., Hu Y.Z., and Wen S.Z., 2008, Physics and
Chemistry of Micro-/Nanotribology, ASTM International,
Maryland in USA.
[14] Wang Y.G., Zhao Y.W., 2007, “Modeling the effects of
cohesive energy for single particle on the material
removal in chemical mechanical polishing at atomic
scale.”, Appl Surf Sci, 253, pp9137-9141.
.
 Tribology at Small Scales

Tribology at Small Scales

Steve Granick
Department of Materials Science and Engineering, University of Illinois, Urbana, Illinois, USA

Abstract: The design of tribological interfaces is often
motivated by a quest to minimize friction and wear. Many
of the most important advances of recent years come from
new techniques capable of characterization at small scales
and even at the level of individual molecules. This talk will
tests of the Stokes-Einstein equation in molecularly-thin
films, of modifying the boundary conditions of fluid flow,
from stick to slip, and of extending tribology research to
the prominent two-dimensional fluids known as
phospholipid bilayers. The issues discussed in this talk
point the way to possible new strategies for energy-saving
during fluid transport and have relevance to filtration,
colloidal dynamics, and microfluidic devices.
(The whole paper will be supplied by the author if reader
needs it.)

11
 Plenary Lectures — Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Frontiers of Research in Liquid Lubrication

Hugh A. Spikes
Imperial College of Science, Technology and Medicine, UK

Abstract: The level activity in tribology research
worldwide is currently higher than it have ever been,
largely due to three linked drivers, the need to save energy
and reduce CO2 emissions, demand for improved quality of
life and rapid progress in machine minaturisation. This
presentation will explore how these drivers are influencing
current research in tribology, with a particular focus on
their impact on liquid lubrication. A number of specific
areas of very active current research will then be discussed,
including the texturing of surfaces to reduce friction,
research in thin film, boundary lubrication and the
application of high performance computing to simulate
lubricated systems.
(The whole paper will be supplied by the author if reader
needs it.)

12
Proceedings of CIST2008 &
ITS-IFToMM2008

Keynote Talks
 EHL with Grease at Low Speeds

EHL with Grease at Low Speeds

Yoshitsugu Kimura*
The Univ. of Tokyo/Kagawa Univ., 5-21-10-4 Nagayama, Tama-shi, Tokyo, 206-0025 Japan

Toshiaki Endo, Daming Dong

Kyodo Yushi Co., Ltd., 2-2-30 Tsujido-kandai, Fujisawa, 251-8588 Japan

ABSTRACT down to nanometer range implying that their film thickness

Film thickness of grease in rolling contact is determined by
ultrathin-film optical interferometry, where increase in
thickness is found at low speeds having the thickness depending
on both base oils and thickeners. A characteristic horse shoe
observed at low speeds shows the film is formed mainly by EHL
effect. Analysis employing the Carreau-Yasuda viscosity
equation is made based on the rheology of grease to describe the
feature of the change in the EHL film thickness.
Keywords: EHL, Film Thickness, Grease
followed the EHL theory. However, some fluids like polymer
solutions were found to provide exceptions to this rule forming
films thicker than the prediction by the EHL theory at low
speeds.
Grease fell into this group [1]. The thick film of grease at
low speeds has been understood to be caused by the residual
film [2] or the passage of thickener agglomerations [3]. The
present work is to examine more details of grease film at low
speeds.

INTRODUCTION
It may be a simple interpretation of elastohydrodynamic
lubrication (EHL) with grease that the base oil alone performs
lubrication and the thickener serves as its retainer. This is
almost true at high speeds where the apparent viscosity of
grease decreases to a low value comparable to that of the base
oil. At low speeds, on the other hand, the thickener causes
the apparent viscosity of grease to increase until it behaves like
a solid, and some lubrication mechanism particular to grease is
expected to prevail. Since low-speed rolling contact bearings
with grease lubrication are widely used in practice,
understanding the particular lubrication mechanism of grease
is of considerable importance for optimum selection of its
constituents.
Today, we have an excellent means to study this
mechanism, namely ultrathin-film optical interferometry,
which has made it possible to determine the thickness of EHL
film at very low speeds [1]. On log-log plots of the central film
thickness vs entrainment speed, most fluids showed linearity
“SLIM” EXPERIMENT
Apparatus
The spacer layer imaging technique (SLIM) [1] was
employed to observe grease film between a glass disk and a
steel ball in pure rolling contact. The glass disk had a
chromium coating and a silica spacer layer on it. As shown in
Fig.1, two ways of image processing were used. One was to
determine the central film thickness from the wavelength of
the maximum constructive interference on an intensity vs
wavelength curve, while the other was to determine the general
film shape over the contact from the interference image.
Sample Greases
Five sample greases marked A to E are listed in detail in
Table 1. All these greases were prepared with synthetic
hydrocarbon as the base oils. Greases A to C were made with
base oils of different viscosity 25, 81 and 741 mPa᱅s at 25°C,
respectively, and with the common thickener, lithium stearate.
Greases D and E were made with the same base oil as B and

General film
shape
CCD camera

Spectrometer
Microscope

Film thickness
Steel ball Glass disk measurement
Cr/SiO2

Load
Fig.1 Schematic of the interferometry setup
*To whom all correspondence should be addressed.

15
 Keynote Talks—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Table 1 Sample greases 1000

Central film thickness/nm

Sample grease A B C D E

Base oil Synthetic hydrocarbon 100

Viscosity(25ć)
25 81 741 81 81
mm2/s
Aliphatic 10 ƺ E
Thickener Li-St Li-OHSt
diurea Ƶ B
Concentration, mass% 15 13 15 18 13
ƶ D
1
Penetration 60w 235 237 242 242 244
0.001 0.01 0.1 1
Entrainment speed/ms-1
with different thickeners, where D with lithium
hydroxystearate, and E with aliphatic diurea. The thickener Fig.3 Film thickness of greases with different thickeners
concentration was 13-18 mass% for the greases to have a
consistency number 3. greases form the film of the same thickness at higher speeds
for the same base oil. However, the film thickness at low
Conditions and Procedure speeds differs with different kinds of thickeners. Greases B and
Experiments were made under a normal load of 20N and at D made with lithium soap as thickener behave similarly.
stepwise decreasing speeds from 1 to 0.002m/s. The Grease E with aliphatic diurea as thickener forms much thicker
temperature was kept at 25-27°C. Although starvation was film than B and D keeping the minimum thickness at about
observed in certain practical applications, a grease pool was 100nm. At lowest speeds, the film thickness with E showed
intentionally formed at the entrance to the contact by a pair of fluctuations and data were not recorded.
scoops to avoid starvation for providing well-defined
conditions. Film Shape
Two interference images for grease A are given in Fig.4
Film Thickness with the inlet on the right. As was expected under a flooded
Results with different base oil viscosity are given in Fig.2. condition, an image (b) taken at a high speed, 0.22ms-1, shows
The solid symbols represent the central film thickness with the a typical horse shoe having the side and rear constrictions.
sample greases A to C, the mean values of three readings at However, at a low speed, 0.004ms-1, (a), where the central film
each speed step, while the three lines show the central film thickness is almost the same as (b), the horse shoe is also
thickness formed by the base oil which was used for each of observed, although the image was often distorted by the
the greases. passage of thickener agglomerations. Figure 5 is a time
sequence of the film shape taken at the lower speed, 0.004ms-1,
1000
showing the presence of the horse shoe more clearly. Similar
Central film thickness/nm

results are obtained with all other sample greases and it is

reasoned that the EHL effect is dominating at this low speed
100
being responsible for the increase in the film thickness,
although the passage of thickener agglomerations disturbs the
10  C
film shape.
 B
 A
1
0.001 0.01 0.1 1
Entrainment speed/ms -1

Fig.2 Film thickness of greases with different base oils

At higher speeds, the grease made with higher-viscosity

base oil forms thicker film as was expected. The central film
thickness of each grease falls on a straight line implying that it
follows the EHL theory, the thickness being in proportion to (a) Grease A at 0.004ms-1 (b) Grease A at 0.22 ms-1
the 0.67th power of the speed, but slightly larger than the
thickness with the base oil alone. On decreasing speeds, Fig.4 Interference images of the EHL contact
however, the central film thickness of grease deviates from the
linearity. After taking a minimum it increases again with the
further decrease in the speed forming a shallow V-curve. At the
lowest speed in the present experiments, the thickness with the
greases becomes larger than that with the base oil alone by two
orders of magnitude and the effect of the base oil viscosity
becomes insignificant. Although C does not show this increase
at low speeds, seemingly it will occur at lower speeds than the
5s 10s 15s 20s 30s
lowest limit in this experiment, 2mms-1.
Figure 3 shows results for the greases with the same base
Grease A at 0.004ms-1
oil but with different thickeners, B, D and E. The general
features are similar to those found in Fig.2. The three sample Fig.5 Time sequence of the images

16
 EHL with Grease at Low Speeds

RHEOLOGY OF GREASE Results and Interpretation

Typical records at 1Hz are given in Fig.7, in which the
Apparatus and Procedure applied shear strain J and the measured shear stress W are plotted
For explanation of rheological characteristics of greases, against time; it should be noted that the magnitude of the
Herschel-Bulkley model, Bauer model or Bingham model has ordinate is different for the three records. In response to the
been used, which states that flow occurs when shear stress sinusoidal change in J, W varies generally in a sinusoidal manner.
exceeds a yield point. However, those models cannot describe At low shear rate, (a), those changes occur in the same phase
showing that the grease behaves as an elastic solid. On the other
the characteristic V-curve found in Figs.2 and 3. Then, prior to
hand, at high shear rate, (c), delay becomes evident in Wby an
an EHL analysis, rheological behavior of grease A was
angle G implying that transition from elastic to viscoelastic
determined on a cone-on-plate rheometer.
behavior takes place; G should become S/2 for perfect viscosity
which occurs at much higher shear rate beyond the capacity of
the present rheometer.
These behaviors are formulated such that
J J 0 cos(Zt ) ; J ZJ 0 sin(Zt ) , (1)
Sample where J is the shear strain and J is its amplitude, J the shear
Sample 176
grease
grease strain rate, and Z the angular speed of the oscillation. Then the
measured shear stress W is approximated by
W W 0 cos(Zt  G ) (2)
I20mm with its amplitude W0 and the phase delay G.
For a simplifying EHL formulation, an assumption is made
Fig.6 Schematic of the cone-on-plate rheometer that a generalized viscosity of the sample grease K* is defined by
K * W 0 / J0 . (3)
The essential feature of the rheometer is illustrated in Fig.6.
The clearance between a cone having 20mm diameter and 176° 105
Generalized viscosity/Pa
s

apex angle and a plate was filled with the sample grease. The  1Hz  2Hz
 5Hz  10Hz
cone was driven in a sinusoidal angular oscillation manner to 104  20HzǂǂƸ 50Hz
give a uniform shear strain in the sample and the average torque 3
over 5s transmitted to the plate was recorded to determine the 10
shear stress. The frequency of the oscillation was set to a 102
constant and the amplitude of the shear strain was increased
from 0.01 to 1000% in 25 steps, and this series of measurement 101
was repeated for different frequencies from 1 to 50Hz with new Grease A
100
grease samples. In the cases of high frequencies, 20 and 50Hz,
10-3 10-2 10-1 100 101 102 103
the maximum shear strain was 100% because of the capacity of -1
Shear rate/s
the rheometer. All measurement was conducted at 25°C.
Fig.8 The generalized viscosity of grease B
0.5
5 W0 J0 Figure 8 gives thus determined generalized viscosity of
WˈkPa
Jˈ

0 0
grease A in a function of the shear rate and the oscillation
0 1 2 3 4 5
frequency; the arrays of symbols represent its measured values
-5 and a chain curve is the apparent viscosity Ka approximated by
-0.5
the Bauer model to give the best-fit envelope.
(a) J0 = 4.6%, G = 0.43 In the low shear rate region, K* becomes smaller than Ka
1 showing the effect of viscoelasticity and, with decreasing shear
50
rate, K* tends to level off. In this region, K* is dependent on
WˈkPa

both the shear rate and the oscillation frequency, and the higher
Jˈ

0
0 0 1 2 3 4 5 the frequency the broader the region. In the medium shear rates,
K* asymptotically approaches Ka with increasing shear rate,
-50
-1 where K* depends on shear rate but becomes irrelevant to the
frequency. At much higher shear rates, say 105s-1 or higher,K*
(b) J0 = 46%, G = 0.85 is expected to approach a low viscosity of the base oil which is
1.5 independent of the shear rate or the frequency. These features
500
have commonly been found for all the sample greases.
WˈkPa
Jˈ

0 0
0 1 2 3 4 5
REPRESENTATION OF RHEOLOGY
-500
-1.5
Carreau-Yasuda Equation
(c) J0 = 460%, G = 1.30 For incorporating such non-Newtonian behavior into a
simplified EHL formulation, the Carreau-Yasuda equation [4]
Fig.7 Examples of the records of the rheometry K * ( P1  P2 ) 1  (OJ )a
( n 1) / a
>
 P2 (4) @

17
 Keynote Talks—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

is employed to represent the atmospheric viscosity, and the has to be determined. For this purpose, the “time scale of
above-determined values of the generalized viscosity are used observation” tp is introduced to compare those two conditions.
for K*. This is an empirical equation used for describing In the rheometry, tp is defined by the reciprocal of the oscillation
rheology of polymer melts or polymer solutions, and depicts a frequency, while for the EHL contact it is defined by the passing
transition of a generalized viscosity K* from the first, high time of the ball/disk surface across the Hertzian area.
Newtonian viscosity P at low shear rates to the second, low Then the procedure of the EHL calculation at a specific
Newtonian viscosity P at high shear rates. The three entrainment speed is as follows:
parameters are used to characterize the transition: it occurs at (1) Determine tp for the entrainment speed.
lower shear rate for larger O and becomes smoother for smaller (2) Assume a tentative film thickness and determine the
a and more gradual for smaller n values. average shear rate in the EHL contact by assuming a
parabolic speed distribution across the film.
Rheological Parameters (3) Determine the generalized viscosity by eq. (4) for the
given tp and the average shear rate.
105 101 (4) Determine the film shape by eq. (5) for a load which gives
Grease A the half width of the two-dimensional Hertzian contact b
being equal to the radius of the Hertzian contact a in the
104 100 experiment.
/Pas  /s
(5) Solve the Reynolds equation with the generalized
P1 
O viscosity K* with the pressure dependent viscosities
103 10-1 Pand Pgiven by eq. (6).
(6) Adjust the parallel film thickness h1 and repeat the step (5)
until the established reduced pressure q=(1-e-Dp)/D at the
102 10-2 inlet to the Hertzian zone sufficiently approaches 1/D.
10-1 100 101 102 103 The resultant value h1 gives the estimate of the central film
Frequency / Hz thickness.

Fig.9 The rheological parameters, P and O Calculation Results

For application to the present case, it is reasonable to use the
high value of K* at the lowest shear rate for P and the viscosity
of the base oil for P. The observed value of P is plotted in
Fig.9 as a function of the oscillation frequency. The value of O
is also taken as a function of the oscillation frequency as shown
in the same Figure. Further, a=0.5, n=0 is assumed to get the
best fit to the measured values. With these assumptions, the
solid curves in Fig.8 result with reasonable agreement with the
measured values.
The central film thickness thus calculated is shown by the
triangular symbols in Fig.10. Although direct quantitative
comparison with the results of point-contact EHL in Figs.2 and
3 is inadequate, some features common to those Figures are
found in this result. That is, the film thickness falls on a straight
line at high speeds showing that the EHL theory with a constant
atmospheric viscosity holds, while with decreasing speed it
deviates from the linearity and increases once again drawing a
V-curve.
10000
Central film thickness/nm

ELASTOHYDRODYNAMICS
1000
The Ertel-Grubin Theory
The possibility of predicting the thick EHL film formation 100
at low speeds is then examined by the two-dimensional Er
tel-Grubin theory. 10
It assumes that the film shape is given by the sum of the Grease A
parallel film thickness h1 and elastic deformation following the 1
Hertz theory h2, 0.001 0.01 0.1 1 10
2 ­° x x2 § x2 x2 ·½° Entrainment speed/ms-1
h2 bpmax ®  1  ln¨ 2   1 ¸¾ (5)
E °̄ b b2 ¨b b 2 ¸°
© ¹¿
Fig.10 EHL film thickness calculated with K*
where E is Young’ modulus of the solid, b the half width of a
two-dimensional Hertzian contact, pmax the maximum Hertzian The valley characterizing the V-curve is caused by a feature
pressure, and x the coordinate along the contact surface. The of the curves in Fig.8. At medium shear rates, the increase in the
dependence of two viscosities of the lubricant Pand Pon frequency implies the decrease in tp, and the decrease in tp
pressure is assumed to be given by causes the decrease in K*. In EHL, the increase in the
P PEp) (6-1) entrainment speed means the increase in the mean shear rate to
P Pexp(Dp) (6-2) increase the film thickness, but it also decreases tp so that the
with the viscosity-pressure coefficients DandE. Then the decreased K* causes the decrease in the film thickness. The
Reynolds equation is solved as described below. imbalance of these opposing effects results in the V-curve.

Procedure of Calculation CONCLUSIONS

The generalized viscosity defined by the Carreau-Yasuda
equation depends on the oscillation frequency, and its value for The ultra-thin optical interferometry has revealed increase
corresponding conditions in the rheometry and EHL conditions in the thickness of EHL film of grease at low speeds, the

18
 EHL with Grease at Low Speeds

increase depending on the base oil viscosity and the thickeners.
Analysis based on the Carreau-Yasuda viscosity equation
employing the generalized viscosity of grease determined by
rheometry shows the feature of the change in the EHL film
thickness.
REFERENCES
[1] Spikes, H. A., Cann, P. M., 2001, “The development and
application of the spacer layer imaging method for
measuring lubricant film thickness,” Proc. IMechE, 215,
pp.261-277.
[2] Cann, P. M. E., 1996, “Understanding grease lubrication,”
Proc. 22nd Leeds-Lyon Symp. on Tribology, pp.573-581.
[3] Hurley, S., Cann, P. M., 1999, “IR spectroscopic analysis of
grease lubricant films in rolling contacts,” Proc. 25th
Leeds-Lyon Symp. on Tribology, pp.589-600.
[4] Bair, S., 2002, “The shear rheology of thin compressed
liquid films,” Proc. IMechE, 216, pt.J, pp.1-17.

19
 Keynote Talks—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

The Nature of Adhesion and Friction

Stephen M. Hsu
City University of Hong Kong, Hong kong, China

Abstract: When the scale shrinks to nanometer, one of the
key issue is that the surface forces begin to exert
considerable influence on the very nature of adhesion and
friction in a nanoscale contact. There is also an interplay
between adhesion and friction since both of these processes
involve energy dissipation. At the same time, the nature of
contact also may change from single scale contact to
multiscale sequential contacts. Since adhesion is a function
of real contact area, and Amoton's Law suggests that
friction is independent of contact area, the two separate
processes when combined may present results dependent
on the contact area. This paper will describe the interplay
of these factors in our measurement of adhesion and
friction under various conditions using AFM and
Nanoindenter. Results suggest that we need to define our
terms very carefully and deconvolute the basic processes to
gain an insight into the true nature of the adhesion and
friction processes.
(The whole paper will be supplied by the author if reader
needs it.)

20
 Space Tribology of China

Space Tribology of China

Weimin Liu
Lanzhou Institute of Chemical Physics, CAS, China

Abstract: In recent years, China’s exploration on outer
space has been advanced, putting forwards a lot of new
challenges to Chinese tribology society. Stable and
Efficient lubrication is one of the key issues to guarantee
the operation of components under motion in spacecrafts.
The complexity of lubrication arises from the harsh
environment conditions in space, including the ultra-high
vacuum, UV and atomic oxygen irradiation, large
temperature gap etc. State Key Laboratory of Solid
Lubrication (LSL) has been actively involved in the
China’s aerospace exploration for decades and provided a
variety of lubrication solutions to rockets, satellites and
spacecrafts. A brief review was given on the state-of-art
space tribology research in LSL. In the aspect of fluid
lubrication, a number of liquid lubricants was developed or
under developed, including the synthetic silicon oil,
polyalphaolefin (PAO), multiple substituted cyclopentanes
(MACs), ionic liquids etc. The physical properties,
including the thermal stability, low temperature fluidity and
extremely low saturated vapour pressure, were optimized to
meet the requirement for space applications. For the solid
lubrication, a number of self-lubricating composites or
alloys, multilayer films with special nanostructures and
compositions, diamond-like carbon film etc were prepared
and the properties were investigated. These lubrication
techniques can render ultra-low friction and low friction
noise, prevention of cold welding in intermittent operating
conditions, and extend lubricant endurance life. Simulated
labs and facilities were built up in LSL, allowing for
on-ground evaluation of their performance inclusive of the
service life and the failure mechanism.
(The whole paper will be supplied by the author if reader
needs it.)

21
 Keynote Talks—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Active Control of Sliding Friction

Yonggang Meng, Yu Tian

State Key Laboratory of Tribology, Tsinghua University, China
(Extended Abstract)

ABSTRACT lubricated condition, thus the friction coefficient increased

Reducing friction is strongly and endlessly demanded in a significantly. While turning the external voltage down, the
variety of engineering applications for saving energy and sodium lauryl sulfate re-adsorbed on the metal surface
improving machine performance. Meanwhile, high friction again and results in a quick decrease of friction coefficient.
is beneficial to many applications such as braking, traction The amplitudes of the friction coefficient change could be
driving and friction damping. It is desired that sliding controlled by the applied voltage as shown in Fig. 2. The
friction can be controlled actively so that the magnitude of response time of friction coefficient to the external control
friction coefficient of a tribosystem in service is able to be voltage could be in sub second.
manipulated timely in response to specific requirements of
practice. For a class of the tribosystems including steel/steel,
ceramics/steel and ceramics/silicon sliding contacts lubricated
by aqueous solutions, it has been found that by imposing an
external electric field friction coefficient can be indeed
reduced or enhanced several times, depending on the
polarity and magnitude of the applied electric field as well
as the surfactants in the aqueous solution. Moreover, the
change in friction coefficient is recoverable between the
charged and non-charged states, and its response time to the
external potential is in the order of sub-second. Both of the Fig. 1 Typical results of friction control.
electrophoresis of surfactants and the electrolysis of water
under electric fields are probably involved in the dramatic
change of sliding friction.
Key words: active friction control, aqueous lubrication,
voltage

INTRODUCTION
Friction is an archaic phenomenon that occurs everywhere
between two relatively moved and contacted objects.
During the last decades, fundamental studies of friction
have been developed down to molecular and atomic level
that has been called nanotribology. Micro/nano-tribology
has been widely investigated with modern apparatuses as
atomic force microscopy, atomic-force microscope, surface
force apparatus, and quartz crystal microbalance to reveal
tribological origins at molecular and atomic level. Self
assembled molecularly thin film adsorbed on surfaces have
been found could change friction by orders of magnitude
while remain other conditions the same. We have verified
the feasibility of this active friction control through tuning
the adsorption and removing of the thin films on metal.
TYPICAL RESULTS
Results of a typical metal/ceramic couples lubricated with
aqueous solutions of sodium lauryl sulfate, and controlled
by applying a voltage are shown in Fig. 1. Upon the
applying of a negative external electric potential on the
metal part, the anionic surfactant film adsorbed are
removed from the metal surface, and results in a worse
Fig. 2 Average friction coefficient applied different
voltages under the same load and sliding speed.
Experiments wth many other friction pairs of steel/steel,
ceramics/steel and ceramics/silicon sliding contacts and
solutions have been done. They showed similar results and
verified the feasibility of the active friction control method
in aqueous lubrication.
REFERENCES
1. Y. Meng, B. Hu, Q. Chang, control of local friction of
metal/ceramic couples in aqueous solutions with an
electrochemical method, Wear 260 (2006) 305-309.
2. H. Jiang, P.L. Wong, Y. Meng, S. Wen, An indirect
electric field effect on the friction of boundary-lubricated
couples, Lubr. Sci. 15 (3) (2003) 275-292.
3. Q. Chang, Y. Meng, S. Wen, Influence of interfacial
potential on the tribological behavior of brass/silicon dioxide
friction couple, Appl. Surf. Sci. 202 (2002) 120-125.

22
 Superhard and Low Friction Nanocomposite Coatings: Design, Synthesis, and Applications

Superhard and Low Friction Nanocomposite Coatings: Design, Synthesis, and Applications

A. Erdemir, O. L. Eryilmaz
Argonne National Laboratory, Energy Systems Division, Argonne, IL 60439-USA

M. Urgen, K. Kazmanli, V. Ezirmik

Istanbul Technical University, Materials Science and Engineering Department, Istanbul-Turkey

Abstract: During last decade, there has been an
overwhelming interest in the design and development of
superhard and low-friction nanocomposite coatings for a
wide range of engineering applications. During the same
period, great strides have been made in both the physical
and chemical vapor deposition technologies, and as a result,
numerous coating architectures based on nano-composite
and/or –layered morphologies are have become readily
available in recent years. In this paper, we introduce a
fundamental approache to the design and development of
such coatings. Specifically, we introduce a crystal-chemical
model that can help indentify the kinds of coating
ingredients that are needed in such nano-composite
coatings for achieving ultra-low friction and wear on
sliding surfaces. Using this model, we recently designed
and synthesized a series of nano-composite coatings and
confirmed their superior tribological properties under both
dry and lubricated sliding conditions. Employing advanced
analytical tools (such as time-of-flight secondary ions mass
spectrometry, x-ray photoelectron spectroscopy, and
Raman spectroscopy) we ascertained the chemical nature of
tribofilms forming on sliding surfaces of these
nano-composite films and correlated these findings with
their superior friction and wear properties. Overall, crystal
chemical model used in this study seems to provide a new
scientific insight into the design and production of next
generation nanocomposite coatings that are ideal for harsh
tribological conditions. Some of the recent field test results
will be presented in support of the very unique mechanical
and tribological properties of these designer coatings.
(The whole paper will be supplied by the authors if reader
needs it.)

23
 Keynote Talks—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Tribology of Metal-on-Metal Bearings at High Inclination Angles
Reginald Lee, Stryker Orthopaedics, Mahwah, NJ, USA
Aiguo Wang, Stryker Orthopaedics, Mahwah, NJ, USA
ABSTRACT
Although metal-on-metal hip bearings generally experience
low wear in vivo and in simulator testing, high cup inclination
angle has been shown to dramatically increase wear. A recent
study has shown that metal-on-metal (MoM) bearings
converge to a specific contact area regardless of bearing size,
clearance, or even contact mode. This evidence points to a
relationship between contact pressure and wear rate such that
as the contact pressure is reduced (due to the formation of a
conforming surface contact, aka. the wear scar) the wear rate
will approach a low-steady state value. This research suggested
that the run-away wear that leads to extremely high MoM wear
may be due to the inability of the specific bearing to reach a
low contact pressure.
Rim loading prevents the formation of the conformance
area in a symmetrical manner which may lead to high contact
pressures. Building on previous research which proposes the
interdependencies of the wear rate, total wear, and contact
pressures of bearings at proper inclination angles, this study
will determine the effect of high inclination angle on the wear
rate, total wear, and contact pressure behavior of MoM bearings.
Finite element analysis (FEA) was used to determine the
contact pressures of MoM bearings with increasingly larger
wear patches simulating increasing wear volume. This analysis
was performed with various cup angles to determine the effect
of inclination angle on the contact pressure of the MoM
bearing through its wear process.
This study confirms the hypothesis that high cup
inclination angle leads to run-away wear. Additionally, large
diameters reduced the effect of high inclination angles. Low
bearing clearance does not affect the ability of the bearing to
reach low contact pressures but reduced the amount of wear
volume required to reach low contact pressures. The results of
this study agrees with the clinical results regarding high
inclination angles for MoM bearings and illustrates a method
to engineer MoM bearings for good tribological performance.
Keywords: Tribology, Lubrication, Wear, Pressure, Contact
INTRODUCTION
Metal-on-metal (MoM) bearings have experienced a
resurgence in recent years due to good wear performance and
the availability as a large diameter resurfacing bearing. Despite
its generally good wear performance [1-2], high cup
inclination angles have been shown to cause extremely high
wear in vitro and in hip simulator testing due to rim loading
[3-4]. This run-away wear phenomenon is not currently well
understood and is not explained by traditional
elastohydrodynamic lubrication (EHL) theories that are often
applied to these bearings [5]. A recent study suggests that the
wear performance of MoM bearings relies heavily on the
contact pressures generated by the bearing through the wear
process [6]. As wear occurs, an area of conformance (wear area)
is formed which reduces contact pressures and therefore
reduces wear. This mechanism explains the biphasic wear
pattern of MoM bearings starting with a period of high wear
*To whom all correspondence should be addressed.
Aiguo.wang@Stryker.com
24
Aaron Essner, Stryker Orthopaedics, Mahwah, NJ, USA
Shirong Ge, China University of Mining & Technology,
Xuzhou, China
(bedding-in wear) followed by low steady state wear.
High inclination angles result in rim loading of the bearing.
As the area of conformance reaches the rim of the acetabular
cup, asymmetrical contact occurs which may result in higher
contact pressures. These high pressures prevent the bearing
from reaching low steady state wear. The hypothesis is that
run-away wear will occur if this conformance area reaches the
rim of the cup resulting in rim loading.
Run-Away Wear
Steady-State Wear
Total Wear
Bedding-In Wear
Wear Cycles
Steady-State Wear Run-Away Wear
Fig. 1 Run-Away wear occurs when the conformance area
reaches the rim of the acetabular cup
METHODS
Generic MoM bearings were created in ProEngineer
Wildfire 2.0 for FEA analysis in this study. Acetabular cups are
similar to commercially available bearings with 40mm or
56mm internal diameter (ID) and a 46mm or 62mm outer
diameter (OD). Material properties for the acetabular cup were
taken for generic Cobalt Chromium Molybdenum alloy with
220GPa modulus and 0.3 Poisson’s ratio. Femoral heads are
spherical with a small flat for loading and a diameter slightly
smaller than its respective acetabular cup resulting in a head to
cup diametric clearance of 150um or 400um. To ensure perfect
conformance between the femoral head and the acetabular cup
wear scar, a nearly incompressible head was used (220,000GPa
modulus).
FEA was performed using Mechanica with at least 330
solid element (up to 9th order edges) preferentially located at
the contact area. A half model with symmetry was used for
contact analysis between the components to reduce analysis
time. The acetabular cup was oriented at 35°, 50°, and 65°
respective to the horizontal with the femoral head oriented
vertically. Loading of 1250N (simulating 2450N full model
loading) was applied superiorly through the femoral head. This
model simulates implantation angles of approximately 45°, 60°,
and 75° due to the 10-15° medial orientation of the load path in
 Tribology of Metal-on-Metal Bearings at High Inclination Angles

40mm at 35 Degrees

Maximum Contact Pressure (Mpa)

90 40mm at 50 Degrees 
the hip joint. 75
40mm at 65 Degrees
56mm at 65 Degrees
Critical Pressure
Wear scars were virtually generated on the acetabular cups 60 

by removing spherical sections from the superior point of the 45  = Inclination Angle
 = Wear Area Angle
acetabular cup. The radius of curvature of this section matched 30

the corresponding femoral head. The size of the wear scar was 15

measured as a function of the angular distance of the wear scar 0

14 16 18 20 22 24 26 28 30 32 34 36

edge from the superior point. This size was varied from 15° to Wear Area Angle (Degrees)

35°. This encompasses the contact area sizes that are found in a Fig. 3 Contact pressure behavior of 40mm bearing at 35º, 50º,
5 million cycle wear study. and 65º and 56mm at 65° with increasing wear scar size
Wear simulation data for 40mm bearings with 400um 5
40mm Diameter Bearing

Volumetric Wear to Reach

clearance at 35º was used to correlate wear rates and contact 4 56mm Diameter Bearing

Steady State (mm3)

pressures [6]. Contact pressures were then determined for each
bearing size, inclination angle, and wear scar size as detailed
above. Wear performance was then extrapolated from these
contact pressures to determine the ability of each bearing
condition to reach low steady state wear.
RESULTS
A linear correlation between contact pressure and wear rate
was observed at higher contact pressures (R2=0.84) for the
40mm bearing with 400um clearance. Below a critical contact
pressure of 14.5MPa, a constant low wear rate of less than
2mm3/mc was found. This suggests that this type of bearing
will reach low wear rates after reaching this critical contact
pressure. Furthermore, the volumetric wear required for this
bearing to bed-in can be determined by the volume removed
from the acetabular cup to reach this critical contact pressure.
A contact pressure plot for 40mm bearings with 400um
clearance at 35º, 50º, and 65º is shown in Fig. 2. While contact
pressures for 35º and 50º inclination angle bearings
successfully reduced to 14.5MPa, the 65º bearing never
reduced to this level. Fig. 3 compares the contact pressures of
the 35º and 65º bearings with a large wear area. While the 35º
bearing shows a uniform and low contact pressure, the 65º
bearing shows non symmetrical contact resulting in high
contact pressures. The 50º bearing reached a low steady state
pressure despite slight asymmetry due to the wear area
extending to the rim. This shows that our hypothesis is
partially correct in that extreme rim loading can cause high
contact pressures while mild rim loading may still result in
good wear performance.
Fig. 2 Contact pressure (MPa) after wear at 35º (left) and 65º
(right) inclination angle viewed along the load path
Bearing size and clearance also had an effect on this
process. With all other features constant, increased bearing
diameter was shown to be more tolerant of higher inclination
angles. This is due to the increase in available surface for the
conformance area to form prior to reaching the rim. Even at
65º a 56mm bearing with a 400um clearance was found to
reach the critical contact pressure (Fig. 2). Bearing clearance
was found to have an effect only on the total volume required
to reach a low contact pressure. This is due to the fact that the
relationship between volumetric wear and the area of
conformance is proportional to the effective radius of the
contacting geometry. Reduced bearing clearance will increase
the effective radius which results in decreased wear required to
form a specific area of conformance (Fig. 4).
25
3
2
1
0
0 0.1 0.2 0.3 0.4 0.5
Diametric Clearance (mm)
Fig. 4 Effect of Diameter and Clearance on the Volume of
Wear Required to reach Steady State
DISCUSSION
This study has shown a correlation between contact
pressure and wear rate for MoM bearings. The contact pressure
is shown to dramatically decrease with the formation of a
conformance area which results in reduction of wear. High cup
inclination angle is shown to cause rim loading which may
lead to high contact pressures and therefore high wear. This
corresponds to clinical and simulator studies showing high
inclination angles causing extremely high wear rates.
Furthermore, this study has demonstrated the effect of bearing
diameter and clearance on this contact pressure model.
Increased bearing diameter has been shown to promote the
reduction of contact pressures while decreased bearing
clearance will reduce the wear required to reach a low contact
pressure. These results suggest that while implantation angle is
the primary factor in MoM wear rates and is dictated by
surgical procedure, certain design parameters can be
engineered to reduce the risk of run-away wear and produce a
more clinically forgiving bearing.
REFERENCES
[1] Rieker CB, Kottig P. In vivo tribological performances of
231 metal on metal hip articulations. Hip International.
2002 Apr-Jun; 12(2): 73-76.
[2] Rieker CB, Schön R, Köttig P. Development and validation
of a second-generation metal-on-metal bearing: laboratory
studies and analysis of retrievals. J Arthroplasty. 2004
Dec;19(8 Suppl 3):5-11.
[3] Brodner W, Grübl A, Jankovsky R, Meisinger V, Lehr S,
Gottsauner-Wolf F. Cup inclination and serum
concentration of cobalt and chromium after metal-on-metal
total hip arthroplasty. J Arthroplasty. 2004 Dec;19(8 Suppl
3):66-70.
[4] Vassiliou K, Elfick AP, Scholes SC, Unsworth A. The effect
of 'running-in' on the tribology and surface morphology of
metal-on-metal Birmingham hip resurfacing device in
simulator studies. Proc Inst Mech Eng [H]. 2006
Feb;220(2):269-77.
[5] Jagatia M, Jin ZM. Analysis of elastohydrodynamic
lubrication in a novel metal-on-metal hip joint replacement.
Proc Inst Mech Eng [H]. 2002;216(3):185-93.
[6] Lee R, Essner A, Wang A. Tribological considerations in
primary and revision metal-on-metal arthroplasty. J Bone
Joint Surg Am. 2008; 90(8 Suppl 3). In press.
Proceedings of CIST2008 &
ITS-IFToMM2008

Technical Sessions
Technical Sessions:

ĉ. Lubrication
 Key Factors to Induce Cavitation-Erosion

Key Factors to Induce Cavitation-Erosion

Darong Chen, Jiadao Wang, Haosheng Chen

State Key Laboratory of Tribology, Tsinghua University, China

˄Extended Abstract˅

ABSTRACT when a minus external voltage such as -9 V was applied. The

The cavitation-erosion is induced by the collapse of bubbles in results from different surface polarization potentials also
water. Therefore it should mainly be attributed to the fluid flow. showed the similar trend.
However, the effects from the micro particles in water, solid
wall surface topography and material physical characteristics
on the cavitation-erosion have been reported here, and the
experiment results have proved that they are key factors to
induce cavitation- erosion.
Keywords: cavitation-erosion; micro particle; surface
topography
(a) (b) (c)
INTRODUCTION Fig. 1 Typical results of cavitation-erosion from (a) tap , (b)
The cavitation-erosion is induced by the collapse of bubbles in drink and (c) deionized water.
water. Cavitation increases fluid’s resistance and then leads to
loss of mechanical efficiency. The cavitation-erosion in
turbo-machinery, ship propellers and nearby naval structures
leads to corrosion and pitting of metal surface and unwanted
cavitation noise. Researchers have been thought that erosive
damage of underwater vehicles is induced directly by cavitation.
The generation of cavitation-erosion involves bubbles or
Fig. 2 Surface topographies.
cavities generation, collapse of bubbles and material damage
induced by the micro-jets and shockwaves [1-2]. However, (a) (b) (a) (b) (a) (b)
there are seldom experiments directly proving the mechanism,
and seldom reports on the detail of the bubble collapse near the
solid wall in fluid field. Here, micro particles in water, solid
surface topography and material physical characteristics were
investigated and the results proved that they are key factors
inducing the cavitation-erosion. Fig. 3 Typical results of cavitation-erosion for different
surfaces in Fig.2.
TYPICAL RESULTS
In the experiment, a typical rotating-disk testing machine was 9V 0V -9V
employed [3]. The material of the samples used in the
experiments was steel 45 without heat treatment. The diameter
of the rotating-disk was 300 mm. In order to produce enough
bubbles in close proximity to sample surface, the height of the
samples was 1 mm out of the disk surface. The central velocity
of the samples was 30 m/s. The temperature of the water in the
experiments was kept at room temperature. In the following Fig. 4 Results of cavitation-erosion under different external
experiments, the other experiment factors were same but the voltages.
discussed one. Fig. 1 shows typical results of cavitation from
tap, drink and deionized water, in which the number of micro REFERENCES
particle became less and less. From the figure, the number of 1. R. T. Knapp, Cavitation, 1970, McGraw Hill, New York.
pits on the surface was directly proportional to that of the micro 2. G. Bruno, R. Pecha, Mie scattering from a sono- luminescing
particles in water. In the deionized water, there are nearly no bubble with high spatial and temporal resolution, Phys Rev E
pits. Fig. 2 shows three surfaces with different topographies. 61(2000) 5253-5256.
Fig. 3 shows the corresponding results of cavitation-erosion. 3. J.D. Wang, H.S. Chen, Q. Li, Y.J. Li, D.R. Chen, Key roles
From Fig. 2 and 3, the surface topography was a crucial factor of micro-particles in water on occurrence of cavitation-erosion
inducing the cavitation- erosion. Fig. 4 show typical results
of hydro-machinery, Chinese Science Bulletin 53 (2008)
under different external voltages. In the figure, the
cavitation-erosion was the most serious when an external 9 1603-1607.
voltage was applied, while the cavitation-erosion was reduced

31
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Mechanical and Tribological Properties of TiC-Reinforced HSS-Based Composites with an

Interpenetrating Network for High Temperature Self-Lubrication Applications
Yanjun Wanga,b,* , Zuomin Liua
a. Institute of Tribology, Wuhan University of Technology, Wuhan 430070, China
b. School of Mechanical Engineering, University of Jinan, Jinan 250022, China

ABSTRACT mechanical and frictional properties of such materials are poor

Porous M3/2 type high speed steel (HSS) preforms
reinforced with both TiC and Cu3P were fabricated using a kind
of complex as pore forming agent via vacuum sintering process.
The porous preforms were infiltrated with Pb-Sn-Ag based
solid lubricants using a self-made vacuum high pressure
infiltration furnace to create almost fully dense self-lubrication
composites,where both solid lubricant phase and matrix phase
were interpenetrating throughout the microstructure. By means
of scanning electron microscope (SEM) and energy dispersive
X-ray spectrometer (EDS), it was found that Pb-Sn-Ag based
solid lubricants are well dispersed and embedded in the HSS
matrix. The hardness, microstructure and crushing strength of
the sintered preforms and the composites were evaluated. The
friction and wear properties of the materials were estimated by
a pin-on-disc wear machine under dry conditions at room
temperature, 300, 500, 600, 700 and 800 ć. The hardness,
crushing strength and wear resistance of the preforms and the
composites were improved significantly by the additions of
both TiC and Cu3P more than by only TiC. It is evidence that
very little densification of pore walls occurs during solid state
sintering of M3/2 HSS preforms. However, higher densification
is achieved in the case of supersolidus sintering. By adding 7
wt.% Cu3P and 15 vol.% TiC into the HSS matrix, the best
comprehensive properties of mechanics and tribology have
been obtained for the preforms and the composites. The
composites infiltrated with Pb-Sn-Ag based solid lubricants
showed very low friction coefficient and wear rate at elevated
temperature.
Keywords: Self-lubrication materials; Gas pressure infiltration;
Friction and wear; Solid lubricant; High speed steel
1. INTRUCTION
Nowadays, sintered high-speed steels (HSSs) are no longer
used primarily as cutting material. They are well established
today in many other applications as structural, tool, anti-wear
and bearing materials where the excellent compressive strength
and wear resistance, as well as suitable self-lubrication and
thermal stability are required [1]. As self-lubricating materials
for bearing applications under severe sliding conditions,
external lubricants such as oil, grease or solid lubricants can be
excluded, and the design can be simplified [2, 3]. Previous
research has shown that additives CaF2 or MoS2 and TiC added
into the metal matrix can change the microstructure and
mechanical properties, and also improve the high temperature
lubricating properties of the composites [4]. Unfortunately, the
Table 1 The grain size and chemical composition of matrix powders
TiC (purity,%) , Cu3P (content of P, % wt )
99.0 5.0̚8.0
Size (μm) 20~25 10
in many cases. Because that the general mix-sintering method
causes two side effects on sintering characteristics and material
lubricating properties. One is that the continuity of substrate
hard-phases destroyed by solid lubricant phase and thus reduce
both material strength and wear resistance of the sintered
composites. The other is that the low melting-point solid
lubricants was partially burned or oxidized at high sintering
temperature, which damaged their lubricating properties
drastically [5,6]. A novel method to overcome these of the
self-lubrication composites is to infiltrate molten solid
lubricants into an ordered porous sintering body called preforms
[7]. Preliminary experiments have revealed that the physical
properties of such composites depended to a large degree on the
properties of preforms [9] and the tribological properties was
based on squeezing the lubricant phase out, which led to the
formation of a surface film protecting the friction surfaces
against seizure and scoring (self-lubrication effect) [10]. And
the main problem of sintering HSSs preforms was a high
sintering temperature and a narrow sintering window [1].
The present work represents a new approach producing
TiC-reinforced HSS-based self-lubrication Composites with an
interpenetrating network. It was fabricated by forming an
orderly microporous HSS preform and infiltrating the preform
bulk with molten solid lubricant. The work presented was
concerned with the following:
1. The feasibility of achieving low friction coefficients and
low wear at high temperature in the self-lubrication HSS-based
composites with an interpenetrating network.
2. Searching for new chemical compositions which could
overcome the main problems with sintering HSSs, a high
sintering temperature and a narrow sintering window.
3. The evaluation of mechanical properties and tribological
characteristics of the newly formed materials.
2. EXPERIMENTAL PROCEDURE
2.1. MATERIALS
The major material powders used in this study were high
speed steel (HSS) M3/2, TiC and Cu-Cu3P. The chemical
composition and grain size of the material powders were listed
in Table 1. The mixture of TiH2, CaCO3 and stearic acid were
selected as the complex pore forming agent (PFA), which were
prepared by mixing 40 Vol.% TiH2, 59 Vol.% CaCO3 and
1Vol.% stearic acid in an agate mortar by an agate pestle. And
the Pb-Sn-15Ag-0.7RE compound was chosen as solid
lubricants for the infiltration process.
HSS M3/2, % wt
C Cr W Mo V
1.10 4.05 6.06 5.70 2.90
55 ~73

* E-mail address: ynjnwang@yahoo.com (Y. J. Wang)

32
 Mechanical and Tribological Properties of TiC-Reinforced HSS-based Composites with an Interpenetrating Network for
High Temperature Self-lubrication Applications

 The matrix powders (chemical composition of the matrix of pins (I12×10 mm) were allowed to slide against a rotating
powders were listed in Table 2) were thoroughly mixed with 8 disc (I50×10 mm). The pin specimens were rounded to have 8
Vol.% of complex PFA powder in a ball mill for two hours. mm diameter radius at one end with a surface roughness of 1.6
These milled powder mixture were then uniaxially die-pressed μmcenter-line average (CLA).The counter discs were Ti-Al
with 600 MPa to reach the desired form. After compaction, the coated materials with a hardness of HV 19.42 GPa. The disc
green compacts were sintered at temperatures of 1250 ć during surface was polished to produce a final surface roughness of
1 hour in a pilot vacuum furnace at a heating rate of 5 ć/min. 0.32 μm. The friction and wear tests were conducted at room
A vacuum of 10 1  10 2 mbar was used in lower temperature temperature, 300, 500, 600, 700 and 800 ć in the laboratory air
range (up to 900 ć) and the vacuum of 10 2  10 3 mbar was environment. A normal load of 50 N, a sliding speed of 0.139
used in higher temperatures range (above 900 ć). The m/s and a sliding duration of 2 hours were used in each test.
TiC-reinforced HSS-based self-lubrication composites were An optical microscope was used for measuring the
then produced by infiltrating molten Pb-Sn-15Ag-0.7RE diameter of wear scar on pin samples. The wear volume was
compound into above preforms at 800 ć, using a self-made calculated using the following procedure [10]:
vacuum high pressure infiltration furnace. Sd 4
V ( 2)
Table 2 The chemical compositions of the matrix powders 64r
A B C D E F G H I Where d is the wear scar diameter (mm) and V is the worn
volume (mm3).
TiC, Vol.% 0 5 10 15 15 15 15 15 20
A scanning electron microscope (SEM, HITACHI X-650,
HSS M3/2, Vol.% 100 95 90 85 85 85 85 85 80 Japan) equipped with an energy dispersive spectroscope (EDS,
Kevex Super Quantum) was used to characterize the pin and disc
Cu 3 P, % wt 0 0 0 0 5 6 7 8 0
wear surfaces to clarify wear mechanisms.

2.2. PHYSICAL PROPERTY EVALUATION 3. RESULTS AND DISCUSSION

Bulk density U and open porosity p0 were determined via
the Archimedes method with de-ionized water as the liquid
medium. The theoretical density U 0 was calculated by using
the mixture law. The total porosity p of the sintered compact
was calculated by the following equation:
p ( U 0  U ) / U 0 u100%
The compression strength tests were carried out on cylindrical
samples (diameter = 12 mm, height = 10 mm) using a
compression strength testing machine with a crosshead speed of
8.0u10-6 m/s. The micro-hardness was measured using a micro
sclerometer.
2.3. WEAR AND FRICATION BEHAVIOR
Friction and wear properties of the composites were
investigated using a high temperature wear tester under dry
conditions. The composites and the matrix preform in the form
3.1. PHYSICAL PROPERTIES
For intuitive comparison, the physical properties of the
preform and the composites are given in Table 3. It is observed
that percentage porosity increased with increase in TiC content.
This was also reflected in the densification parameter. The
(1) crushing strength and the macrohardness of sintered samples
did not vary greatly as the TiC content increases. For M3/2
HSS reinforced with 15 vol.% TiC, the additions of up to 7
wt.% Cu3P resulted in a increase in the values of density,
crushing strength and microhardness. With 7 wt.% Cu3P
addition, a maximum crushing strength of 1078.1 MPa and a
highest microhardness of 830.6 N·cm-2 were observed. With
further addition of Cu3P, a slightly decrease of the crushing
strength and microhardness were observed. Reverse result was
obtained in the relationship between open porosity and Cu3P
addition.

Table 3 Physical properties of preforms and composites

Sample A B C D E F G I
-3
Density Residual (g.cm ) Preform 5.83 5.78 5.59 5.67 5.69 5.70 5.68 5.48
Opening porosity (% ) Preform 12.4 14.9 18.0 17.1 16.8 16.5 17.2 19.8
Preform 987.6 956.2 898.8 976.3 980.6 989.2 978.4 865.4
Crushing strength (MPa)
Composite 1020.4 989.6 979.9 1048.4 1059.3 1078.1 1054.4 948.4
Preform 788.6 798.5 818.0 816.5 818.6 828.7 819.6 808.6
HV (N·cm-2)
Composite 803.5 808.9 820.8 823.5 830.6 832.9 831.5 817.5

3.2. FRICTION MEASUREMENTS
Fig. 1 shows the friction coefficient (μ) versus temperature
for self-mated couples, respectively, of preform D, composite
‘D’, composite ‘G’, and composite ‘B’ specimens. At room
temperature, the observed values of μ for composites were
slightly lower than that of the preform. However, at higher
temperatures, the three composites showed significantly low
values of the friction coefficient compared to the preform. The
advantages of a lower friction were maintained at all
temperatures above room temperature.
The reference materials, the composite ‘D’ and composite
‘B’ showed almost the same average friction coefficient of 0.36
with the composite ‘G’ exhibiting the lowest average friction
coefficient of 0.28 in a range temperature of 300 °C to 600 °C.
3.3. MEAN WEAR VALUES
Fig. 2 shows the mean wear rate obtained under
experimental conditions similar to those recorded in Fig. 1. It
can be seen that The small, approximately linear increase in
wear rate over the test temperature range of 300–800 °C for the

33
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

magnitude than that of the preform at 300 °C–800 °C, as

1.2
expected. The lowest total duration wear rate of the pin was
1.0 found for M3/2 HSS with additives of 15 vol.% TiC and 7
wt.% Cu3P (composite G).
Preform D
0.8
Composite D
3.4. COEFFICIENT OF FRICTION
Friction Coefficient

Composite G
In Fig. 3, the typical variations of the friction coefficient with
0.6
Composite B sliding duration are presented for the preform and composites.
It can be seen that the friction coefficients of composites
0.4
infiltrated with Pb-Sn-Ag based solid lubricants were much
lower than that of the preform, which had no solid lubricant
0.2
infiltrated. The lowest and most stable friction coefficient was
obtained for composite with additives of 15 vol.% TiC and 7
0.0
0 100 200 300 400 500 600 700 80 wt.% Cu3P (composite G), which showed very stable friction
Temperature ć)
(
Temperature (ć) coefficient, with an average value of 0.28. For the preform, at
Fig. 1 Friction coefficients in a range of temperatures up high temperature, the galling seizure occurred eventually. The
seizure event was accompanied by a sudden increase in wear
to 800 ćfor the composites D and G and preform D
rate, heavy noise and vibration. Therefore, the test was stopped
after 90 minutes.
0.1 1.2 1–Preform D
Preform D 2–Composite D
0.01 Composite D 1.0 3–Composite G

Friction coefficient
Composite G
0.001 Composite B 0.8
Wear rate (mm 3/Nm)

IE-04 0.6
1
2
IE-05 0.4

IE-06 0.2 3

IE-07 0.0
0 100 200 300 400 500 600 700 80
ć)
Temperature(ć)
Temperature ( 0 15 30 45 60 75 90 105 120
Time (min)
Fig. 2 Wear rate in a range of temperatures up to 800 ć Fig. 3 Friction coefficient of the preform and the
for the composites D and G and preform D composites versus sliding duration under a normal load of
50 N and a sliding speed of about 0.139 m/s at 600 ć
composite materials results in very small differences in wear
behaviour between 300 °C and 800 °C , whereas the increase of
about two order of magnitude in the wear rate of preform at
300 °C–700 °C. This suggested differences in wear
mechanisms in these two conditions. The trend was shown that
the wear rate of the composites was lower by two orders of

Fig. 4 SEM topographies of worn surface of (a) the preform D, (b) the composite D and (c) the composites G sliding against
TI-Al ceramic coated materials at 600 ć

3.5. MORPHOLOGY OF THE WORN SURFACE
Typical features of the worn surfaces of the preform and the
composites at 600 0C under a load of 50 N for 2 hours sliding
duration are shown in Fig. 4.
It can be seen that there were obvious furrow marks and
adhesive traces on the worn surface of the preform D, but no
any lubricating film had been founded (as shown in Fig. 4 a).
While on the worn surface of the composite D and G infiltrated
with Pb-Sn-Ag based solid lubricants, a thin lubricating film
existed. Comparing the topographies of the two composites, it
can be observed that the worn surface of the composite G with
additives of 7 wt.% Cu3P was smooth along the sliding

34
 Mechanical and Tribological Properties of TiC-Reinforced HSS-based Composites with an Interpenetrating Network for
High Temperature Self-lubrication Applications

direction: no plastic deformation or fatigue cracks could be
found (as shown in Fig. 4 c). Whereas the worn surface of the
composite D with no additives of Cu3P was much rougher (as
shown in Fig. 4 b).
The XRD patterns of the worn surface of preform D, composite
D and composite G were shown in Fig. 5, Fig. 6 and Fig. 7.It
can be seen that the wear surface layer of high-speed steel
reinforced with TiC was mainly composed of Fe2O3, (Fe,Cr)7C3,
Ti8C5, Cr3Ti3O, Cr2Ti and Al2O3, and no elemental Pb, Sn and
Ag phases were found (Fig. 5). On the wear surface layer of the
composites infiltrated with Pb-Sn-Ag based lubricants, the
elemental Pb, Sn, Ag and Cu intermetallic compounds and
oxides were formed (Fig. 6 and Fig. 7).

1-Ti 2-(Fe,Cr)7C3 3-Ti8C5 4-Cr3Ti3O 5-Cr2Ti 6-TiC

Fig.5 XRD spectra of the worn surface of preform D sliding against TI-Al ceramic coated materials at 600 ć

1-Fe2O3 2-PbWO4 3-SnO2 4-Ag5Pb2O6 5-Ag2WO4 6-Fe3Sn 7-PbO 8-Ag3Sn

Fig.6 XRD spectra of the worn surface of composites D sliding against TI-Al ceramic coated materials at 600 ć

35
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
1-Fe2O3 2-PbWO4 3-CuO 4-SnO2 5-SnW4 6-Ag3P11 7-Ag2WO4 8-Ag5Pb2O6 9-Cu3Sn 10-Ag3Sn 11-PbO
Fig.7 XRD spectra of the worn surface of composites G sliding against TI-Al ceramic coated materials at 600 ć
3.6. DISCUSSION
It is evidence that the intensity lies mainly on the felted
intensity of sintered necks when micropore materials endure
outer pressure stress. Previous research has shown that
additives greatly affect the mechanical properties of M3/2
sintered high speed steels [11]. During sintering, TiC particles
will react with M3/2 to form Ti-MC type carbides at the
TiC-M3/2 interface. On the other hand, TiC has a good
thermo-dynamical stability and will disperse as hard particles
in the steel’s matrix. The properties of TiC enable it to enhance
the sintering strength of the steels and improve their wear
resistance. However, the materials manufactured in this work
showed that the addition of hard particles TiC slightly reduced
the crushing strength. Reduction of crushing strength may be
attributed to decreasing of sintered density (Table 3) and grain
growth.
The liquid phase sintering of HSS falls into the supersolidus
category, which involves densification by melt formation in a
pre-alloyed powder compact by heating it above its solidus
temperature. The addition of Cu3P to these TiC reinforced HSS
was found to increase densification of sintered necks through
an additional transient liquid phase sintering. During transient
liquid phase sintering in the presence of the Cu3P melt, solid
solution strengthening of the sintered necks was apparent along
with the decrease in porosity. The enhancement of densification
after increase in hardness is evident (Table 3). Therefore, with
addition of Cu3P to these TiC reinforced composite, the
crushing strength and the microhardness of the composites
were improved. Excessive amount of Cu3P (>7 wt.%) caused
formation of continuous grain boundary films. These weak
films degrade overall mechanical properties of the sintered
composites. The Cu3P content in the pre-alloyed powders must
be appropriate so that the mechanical property and the porosity
of the sintered materials are optimized.
Self-lubrication of porous composites infiltrated with solid
lubricants based on two preconditions [12]. One is that the
lubricants in holes can reach the sliding surface during friction.
The other is that the lubricants have a good lubricating effect. It
is usually considered for porous self lubrication materials that
solid lubricant is forced to the surface by capillarity or the
36
difference of thermal expansion coefficient between the solid
lubricant phase and the matrix base. At lower temperatures, such
as 25 C, obvious thermal expansion or melt of Pb-Sn-Ag based
solid lubricants hardly happens. As a result, the composites do
not show the self-lubricating property. At higher temperatures,
such as 300-800 C, occurrence of obvious thermal expansion
and partly melt of the Pb-Sn-Ag based solid lubricant makes it
possible for the lubricant to be dispersed to the friction surface
and thus makes self-lubrication possible (Fig. 1) .
Therefore the Tribological properties of self lubrication
composites, which consist of a relatively stiff matrix and soft
second phase, depend on the physical and mechanical properties
of surface films, and also their origin. The ability of
self-lubrication materials to form such films during sliding is the
primary factor for the excellent tribological properties of these
materials. Under higher surface temperature, elemental Pb, Sn
and Ag contained in the composites flow through the porous
structure and are furnished to the contact surface to form
PbWO4, SnO2, Ag5Pb2O6, Ag2WO4, Fe3Sn, PbO, and Ag3Sn
intermetallic compounds and oxides, providing thereby certain
lubrication during friction process (Fig.6 and Fig. 7). The
addition of Cu3P in TiC reinforced high speed steel formed
some intermetallic compounds and oxides on the wear surface,
such as Cu3Sn and CuO (Fig. 7), which could enhance the
self-lubrication and wear resistance. The synergistic effect of
the intermetallic compounds and oxides in wear surface and the
debris on wear surface of the alloy contributes to the further
reduction of the friction coefficient.
4. CONCLUSIONS
1. The mechanical properties and wear characteristics of
HSS-based self-lubrication composites with an interpenetrating
network are increased significantly with the addition of 15
vol.% TiC and 7 wt.% Cu3P.
2. In the steady-state stage hard TiC diminishes wear and
Cu3P reduces both friction and wear. The intended purpose is
their incorporation.
3. The formation and presence of a ‘protective’ lubricating
film is an essential part of the morphology of worn surfaces in
tribo-system. For the TiC and Cu3P reinforced high speed steel
 Mechanical and Tribological Properties of TiC-Reinforced HSS-based Composites with an Interpenetrating Network for
High Temperature Self-lubrication Applications
infiltrated with Pb-Sn-Ag based lubricants, the formation of
lubricating film on the contacting interface reduces the value of
the friction coefficient to 0.28 and the wear rate to 6.3×10-6
mm3/Nm at high temperature (600 C). In contrast, for preform
without infiltrated solid lubricants, the observed value of
friction coefficient is 1.10 and the wear rate 5.3×10-3 mm3/Nm.
ACKNOWLEDGEMENTS
The authors would like to thank National Natural Science
Foundation of P.R. China for the financial support (ID:
50275110 and 50775168).
REFERENCES
[1] Sustarsic B., Kosec L., Dolinsek S. et al., 2003, “The
characteristics of vacuum sintered M3/2 type HSSs with
MoS2 addition,” Journal of Materials Processing
Technology, 143-144, pp. 98-104.
[2] Zsidai L., De Baets P., Samyn P., et al., 2002, “The
tribological behavior of engineering plastics during sliding
friction investigated with small-scale specimens,” Wear 253,
pp. 673–688.
[3] Xiang D. H., Shan K. L., 2006, “Friction and wear behavior
of self-lubricating and heavily loaded metal–PTFE
composites”,Wear 260, pp.1112-1118.
[4] Liu Z. M., Childs T.H.C., 2004, “The study of wear
characteristics of sintered high speed steels containing
CaF2, MnS and TiC additives at elevated temperature”,
Wear 257, PP.435–440.
37
[5] Sun X. L., Liu Y., Lu Y., 2001, “P/M metal-matrix
high-temperature solid self-lubricating materials,” Powder
Metallurgy Technology 19, PP. 86–92.
[6] Liu Z. M., 2007, “Elevated temperature diffusion
self-lubricating mechanisms of a novel cermet sinter with
orderly micro-pores”, Wear, 262, PP. 600-606.
[7]Mattern A., Huchler B., Staudenecker D., et al., 2004,
“Preparation of interpenetrating ceramic–metal composites”,
Journal of the European Ceramic Society, 24, PP. 3399-3408.
[8] Sang K. Z., Lu Z. L., Jin Z. H., 2002, “A Study of the SiC
Composite Ceramics for Self-lubrication,” Wear 253, PP.
1188-1193.
[9] Michalski J., Wejrzanowski T., Gierlotka S. et al., 2007,
“The preparation and structural characterization of
Al2O3/Ni–P composites with an interpenetrating network,”
Journal of the European Ceramic Society 27, PP.831-836.
[10] Bushe N. A., Goryacheva I. G., Makhovskaya Y. Y., 2003,
“Effect of aluminum-alloy composition on self-lubrication of
frictional surfaces,” Wear 254, PP.1276-1280.
[11] Zalisz Z., Watts A., Mitchell S.C., et al., 2005, “Wronski,
Friction and wear of lubricated M3 Class 2 sintered high
speed steel with and without TiC and MnS additives”, Wear
258, pp701–711.
[12] Sang K. Z., Lü Z. L., Jin Z. H., 2002, “A study of the
SiC-L composite ceramics for self-lubrication”, Wear 253,
pp1188-1193.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Friction and Wear Characteristics of Advanced Space Lubricants

*Nobuyoshi Ohno, Saga University, Mechanical Sobahan Mia, Saga University, Mechanical Engineering,
Engineering, 1, Honjo, Saga, 840-8502 JAPAN 1, Honjo, Saga, 840-8502 JAPAN
Shigeki Morita, Saga University, Mechanical Shingo Obara, Japan Aerospace Exploration Agency,
Engineering, 1, Honjo, Saga, 840-8502 JAPAN 2-1-1, Sengen, Tsukuba, Ibaraki, 305-8505 JAPAN

(Extended Abstract)

ABSTRACT
Synthetic oils and greases are used for space lubricant. So, it
is important to know the performances of these lubricants. The
base oil 815Z and 2001A and the greases 600EF, 601EF and
602EF with base oil 815Z and grease R2000 with base oil
2001A were considered as the test lubricants in this study. The
highest wear scar has found for base oil 815Z but it showed the
lowest coefficient of friction, whereas greases 600EF, 601EF
and 602EF showed lower wear scar and considerable friction
coefficient. Investigating these phenomena, authors found that
the base oil 815Z contains the acetal group (-OCF2O-). At high
shear rate in EHL conjunction the viscosity was decreased by
mechanical shear. Hydrogen fluoride occurred with the
decomposition of acetal group. It increases the wear rate of the
contact surfaces. But that decomposition does not occurred in
the greases with base oil 815Z and showed better result as
space lubricant.
Keywords: Tribology, Space Lubricant, Friction, Wear
INTRODUCTION
Liquid lubricants are frequently used in space mechanisms
because they are associated with low mechanical noise, no
wear in the elastohydrodynamic regime, ease of replenishment,
ability to remove wear debris and insensitivity to environ-
mental factors [1]. Friction and wear behavior of space
lubricants are vital under boundary lubrication condition for
longevity of space mechanisms. Now a days perfluoropoly-
ether (PFPE) and multiply alkylated cyclopentane (MAC) are
well known liquid lubricant for space appliances. Also some
greases of these base oils are used. In this study, authors’
considered two kinds of base oils and four kinds of greases.
PFPE 815Z is one of the base oil and the greases using this base
oil are 600EF, 601EF and 602EF. Another base oil is MAC
2001A and grease R2000 is produced using this base oil. Mainly
friction and wear behavior of these oils are examined using
4-ball wear testing machine. It has found that the wear scar area
of base oil 815Z increased extremely compared with greases.
Investigation found the permanent viscosity loss occurred in the
fresh 815Z oil and hydrogen fluoride (HF) generated with the
decomposition of acetal group (-OCF2O-) [2][3].
Table㧝 Properties of base oil
Fluid ρ, g/mL ν, mm2/s α,GPa-1 M Rotating ball
VI
name 288 K 313 K 373 K 313K g/mol
815Z 1.8580 139.1 42.7 343 11.9 9200
2001A 0.8513 103.2 14.4 137 10.7 910
EXPERIMENTAL
SAMPLE OIL AND GREASES
Two kinds of base oil and four kinds of greases using these
base oils were used as sample. PFPE 815Z and MAC 2001A
are the base oil where as 600EF, 601EF, 602EF and R2000 are
the tested greases. Properties of the base oils and greases are
given in Table1 and Table 2 where ρ is the density, ν is the
kinematic viscosity, VI is viscosity index, α is pressure-
viscosity coefficient and M is the molecular weight.
EXPERIMENTAL APPARATUS AND METHOD
Friction and wear experiments were carried out using a
conventional 4-ball wear tester. The balls arrangement of the
test is shown in Fig.1. The steel balls of 19.05 mm in diameter
and 5.7nm in mean surface roughness was used in the
experiments. All experiments were conducted at constant load
for each ball of w=564N (corresponding mean Hertzian
pressure of 2.6GPa and Hertzian diameter of dH=0.521mm),
upper rotating ball speed of 60rpm, test duration of 60min and
at room temperature of 22~25°C. Friction was measured by
means of a torsion bar to which the bottom of oil container was
clamped.
RESULTS AND DISCUSSION
The photograph of wear scar area of all tested
samples has shown in Fig.2 mentioning base oil as O
and grease as G. Higher wear scar has found for base oil
815Z, investigating the causes used 815Z oil at 85.5
hour bearing life test [4] was also tested. On the other
hand wear scar area and friction coefficient is plotted in
Fig.3. Results shown low wear scar has found except for
815Z oil but comparatively low friction coefficient has
found for 815Z oil where as friction coefficient for other
samples are lies on normal value of 0.1~0.12. The low
wear scar area of greases 600EF, 601EF and 602EF has
found which are made using base oil 815Z. The
chemical decomposition and permanent viscosity loss
occurred during the test of 815Z fresh base oil, which
has not occurred in greases or used 815Z oil [4].

Table 2 Properties of grease

Fixed ball
Grease Grease Penetration,
Base oil Additive
name Thickener Worked
600EF 815Z PTFE 288 -
601EF 815Z PTFE 287 O. I
602EF 815Z PTFE 273 MoS2
R2000 2001A Sodium soap 276 -
Fig. 1 Main part of test apparatus
38
 Friction and Wear Characteristics of Advanced Space Lubricants
Fig.2 Wear scars of fixed steel ball
Fig.3 Relation of wear scar area A and friction coefficient Ǵ
To prevent the HF generation and permanent viscosity loss of
815Z oil, greases using this base oil are preferable. Among this
greases 602EF showed lower wear due to the effect of it MoS2.
It also found the bearing life increases using 601EF greases [4].
Where as wear scar area of grease R2000 increased 22%
compared with its base oil MAC 2001A. Wear scar of base oils
is as 815Z>2001A but for friction coefficient 815Z<2001A. In
case of greases wear scar is R2000>601EF>600EF>602EF and
friction coefficients is in reverse order as R2000<601EF
<600EF<602EF.
Fig. 4 Time dependants wear scar for 815Z and 2001A oil
39
liquid
(D) (C) (B) (H)(G) (I) (A)
300 (F)
(E)
Phase line for 815Z
T, K
solid
Phase line for 2001A
200
815Z
2001A
Hertzian
0 0.5 1 1.5 2 2.5 3
− GPa
p,
(A): Hertz pressure, (B): 5 min, (C): 10 min, (D): 20 min
(E): 40 min and (F): 60 min wear test for 815Z oil
(G): 20 min, (H): 40 min, (I): 60 min wear test 2001A oil
Fig.5 Phase diagram of 815Z and 2001A oil
Wear behavior of the base oils are again investigated using the
applied average pressure on it. Figure 4 has shown the time
dependants wear scar for the base oils mentioning the average
pressure of each point. These points are plotted on the phase
diagram as shown in Fig.5. This graph has shown that the base
oil 815Z was on liquid phase on the test conditions and
permanent viscosity loss occurred as a result, large wear scar
has found at the contact region. It has reported that the
permanent viscosity loss decreases from liquid phase to solid
phase [3]. In case of 2001A, at the applied average contact
pressure the oil stayed at solid region and reduced the wear.
CONCLUSION
In this study it has found the wear scar area of PFPE 815Z
oil increases extremely compared with other space lubricants.
In case of 815Z oil, permanent viscosity loss occurred by
chemical decomposition and the generation of HF at the
contact region and originated large wear. To reduce the wear
scar and increase the life of contact mechanism greases of
815Z base oil is preferable. The friction coefficient of 815Z oil
is lower than the greases. In case of MAC oils wear scar of
grease R2000 increases compared with its base oil 2001A.
REFERENCES
[1] Jones, W.R., Jr. at el., 1994, “The preliminary Evaluation
of Liquid Lubricants for Space Applications by Vacuum
Triobometry,” 28th Aerospace Mech. Symp., NASA Lewis
Research Center, Cleveland, OH.
[2] Ohno, N., 2007, “EHL behavior of liquid lubricants for
space application,” Journal of Japan Society for Design
Engineering, 42, 1, pp.9-14.
[3] Mia, S., Komiya, H., Hayashi, S., Morita, S., Ohno, N.,
Obara, S., 2007, “Viscosity loss in PFPE lubricant for
space applications under EHL conditions,” Tribology
Online, 2(2), pp. 54-58.
[4] Ohno, N., Komiya, H., Morita, S., Mia, S., Satoh, N.,
Obara, S., 2007, “Bearing Fatigue Life Tests in Advanced
Base Oil and Grease for Space Application,” Proc. STLE
Annual Meeting, Philadelphia, CD-ROM, pp.1-24.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Lubrication Analysis of Journal Bearing and Rotor System Using CFD and FSI Techniques
Huiping Liu*/Theory of Lubrication and Bearing Institute,
Xi’an Jiaotong University, Xi’an Shannxi, 710049, China
Institute of Medical and Biological Engineering,
University of Leeds, Leeds, LS2 9JT, UK
Peter Ellison/ Institute of Medical and Biological
Engineering, University of Leeds, Leeds, LS2 9JT, UK
(Extended Abstract)
ABSTRACT
Along the development of software and hardware, more
and more complex engineering problems can be predicted
using a computational approach. For a complex bearing-rotor
system, several lubrication models have been developed based
on the Computational Fluid Dynamics (CFD) technique where
a general Navier-Stokes equation is usually considered. In this
paper, three different journal bearing models were simulated
using a CFD and Fluid Structure Interaction (FSI) technique to
investigate the interaction of the lubrication of the journal
bearing and the dynamics of the shaft: a pure fluid bearing
model, an FSI squeeze-film model and a bearing-rotor FSI
model. The first two models were built to compare the CFD
and FSI methods with the solution predicted from the classical
Reynolds equation and two different boundary conditions
were adopted, Sommerfeld and Gumbel. The results of both of
these models were compared with the analytical solutions and
good agreements were found. The combined CFD and FSI
method was subsequently used to study the lubrication
performance of the rotor-bearing system. An elastic shaft was
used in the full coupled bearing-rotor FSI model, as well as
the Gumbel boundary condition. The load applied on the
model included a vertical load and a rotation, representative of
real working conditions of an experiment of marine journal
bearing. Future more complex models will be developed to
investigate more realistic rheological properties of the
lubricant and the complex interactions between the lubrication
of the journal bearing and the dynamics of the shaft using the
CFD and FSI method.
Keywords: Journal bearing; Computational Fluid Dynamics
(CFD); Fluid Structure Interaction(FSI); Lubrication
1. INTRODUCTION
As the important parts of rotary machines, a large number
of journal bearings and rotors are required. Therefore, it is
important to investigate the performance of the rotor bearing
system. Numerical methods such as the finite difference and
the finite element are usually used to solve the Reynolds
equation to predict the lubrication performance. However,
many studies have been recently conducted with a general
CFD approach. Guo et al. [1] developed some models for
bearings and squeeze film damper with CFD and calculated
the static and dynamic characteristics. Almqvist and Larsson
[2] investigated the thermal transient rough EHL line contact
problem with CFD and found that the commercial CFD code
could be modified to solve their lubrication model. However,
there has been no study where an FSI approach is used to
analyze the combined effect of hydrodynamics and elasticity
and dynamics of bearing surfaces. The aim of this study was to
apply a CFD and FSI method to the lubrication of a
bearing-rotor system.
2. ANALYSIS
Three different models were developed in this study by
*Corresponding author: E-mail address: menlhu@leeds.ac.uk,
Tel㧦+44 113 343 2179.
40
Hua Xu/Theory of Lubrication and Bearing Institute,
Xi’an Jiaotong University, Xi’an Shannxi, 710049, China
Zhongmin Jin/ Institute of Medical and Biological
Engineering, University of Leeds, Leeds, LS2 9JT, UK
using ADINA 8.4.4 (ADINA R&D Inc, Watertown, USA) [3].
Firstly, a pure fluid bearing simulation was conducted to
analyze the hydrodynamic lubrication to check the suitability
of CFD for a given bearing gap. Then, a squeeze-film
lubrication model was built to validate the method of FSI.
Finally, a fully coupled bearing-rotor FSI model was analysed
to study the interaction of the bearing and rotor. The
parameters for the lubrication model of a finite length journal
bearing are listed in Table 1.
Table 1 Parameters of the models
Parameters Value
Diameter D=0.03 m
Radial clearance C=30 μm
Length L=0.015 m
Viscosity 0.04 Pa.s
In all models, the fluid was assumed to be incompressible
and laminar. Non-slip condition was set between fluid-solid
interfaces. Zero pressure was set on the two ends of the
bearing. Sommerfeld and Gumbel boundary conditions were
applied in the simulations. Sommerfeld boundary condition
allowed subambient pressure, while the Gumbel boundary
condition was implemented by setting pressures as zero in the
divergent region.
A typical case was considered for the pure fluid bearing
simulation, with an eccentricity ratio of 0.789 away from the
outer wall centre and 30.887 degrees from the vertical
direction in the pure fluid bearing simulation. And its outer
wall was stationary and the inner wall had a rotational speed
(2750 rpm) along its shaft axis.
In the two FSI models, the material of the shaft was
assumed to be isotropic linear elastic with a Young’s modulus
of 210 GPa and a Poisson’s ratio of 0.3. The mesh density
adopted depended on the load of each model, and mesh
sensitivity was checked to ensure the accuracy of the results.
Two fluid structure interface pairs were used in the models to
connect the fluid and solid structure together.
In the squeeze model, the length of bearing was 0.15 m,
five times its diameter (i.e. L/D=5) to reduce the influence of
the axial flow. The load applied on the shaft was 200 N and
the shaft was assumed to fall from the center line of the
cylinder. In the bearing-rotor FSI model, the load applied was
2212.25 N and a rotational speed of 2750 rpm along its shaft
axis was applied to the shaft, representative of the working
conditions in an experiment of marine journal bearing.
3. RESULTS AND DISCUSSION
Fig. 1 and Fig. 2 show the pressure distribution within the
fluid under an eccentric rotational motion according to various
boundary conditions. For these typical pure fluid bearings, the
analytical load capacity of oil film were 2212.25 N.
No negative pressure was allowed with the Gümbel
boundary condition as shown in Fig. 2. To obtain the load
 Lubrication Analysis of Journal Bearing and Rotor System Using CFD and FSI Techniques

capacity, the inner surface pressure within the convergent
region (Fig. 1) and the whole inner surface pressure of Fig. 2
were integrated respectively. The load capacities from
integration are compared with the given value of 2212.25 N,
in Table 2.
Small differences were observed on the predicted
squeeze-film velocity. In the analytical solution, no
side-leakage was allowed and therefore the drop distance was
expected to be smallest at a given time as shown in Fig. 4.
Fig. 5 shows the fluid pressure distribution according to the
Gumbel boundary condition for the CFD FSI bearing-rotor
model.

Fig. 2 Fluid pressure

Fig. 1 Fluid pressure
distribution according to
distribution according to
Gümbel boundary condition
Sommerfled boundary
condition
Table 2 Comparison of load capacity
Gümbel Sommerfeld
Load-carrying (N) 2236.7 2219.66
Error 1.10% 0.33%
Small differences of the predicted load were found Fig. 5 Fluid pressure distribution with Gumbel boundary
between the CFD method and the given load based on the condition for the CFD FSI journal bearing model
Reynolds equation. The CFD method was further used to build The predicted maximum hydrodynamic pressure in Fig. 5
the FSI model for the bearing-rotor FSI system. was found to be smaller than the pure fluid bearing model as
Fig. 3 shows the pressure distribution of the FSI squeeze-film shown in Fig. 2. This may be due to the elastic deformation of
lubrication model. The pressure was approximately evenly the shaft. Further studies will be carried out to verify this.
distributed along the axial direction expect towards the two
ends where the side-leakage became important. 4. CONCLUSION
Small differences of the predicted lubrication parameters
were found between the analytical solutions based on the
Reynolds equation and the CFD/FSI approach. The CFD/FSI
models will be used in future studies to in future studies to
investigate more complex lubrication problems such as the
realistic rheological of the lubricant and the complex
interactions between the lubrication of the journal bearing and
the dynamics of the shaft using the CFD and FSI method.

ACKNOWLEDGEMENTS
The research was supported by China scholarship council.
The funding source is gratefully acknowledged.
Fig. 3 Fluid pressure distribution of FSI squeeze-film
model according to Gümbel boundary condition REFERENCES
Fig. 4 shows the comparison of the non-dimensional drop [1] Guo, Z.L., T. Hirano, and R.G. Kirk,
distance between the CFD-FSI models and the analytical 2005,"Application of CFD analysis for rotating
solution (based on hydrodynamic lubrication where the machinery - Part I: Hydrodynamic, hydrostatic bearings
hydrodynamic pressure was not expected to cause appreciable and squeeze film damper," Journal of Engineering for
deformation) [4]. Gas Turbines and Power-Transactions of the Asme.
1.2
127(2): pp. 445-451.
1
[2] Almqvist, T. and R. Larsson, 2008,"Thermal transient
rough EHL line contact simulations by aid of
Non-dimensinal drop distance

0.8 computational fluid dynamics," Tribology International.

Analytical
41(8): pp. 683-693.
0.6 Sommerfeld
Gümbel
[3] ADINA R&D, I., 2006,"ADINA System 8.4
0.4 Documentation."
[4] A. rchibald, F.R., 1956,"Load capacity and time
0.2
relations for squeeze films," Trans. Asme. 78: pp. 28-35.
0
0 5 10 15 20 25 30
Time (s)

Fig. 4 Comparison of squeeze-film velocity between FSI

models and the analytical solution

41
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Oil Film Behavior under Minute Vibrating Conditions in EHL Point Contacts

Chen Feng/NSK China Technology Center

(Kunshan NSK Co., Ltd., 258 South Huang Pu Jiang Rd.
Kunshan E&T Development Zone Jiangsu, 215335, China)

Taisuke Maruyama/Basic Technology R&D Center Tsuyoshi Saito/Basic Technology R&D Center
( NSK Ltd. , 1-5-50, Kugenuma-Shinmei, Fujisawa, ( NSK Ltd. , 1-5-50, Kugenuma-Shinmei, Fujisawa,
Kanagawa Prefecture 251-8501, JAPAN) Kanagawa Prefecture 251-8501, JAPAN)
(Extended Abstract)
ABSTRACT
We expressed the degree of amplitude as a AC servomotor
non-dimensional parameter of amplitude ratio and found that Thrust bearing
we could restrain fretting wear by setting the amplitude ratio to 51305
more than 1.6 and by using a high viscosity lubricating oil.
Therefore, as a result of measuring oil film thickness under
conditions of minute oscillations with a ball-on-disk EHL test
rig, we can understand that an oil film is formed if the Minute vibrating
amplitude ratio is set to more than 1.6.
Keywords: Tribology, Fretting, Wear, EHL, oil

INTRODUCTION
Rolling bearings, which can be found in any machine with
a moving part, may suffer from fretting wear on the rolling
element or raceway surface as a result of two metallic surfaces
that contact each other under conditions of cyclic motion
(oscillatory tangential displacement) of small amplitude. We
know that minute oscillations produce fretting wear, but much
remains unknown about exactly how much oscillation is
required to generate fretting damage.
In this study, we converted experimental data, such as
degree of oscillation into specific amplitude and degree of
damage into specific damage. We discovered a condition
where fretting was inhibited. We measured the thickness of oil
film at the point of minute oscillation using a ball-on-disk test
machine, and investigated the relationship between specific
amplitude and minimum oil film thickness under oil-bath
lubrication.
EXAMINATION OF FRETTING WEAR
Amplitude ratio [1] can be expressed as A/D, where A is
amplitude, and D is Hertz contact diameter (see figure 1). This
parameter expresses the degree of minute oscillations.
Hertz contact area
A/D䋾1
A/D䋽1
D A/D䋼1
Minute
vibrating A damage trace. Furthermore, we determined the ratio of the
Fig. 1 Example of amplitude ratio
Using proprietary fretting test equipment (see figure 2), we
conducted a fretting wear test on a thrust bearing. An AC
servomotor was used to create minute vibrations that acted
upon the race of a thrust bearing under oil lubrication. Table 1
list the test conditions. In this test, we used two kinds of
lubricating oil of differing viscosities.
Load
Fig. 2 Fretting test equipment
Table 1 Test conditions
Temperature 25 °C
Test bearing Thrust ball bearing 51305
Poly-alpha-olefin oil (PAO)
Oil 30 mm2/s @ 40 °C
411 mm2/s @ 40 °C
Maximum vibrating speed 20 mm/s
Maximum contact pressure 3.2 Gpa
Amplitude ratio 0.5 to 1.9
Cycle number 104
Fretting wear is one kind of adhesion wear, and there are a
lot of protrusions that are higher than those of a non-damaged
area. Therefore, we measured the maximum height Ry of the
damage trace and evaluated the degree of damage. Then, we
adopted a flat disk specimen made of SUJ2 steel with the
mirror-finished side being used as the lower race of the thrust
bearings. Unevenness of the abrasion trace was restricted to the
maximum height of Ry through the use of a light interference
microscope, and measured the area including the entire
maximum height Ry before examination (almost 0.1 um) and
after examination as the damage ratio, and quantified the
damage. Figure 3 shows the relation between amplitude ratio
and damage ratio. Figure 4 illustrates damage trace results.
We tested the thrust bearing assuming that the ability to
form an oil film remains constant under uniform load and
maximum vibrating speed. In this case, we assumed that oil
film thickness is affected by viscosity in a steady state. Figure
3 supports this theory because the damage ratio decreases if we
set the amplitude ratio to more than 1.6 and use high-viscosity
lubricating oil.

42
 Oil Film Behavior under Minute Vibrating Conditions in EHL Point Contacts

conditions using an EHL test machine after making the load

and maximum vibrating speed uniform.
㪈㪇㪇㪇 㪧㪘㪦㩷㪊30mm
㪇㫄㫄㪉㪆㫊
/s 2
We applied load to the underside of a glass disk specimen
㪧㪘㪦㩷㪋㪈㪈㫄㫄㪉㪆㫊
411mm2/s using a ball specimen in order to observe the interference
fringe by shining the contact area with a white light. Oil film
thickness was then calculated using the wavelengths of this
㪛㪸㫄㪸㪾㪼㩷㫉㪸㫋㫀㫆

㪈㪇㪇 interference fringe. However, only the ball specimen was

vibrated while the disk specimen remained stationary in this
test. In addition, we used the spacer layer method [3] in order
to measure thickness on the order of 50 nm or less. Table 2
㪈㪇 lists the test conditions and figure 5 illustrates the test results.

Table 2 Test conditions

Temperature 25 °C
㪈 Poly-alpha-olefin oil (PAO)
㪇 㪇㪅㪌 㪈 㪈㪅㪌 㪉 㪉㪅㪌 Oil 30 mm2/s @ 40 °C
411 mm2/s @ 40 °C
㪘㫄㫇㫃㫀㫋㫌㪻㪼㩷㫉㪸㫋㫀㫆 Maximum vibrating speed 20 mm/s
Fig. 3 Comparison of damage ratio and amplitude ratio Maximum contact pressure 0.37 Gpa
Amplitude ratio 0.6 to 4.3
Slide-to-roll ratio 200 %

PAO䇭30
PAO䇭 mm2/s
30mm PAO䇭30
PAO䇭 mm2/s
30mm
Amplitude ratio 䋽0.5 Amplitude ratio 䋽2.0
㪍㪇 㪧㪘㪦㩷㪊㪇㩷㫄㫄㪉㪆㫊
30mm2/s
㪤㫀㫅㫀㫄㫌㫄㩷㫆㫀㫃㩷㪽㫀㫃㫄㩷㫋㪿㫀㪺㫂㫅㪼㫊㫊䋬㫅㫄

㪧㪘㪦㩷㪋㪈㪈㫄㫄㪉㪆㫊
411mm2/s
㪌㪇

㪋㪇

㪊㪇

㪉㪇

㪈㪇
PAO䇭411mm2/s
PAO䇭 PAO䇭411mm2/s
PAO䇭
Amplitude ratio 䋽0.5 Amplitude ratio 䋽2.0 㪇
㪇 㪇㪅㪌 㪈 㪈㪅㪌 㪉 㪉㪅㪌 㪊 㪊㪅㪌 㪋 㪋㪅㪌
㪘㫄㫇㫃㫀㫋㫌㪻㪼㩷㫉㪸㫋㫀㫆
Fig. 5 Comparison of minimum oil film thickness and
amplitude ratio

Figure 5 confirms that an oil film is formed if when the

amplitude ratio exceeds 1.6, and that it becomes thicker, which
increases viscosity.

Fig. 4 Trace damage and direction of oscillation
However, the damage ratio is not affected by the viscosity of
the lubricating oil when amplitude ratio less than 1. In this case,
we determined that this damage form is Mindlin slip [2] as
shown in figure 4 because there is no damage in the center of
the trace. In other words, there is an area of adherence where
sliding does not occur in the contact area. Therefore, we
assume that an oil film is not formed.
MEASUREMENT OF MINIMUM OIL FILM THICKNESS
We studied the relation between minimum oil film
thickness and amplitude ratio under minute vibrating
CONCLUSION
1. Whereas an oil film is not formed when the amplitude
ratio less than 1, there is no difference in damage ratio
even if oil viscosity is changed.
2. Fretting wear can be restrained by setting the amplitude
ratio to more than 1.6 and by using high viscosity oil
because a thick oil film is formed.
REFERENCES
[1] Sakagami, Proceeding of JAST Tribology Conference
Tottori, Nov 2004, 69.(Japanese)
[2] R.D.Mindlin, Trans.ASME, J.Appl.Mech., 71, 3(1949)259.
[3] Westlake, F.J., PhD thesis,University of London(1970).

43
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Different Loading and Motion Applied on Hip Simulators Affects the Lubrication of
Metal-on-Metal Hip Implants

Leiming Gao / University of Leeds Peiran Yang/ Qingdao Technological University

(iMBE, Leeds, LS2 9ND, UK) (School of Mechanical Engineering, Qingdao, 266033,
PR China)
Fengcai Wang / University of Bath (Department of Zhongmin Jin / University of Leeds
Mechanical Engineering, Bath, BA2 7AY, UK ) (iMBE, Leeds, LS2 9ND, UK)

(Extended Abstract)

ABSTRACT
assumed to be Newtonian, iso-viscous and incompressible [7],
The transient elastohydrodynamic lubrication for
and the corresponding viscosity of 0.001 Pa s was used in this
metal-on-metal (MOM) total hip replacement was numerically
study. The cup inclination angle to a horizontal position (x
solved under three gait loading and motion patterns, according
axis) for the three hip simulators is shown in Table 2.
to Leeds Mk I hip simulator, Leeds ProSim and ISO standard,
respectively. The Reynolds equation for pressure calculation
was solved in spherical coordinate system using the multi-grid
method and the elastic deformation of both acetabular cup and
femoral head was obtained by spherical FFT technique. Full
numerical solutions of EHL were obtained including the
pressure and film thickness distribution, for MOM hip
replacement under the three gait patterns. Large variations in
the film thickness were observed for different patterns,
especially when the three dimensional load applied on. For
example, the film thickness was significantly increased using
Leeds Mk I pattern. This may result in large difference of hip
simulator wear testing.
Keywords: Transient, Elastohydrodynamic Lubrication, Metal-
Fig. 1 The anatomic configuration of a MOM hip joint
on-Metal Hip Joint, Hip Simulator, Loading and Motion
replacement under three dimensional load and motion
INTRODUCTION
Table 1 Typical parameters for MOM hip implants
Total hip replacement has been the most successful surgical
treatment for hip joint diseases for almost fifty years. The Radius of femoral head 14 mm
requirement of long term survival of these artificial hip joints Radius of acetabular cup 14.03 mm
has led to alternative materials for the bearing surfaces, such as Elastic modulus of metal 210 GPa
metal-on-metal (MOM) total hip replacement, and the demand Elastic modulus of fixation 2.27 GPa
of hip simulator testing in terms of wear has also been Cup wall thickness 9.5 mm
increased. For MOM hip bearings, large variations in wear Equivalent fixation thickness 2 mm
have been observed in both different hip simulator studies [1, Poisson’s ratio 0.3
2], and clinical studies [3]. Since the wear resistance is
significantly affected by lubrication for MOM articulation, it is
Table 2 Cup inclination angle for the three patterns (deg)
necessary to investigate the influence of different patterns of
hip simulators on the lubrication in order to understand the Leeds Mk I Leeds ProSim ISO 14242-1
wear of MOM hip bearings. 45 35 30

Gait studies [4] have shown that human hip joints are subjected
to three-dimensional load and motion: a vertical load applied
in the superior-inferior (S-I) direction, two horizontal loads
imposed in the anterior-posterior (A-P) and medium-lateral
(M-L) directions respectively; and the flexion-extension (FE),
the abduction-adduction (AA) movement, and the
internal-external rotation (IER). In this study three gait patterns
from Leeds Mk I hip simulator, Leeds ProSim and ISO
standard 14242-1 were concerned [5], including both
simplified and three dimensional loading and motions.
MATERIALS AND METHOD
A typical MOM total hip replacement was employed with a
femoral head diameter of 28 mm, made from Cobalt
Chromium alloy [6], as shown in Figure 1. The material and
geometrical properties are listed in Table 1. The lubricant was
A general ball-in-socket model was adopted to solve the
transient lubrication for the above MOM hip replacement. The
Reynolds equation combined with the force balance equations
were solved using the multi-grid method with three levels and
257 by 257 nodes in the finest level. The elastic deformation of
the contact surfaces of both the acetabular cup and the femoral
head was obtained by a spherical FFT technique. Details of
equations, numerical methods and convergent criterion can be
found in [8, 9]. The loading and angular motion curves in a
walking cycle are shown in Figure 2. The cycle time of 1
second was divided into 100 time steps for Leeds Mk I and
ISO, 127 time steps for Leeds ProSim hip simulator. The
program codes were written in Campaq Visual Fortran and run
on an AMD Athlon 64 (3800+) PC with CPU of 2.4GHz
frequency. It cost 1-3 hours to calculate one walking cycle and
after 3-4 cycles the converged results were obtained.

44
 Different Loading and Motion Applied on Hip Simulators Affects the Lubrication of Metal-on-Metal Hip Implants
Fig.2 Loading and motion gait curves used for lubrication
analysis: (a) Leeds Mk I (b) Leeds ProSim and (c) ISO
RESULTS
The maximum pressure and minimum, centre film thickness
variations in a converged walking cycle are shown in Figure 3.
Fig. 3 Maximum pressure, minimum and centre film
thickness variations against time in a converged walking
cycle: (a) Leeds Mk I (b) Leeds ProSim and (c) ISO
45
CONCLUSIONS
The variation of maximum pressure mainly depends on the
dynamic vertical load. Large variations in the film thickness
were observed for different patterns. For the results using
Leeds Mk I pattern, the horizontal load components were
concerned, which was found to translate the contact area
substantially in the corresponding direction. This induced
significant squeeze-film action and enhanced the
hydrodynamic load generating capacity. As a result, the film
thickness was significantly increased, particularly during the
swing phase, and correspondingly the overall film thickness.
The results using ISO pattern has good agreement with the
calculation by Wang and Jin [8], in which only the vertical
load and FE motion were concerned. This indicated the IER
and AA motion has little effect on the lubrication as their
values are much smaller than the main FE motion. The present
finding offers some explanations to the large variation in wear
of MOM bearings under different operating conditions.
ACKNOWLEDGEMENTS
This work was supported by EPSRC (UK).
REFERENCES
[1] Smith, S.L., Dowson, D., Goldsmith, A.A.J., 2001, “The
effect of diametral clearance, motion and loading cycles
upon lubrication of metal-on-metal total hip replacements,”
Proceedings of I Mech E, Part C, 215 (1), pp.1-5.
[2] Firkins, P.J., Tipper, J.L., Ingham, E., 2001, “Influence of
simulator kinematics on the wear of metal-on-metal hip
prostheses,” Proceedings of I Mech E, Part H, 215 (H1),
pp.119-121.
[3] Fisher, J, Jin, Z.M., Tipper, J., Stone, M., Ingham, E., Stone,
M.H., Farrar, R., Fisher, J., 2006, “Tribology of alternative
bearings,” Clinical Orthopedics and Related Research, 453,
pp.25-34.
[4] Paul, J. P., 1967, “Forces transmitted by joints in the human
body,” Proceedings of I Mech E, 181(3J), pp.8-15.
[5] Barbour, P.S., Stone, M.H., Fisher, J., 1999, “A hipjoint
simulator study using simplified loading and motion cycles
generating physiological wear paths and rates,” J of Eng. in
Med, 213, pp.455̄467.
[6] Jagatia, M., Jin, Z.M., 2001, “Elastohydrodynamic
lubrication analysis of metal-on-metal hip prostheses under
steady state entraining motion,” Proceedings of I Mech E, Part
H, 215 (H6), pp.531-541.
[7] Cooke, A.V., Dowson, D., Wright, V., 1978, “The rheology
of synovial fluid and some potential synthetic lubricants for
degenerate synovial joints,” Engineering in Medicine, 7,
pp.66-72.
[8]Wang, F.C., Jin, Z.M., 2008, “Transient elastohydrodynamic
lubrication of hip joint implants,” J of Tribology-Transactions,
ASME, 130, 011007.
[9] Gao, L.M., Meng, Q.E., Wang, F.C., Yang, P.R., Jin, Z.M.,
2007, “Comparison of Numerical Methods for EHL Analysis
of Metal-on-Metal Hip Implant: Multi-grid verses
Newton-Raphson,” Proceedings of I Mech E, Part J, 221,
pp.133-140.
(The whole paper will be supplied by the authors if reader
needs it.)
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

EHD Lubrication of Different Types of Gears

Vilmos Simon, Budapest University of Technology and Economics,

H-1111 Budapest, Muegyetem rkp. 3, Hungary, e-mai: simon.vilmos@gszi.bme.hu

(Extended Abstract)

ABSTRACT
∂ ⎛ ∂p ⎞ ∂ ⎛ ∂p ⎞ ∂ ⎡F ⎤
⎜⎜ F2 ⎟⎟ = − ⎢ 3 (U1 − U 2 )⎥ −
The full thermal elastohydrodynamic analysis of lubrication
of spur, helical, hypoid, and different types of cylindrical and ⎜ F2 ⎟+
∂x ⎝ ∂x ⎠ ∂y ⎝ ∂y ⎠ ∂x ⎣ F0 ⎦
double enveloping worm gears is performed. The theory is
implemented by computer programs. By using these programs
∂ ⎡ F3 ⎤
⎢ (V1 − V2 )⎥ + ρ(W1 − W2 )
the influence of gear design, operating conditions and lubricant
− (1)
characteristics on maximum pressure and temperature in the oil ∂y ⎣ F0 ⎦
film, on EHD load carrying capacity of the gear pair and on
energy losses in the oil film in different types of gears is inves-
The full energy equation is applied
tigated. Part of the obtained results is presented and discussed.
Keywords: EHD Lubrication, Gears, Load Capacity, Friction
⎛ ∂T ∂T ∂T ⎞ ⎛ ∂ 2T ∂ 2T ∂ 2T ⎞
ρc p ⎜⎜ u +v +w ⎟⎟ − k 0 ⎜ + + ⎟
⎜ ∂x 2 ∂y 2 ∂z 2 ⎟
INTRODUCTION ⎝ ∂x ∂y ∂z ⎠ ⎝ ⎠
During the last decades many theoretical and experimental ⎡⎛ ∂u ⎞ 2 ⎛ ∂v ⎞ 2 ⎤
⎛ ∂p ∂p ⎞
works have been directed towards the analysis of elastohydro- = α T T⎜⎜ u + v ⎟⎟ + η⎢⎜ ⎟ + ⎜ ⎟ ⎥
dynamic lubrication in line and point contacts, but only a few ⎝ ∂x ∂y ⎠ ⎢⎣⎝ ∂z ⎠ ⎝ ∂z ⎠ ⎥⎦
paper is published on EHD lubrication analysis of gears. The (2)
papers are written by Sato and Takanashi [1], Wu and Huang
[2], Huang et al. [3], Yu et al. [4], He and Wei [5], Kong et al. The equation governing the heat transfer in gear teeth is
[6] and by Simon [7-9]. Laplace's equation
Recently, some of the main topics in lubrication analysis are
the effect of surface roughness on EHD lubrication and the
∂ 2 Tm ∂ 2 Tm ∂ 2 Tm
nanoscale oil films. Valuable experimental results are pre- + + =0 (3)
sented by Luo et al. [10] and Luo and Li [11]. ∂x 2 ∂y 2 ∂z 2
The full thermal elastohydrodynamic analysis of lubrication
of spur, helical, hypoid, and different types of cylindrical and where m=1 for the driving and m=2 for the driven gear tooth.
double enveloping worm gears is performed. The EHD lubri- The composite normal elastic displacement of the contact-
cation analysis is based on the simultaneous solution of the ing surfaces in point (x,y), caused by the pressure distribution
Reynolds, elasticity, energy, and Laplace's equations. The oil p(X,Y), is given by
viscosity variation with respect to pressure and temperature
and the oil density variation with respect to pressure are in-
p(X, Y )
x max y max
cluded. The real geometry and kinematics of the different types d (x , y ) = K d ∫ ∫ dXdY (4)
of gears is applied, thus the exact geometrical separation of the x min y min (x − X ) 2 + ( y − Y ) 2
mating surfaces is included into the oil film shape and the real
relative velocities of these surfaces are used in the Reynolds
The viscosity variation with respect to pressure and tem-
and energy equations. As the governing equations represent a
perature and the density variation with respect to pressure are
highly nonlinear integrodifferential system, the finite differ-
included:
ence method and numerical integration are used to attain the
pressure and temperature distributions in the oil film, the tem- α p −β (T − T0 ) ⎛ α 1p ⎞
η = η0e η η ; ρ = ρ0 ⎜ 1 + ⎟ (5)
perature distribution in the gear teeth, and the elastic displace- ⎝ 1 + β1p ⎠
ments of the contacting surfaces.
The corresponding computer programs are developed. By
In the viscosity-pressure relationship the exponent α η is
using these programs the influence of design parameters, oper-
ating conditions and lubricant characteristics on maximum constant in the case of Barus equation and it is pressure de-
pressure and temperature in the oil film, on EHD load carrying pendent in the Roeland’s expression.
capacity of the gear pair, and on energy losses in the oil film in The EHD load carrying capacity of the oil film is calculated
different types of gears is investigated. from the pressure by simple integration

x max y max
THEORETICAL BACKGROUND
The pertinent equations governing the pressure and tem-
W= ∫ ∫ p ⋅ dx ⋅ dy (6)
x min y min
perature distributions and the oil film shape are the Reynolds,
elasticity, energy, and Laplace's equations. Point contact EHD
lubrication analysis is applied because of the theoretical point The friction factor is defined by the ratio of the frictional
contact of mismatched (modified) gears. force to the load and it can be written as
The following general Reynolds equation is used FT
fT = ( 7)
W

46
 EHD Lubrication of Different Types of Gears
The details of the presented theoretical background are de-
scribed in Refs. [7-9].
RESULTS
By using the corresponding computer programs the influ-
ence of design and operating parameters of helical, hypoid and
worm gears on EHD lubrication characteristics is investigated.
A small part of the obtained results, namely, the influence of
speed on EHD load carrying capacity (W), friction factor (fT),
maximum pressure (pmax) and temperature (Tmax) in the oil film
is shown in Figs. 1 – 3. It can be concluded that the speed has a
significant influence on all these parameters, especially in the
region of its lower values.
ACKNOWLEDGEMENTS
The author would like to thank the Hungarian Scientific
Research Fund (OTKA) for their financial support of the re-
search under Contract No. K62722.
47
1,5
k T max
kf T
Factors k T max ; k W ; k f T
kW kW
1,0
k T max
kf T
0,5
0
0 2500 5000 7500 10000
N W [rpm]
Fig. 3 Influence of speed on EHD lubrication
characteristics in worm gears
REFERENCES
[1] Sato, M., Takanashi, S., 1981, “On the
Thermo-elastohydrodynamic Lubrication of the Involute
Gear”, Proceedings, International Symposium on Gearing
and Power Transmissions, Tokyo, I., , pp. 307-312.
[2] Wu, H., Huang, W., 1988, “Full Thermal EHD Analysis on
the Cylindrical Worm Gearing with Cylindrical Worm
Gearing with Double Circle Arc Profile”, Proceedings of
International Conference on Gearing, Zhengzhou, pp.
489-494.
[3] Huang, C., Wen, S., Huang, P., 1993, “Multilevel Solution
of the Elastohydrodynamic Lubrication of Concentrated
Contacts in Spiroid Gears”, ASME Journal of Tribology,
115, pp. 481-486.
[4] Yu, T., Zhang, S., Li, J., 1997, “A New Numerical Method
for the Solution of Helical Gear Thermal EHL Problem”,
Proceedings of MTM'97 International Conference on Me-
chanical Transmissions and Mechanisms, Tianjin, pp.
840-842.
[5] He, H., Wei, Y., 1997, “Analysis of Elastohydrodynamic
Lubrication of Plane Re-Enveloping Hourglass Worm
Gearing”, Proceedings of MTM'97 International Confer-
ence on Mechanical Transmissions and Mechanisms, Tian-
jin, pp. 660-663.
[6] Kong, S., Sharif, K., Evans, H.P., Snidle, R.W., 2001,
“Elastohydrodynamics of a Worm Gear Contact”, ASME
Journal of Tribology, 123, pp. 268-275.
[7] Simon, V., 1981, “Elastohydrodynamic Lubrication of Hy-
poid Gears”, ASME Journal of Mechanical Design, 103 pp.
195-203.
[8] Simon, V., 1988, “Thermo-EHD Analysis of Lubrication of
Helical Gears”, ASME Journal of Mechanisms, Transmis-
sions and Automation in Design, 110, pp. 330-336.
[9] Simon, V., 1997, “EHD Lubrication Characteristics of a
New Type of Ground Cylindrical Worm Gear Drive”,
ASME Journal of Mechanical Design, 119, pp. 101-107.
[10] Luo, J., Wen, S., Huang, P., 1996, “Thin Film Lubrication,
Part I: Study on the Transition Between EHL and Thin Film
Lubrication Using Relative Optical Interference Intensity
Technique”, Wear, 194, pp. 107-115.
[11] Luo, J.B., Liu, S., 2006, “The Investigation of Contact
Ratio in Mixed Lubrication”, Tribology International, 39,
pp. 409-416.
(The whole paper will be supplied by the authors if reader
needs it.)
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
The Role of Heat Partition in Elastohydrodynamic Lubrication
H.P. Evans* Cardiff School of Engineering, Cardiff
University, Newport Road, Cardiff CF24 3AA, UK.
K.J. Sharif Cardiff School of Engineering
(Extended Abstract)
ABSTRACT
The paper discusses the difficulties in distinguishing
between non-Newtonian lubricant models of the shear thinning
and the limiting shear stress types commonly used for rolling
sliding contacts in elastohydrodynamic lubrication (EHL). It
is shown that the ability of the lubricant rheological model to
replicate experimental heat partition behaviour is a much more
discriminating test in determining the correct rheological
behaviour than the ability to reproduce traction curves
observed in experiment.
Keywords: Heat Partition, non-Newtonian, Traction, EHL
INTRODUCTION
Analysis of elastohydrodynamic lubrication (EHL) is
commonly carried out for situations where there is inherent
sliding between the contacting surfaces as well as the
entrainment action that gives rise to lubricant film formation.
Examples of this kind of contact are those occurring between
the teeth of power transmission gears, between cams and
tappets, and between the power transmission elements in
toroidal traction drives. It is well known that the
conventional exponential dependence of viscosity with
pressure in such models is capable of predicting film formation
with a high degree of accuracy. On the other hand the
prediction of friction is inaccurate unless some form of
non-Newtonian lubricant behaviour is adopted.
When sliding occurs in EHL contacts, heat is dissipated in the
lubricant film and is conducted into the contacting components,
which are consequently heated and attain higher temperatures.
The way in which the total heat generated is shared between
the two surfaces is referred to as the heat partition behaviour of
the contact and the paper reviews the difficulties of correctly
predicting this partition in EHL contacts over a range of
operating conditions.
Different non-Newtonian models can match the measured
friction characteristics reasonably well, but this property of the
contact is not a discerning measure as far as distinguishing
between different non-Newtonian models is concerned. In
contrast, the ability of different models to replicate
experimental heat partition measurements is a sensitive
distinguishing factor between shear thinning and limiting shear
stress models, which are the two main rheological formulations
used for these calculations. This observation is advanced as
evidence that the predominant non-Newtonian mechanism in
high shear rate conditions, such as those in gear tooth contacts,
is that of limiting shear stress with associated lubricant slip.
Furthermore, measurement of heat partition behaviour is
proposed as a discriminating property of the lubricant that can
be measured experimentally and used to justify selection of the
lubricant model to be used in EHL analysis situations.
Many workers [e.g. 1,2] have developed methods to calculate
flash temperatures and heat partition in dry contact. However,
their approaches do not consider the EHL film where the heat
is dissipated. If heat is generated throughout the thickness of
the film the highest temperatures occur within the film itself,
*To whom all correspondence should be addressed.
48
A. Clarke Cardiff School of Engineering
R.W. Snidle Cardiff School of Engineering
and the way in which heat passes to the surfaces depends on
dissipation and conduction in the film, which must be
considered in any study of thermal behaviour of lubricated
contacts as recognised in [3].
More recently sophisticated numerical analyses of EHL have
been developed [e.g. 4,5] and such models have generally been
used to predict traction behaviour and component flash
temperatures. Recent work has seen the thermal
non-Newtonian EHL models extended to cover variable ratio
traction drive transmissions [6], starved contacts [7], rough
surfaces [8], and mixed lubrication conditions [9]. However
there is little published work on heat partition between the
contacting components. The problem has been considered for
Newtonian [3] and non-Newtonian [10] lubricant models, and
the differences between predicted and measured heat partition
behaviour has been addressed by the current authors [11,12].
EXPERIMENTAL ANALYSIS
This paper compares the results of heat partition calculated
using EHL models with those determined experimentally [13].
In these experiments the load and friction is measured, along
with the temperature at thermocouples located 3 mm below the
surface of the disk. A conduction analysis of the test disk and
shaft combination has been carried out [12] to find the
temperature variation in the disk by solving the following
equation,
∂T ⎧ ∂ 2T 1 ∂T ∂ 2T ⎫ (1)
= α⎨ 2 + + ⎬
∂t ⎩ ∂r r ∂r ∂z 2 ⎭
subject to appropriate boundary conditions. This determines
the temperature, T, averaged in the circumferential sense. The
temperature at the thermocouple position of the two disks was
matched with experiment by adjustment of the heat partition
factor, ß, defined as the proportion of the total heat dissipated
passing into the faster moving disk. Values of ß were
obtained as shown in Figure 1 for a number of experiments
carried out over a range of kinematic conditions using a gas
turbine lubricant and both transverse ground and superfinished
disks.
ß
ΔTus / °C ms-1
Fig. 1 Variation of ß with ΔTus from experiment
The values of ß were found to follow a trend curve expressed
in terms of the product of the temperature difference between
the surfaces, ΔT, and the sliding velocity, us.
 The Role of Heat Partition in Elastohydrodynamic Lubrication
THERMAL EHL ANALYSIS
A thermal EHL point contact analysis was carried out for
all the smooth surface test conditions for which experimental
data were available. Three lubricant viscosity formulations
were adopted and each was combined with two non-Newtonian
rheological models. These were an Eyring shear thinning
model
ηγ& = τ 0 sinh(τ τ 0 ) (2)
relating the resultant shear rate, γ& , and the resultant shear
stress, τ, where η is the viscosity and τ0 is a model constant;
and the Bair and Winer limiting shear stress model
ηγ& = −τ L ln(1 − τ τ L ) (3)
where τL is the limiting shear stress which is proportional to
pressure.
These analyses were carried out with temperature boundary
conditions corresponding to those observed and calculated for
the experiments, and parameters τ0 and τL were selected to give
the measured friction values. In each case the heat flux
passing into the solid surfaces was integrated in order to
determine ß. The values of ß obtained are shown in Figure 2
for five of the rheological combinations adopted together with
the trend line for the experimental values taken from Figure 1.
ß elastohydrodynamic lubrication of rolling and sliding
ΔTus / °C ms-1
Fig. 2 Variation of ß with ΔT.us determined from EHL
analysis with five rheological models
ß characteristics, friction, subsurface stresses and flash
ΔTus / °C ms-1
Fig. 3 Variation of ß obtained with slip plane model
Comparison of Figures 1 and 2 shows that the EHL analyses
lead to a completely incorrect evaluation of the heat partition
factor. This is because all of these models result in the heat
being dissipated throughout the lubricant film. The only
model that leads to values of ß that correspond approximately
to the experimental data is the model that uses a Barus
viscosity formula combined with the limiting shear stress
model. For this model most of the heat is dissipated in a slip
49
plane and the results shown in Figure 3 are obtained by
locating this slip plane at the highest temperature surface in the
oil film which for these experiments is at, or close to the faster
moving surface.
CONCLUSIONS
Thermal EHL models are unable to predict heat partition
correctly for the conditions analysed unless the heat is
dissipated in a slip plane. All the models run have the correct
friction characteristic and heat partition is thus a discerning test
of the applicability of a rheological model in these
circumstances.
ACKNOWLEDGEMENTS
The authors gratefully acknowledge the financial support
of EPSRC (GR/T05059) for this work.
REFERENCES
[1] Blok, H., 1937, “Theoretical study of temperature rise of
surfaces of actual contact under oiliness lubricating
conditions.” In Proceedings of General Discussion on
Lubrication, Part 2, pp 222-235 (IMechE, London).
[2] Tian, X. and Kennedy, F.E., 1994, “Maximum and average
flash temperatures in sliding contacts”, Trans. ASME Jn of
Tribology, 116, pp 167-174.
[3] Manton, S.M., O'Donoghue, J.P. and Cameron, A., 1967,
“Temperatures at lubricated rolling / sliding contacts”,
Proc Instn. Mech. Engrs, 182, pp 813-823.
[4] Cheng, H.S., 1965, “A refined solution to the thermal
cylinders”, Trans ASLE, 8, pp 397-410.
[5] Sui, P.C., & Sadeghi, F., 1991, “Non-Newtonian thermal
elastohydrodynamic lubrication”, Trans ASME Jn of
Tribology, 113, pp 390-397.
[6] Sharif, K.J., Evans, H.P., Snidle, R.W., Newall, J.P., 2004,
Modelling of film thickness and traction in a variable ratio
traction drive rig, Trans. ASME, Jn of Tribology, 126,
pp 92-104.
[7] Yang, P, Wang, J., & Kaneta, M., 2006, “Thermal and
non-Newtonian numerical analyses for starved EHL line
contacts”, Trans. ASME Jn of Tribology, 128, pp 282-290.
[8] Chang, L., 1992, “Traction in thermal elastohydrodynamic
lubrication of rough surfaces”, Trans. ASME Jn of
Tribology, 114, pp 186-191.
[9] Zhu, D. and Hu, Y.-Z., 2001 “A computer program package
for the prediction of EHL and mixed lubrication
temperatures based on measured 3-D surface roughness”,
Tribology Transactions, 44, pp 383-390.
[10] Johnson, K.L. and Greenwood, J.A., “Thermal analysis
of an Eyring fluid in elastohydrodynamic traction”, 1980,
Wear, 61, pp 353-374.
[11] Clarke, A,. Sharif, K.J., Evans, H.P. Snidle, R.W., 2006,
“Heat partition in rolling/sliding EHL contacts” Trans
ASME Jn of Tribology, 128, pp 67-78.
[12] Clarke, A,. Sharif, K.J., Evans, H.P. Snidle, R.W., 2007,
“Elastohydrodynamic modelling of heat partition in
rolling-sliding point contacts” Proc. Instn. Mech. Engrs
Part J, Jn of Engng Tribology, 221, pp 223-235.
[13] Patching, M.J., Kweh, C.C. Evans, H.P. and Snidle, R.W.,
1995 “Conditions for scuffing failure of ground and
superfinished steel disks at high sliding speeds using a gas
turbine engine oil.” Trans ASME Jn. of Tribology Vol 117,
pp 482-489, 1995.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Influence of Surface Roughness on Elastohydrodynamic Journal Bearings

with Non-Newtonian Lubricants
Chatchai Aiumpornsin Mongkol Mongkolwongrojn
Electro-Mechanical Engineering Lab, ReCCIT, Faculty of Associate Professor, Electro-Mechanical Engineering Lab,
Engineering, KMITL, Bangkok, 10520, Thailand, ReCCIT, Faculty of Engineering, KMITL, Bangkok, 10520,
chataium@gmail.com Thailand, kmmongko@kmitl.ac.th
(Extended Abstract)
ABSTRACT In this present paper, the effects of elastic deformation
This paper describes the effect of surface roughness of the bearing liner, the variation of viscosity with
and elastic deformation of bearing liner on the static and pressure and flow rheology, and the roughness of
dynamic characteristics of journal bearings. A non- bearing liner surface were incorporated to obtain the
Newtonian power law model was used in the the static and dynamic performance characteristics of the
calculation for the elastohydrodynamic lubrication regime. journal bearing under heavy load.
The modified Reynolds equations with elasticity equation
were formulated for the elastohydrodynamic journal MATHEMATICAL FORMULATIONS
bearing under heavy load conditions. Finite difference Reynolds equation. The modified Reynolds
method with multi-grid multi-level technique were equation for finite journal bearing using power law
implemented to obtain the oil film pressure profile, oil lubricants, can be written as :
film thickness profile, load capacity, and attitude angle
at various surface roughness parameters and various ∂ ⎛⎜ ρh3 ∂p ⎞⎟ ∂ ⎛⎜ ρh3 ∂p ⎞⎟ U ∂ρh ∂ρh
+ = + (1)
power-law index. The characteristics of the rough surface r ∂θ ⎜⎝ 12nμ * ∂θ ⎟⎠ ∂z ⎜⎝ 12 μ * ∂z ⎟⎠ 2r ∂θ
2 ∂t
journal bearing under elastohydrodynamic lubrication
n −1
presented in this work were compared with the rough ⎛U ⎞
μ * = m⎜ ⎟ (2)
surface journal bearing. under hydrodynamic lubrication. ⎝h⎠
The results show that the roughness pattern, elastic
deformation and power-law index significantly affect the Film Thickness Equation. The film thickness h is
static and dynamic characteristics of journal bearings h = c(1 + ε cos(θ − Φ )) + δ J (rθ − Ut , z ) − δ B (rθ , z ) + D(θ ) (3)
under severe operating conditions. Where δ J and δ B are random roughness amplitudes of the
Keywords : Journal bearing, elastohydrodynamic lubrication, journal surface and bush surface respectively. D (θ ) is
Non-Newtonian power-law model, Surface Roughness effect,
the radial elastic deformations determined using the
and dynamic characteristis. following thin liner model.
(1 +ν )(1 − 2ν )t h ( )
INTRODUCTION D(θ ) = pθ (4)
Hydrodynamic lubrication theory of rough surfaces (1 −ν )E
has been investigated by several researchers. Their Viscosity – Pressure Relation. According to
results shown that the stability improves significantly for Roelands law, the viscosity consistency can be expressed as
a very rough surface bearing with smooth surface journal.
Ramesh and Majumdar [1] used the nonlinear transient
⎧ ⎡
( ⎤⎫
)
m = m0 exp⎨[(ln(m0 ) + 9.67 )]⎢ 1 + 5.1 * 10 −9 p − 1⎥ ⎬ (5)
⎩ ⎣
zp

⎦⎭
method to show the effects of surface rough parameter
and surface pattern parameter with different L/D ratio. Density – Pressure Relation. The fluid density ρ is
Turaga and Majumdar [2] studied the influence of the ⎛ 0.6 * 10 −9 p ⎞⎟
roughness parameter on bearing characteristic. ρ = ρ 0 ⎜1 + (6)
⎜ 1 + 1.7 * 10 −9 p ⎟
The performance characteristic of hydrodynamic journal ⎝ ⎠
bearing is affected by the non-Newtonian lubricants. Load capacity . The force due to the hydrodynamic
Raghunandana and Majumdar [3] studied the stability of pressure on the journal in the x − y coordinate system are
journal bearing. Weng and Chen [4] combined effects of L 2π L 2π
non-Newtonian Lubricant and surface roughness on the Fx = − ∫ ∫ pr cos θdθ dz and F y = − ∫ ∫ pr sin θdθ dz (7)
stability of dynamically loaded short length journal 0 0 0 0
bearing. The non-Newtonian lubricants having higher Journal bearing stability. The solutions for
power-law index give better stability, and the effect of dimensionless critical mass and the whirl ratio are
surface roughness are significant especially in the range Bxx K yy + K xx B yy − B yx K xy − Bxy K yx
of high eccentricity ratio. MΩ 2 = (8)
For bearing under severe operating conditions, the Bxx + B yy
elastic deformation of the bearing liner and the variation
of lubricant viscosity varies with pressure have significant Ω2 =
(K xx )( )
− Ω 2 M K yy − Ω 2 M − K xy K yx
(9)
influence on the performance of journal bearings system. Bxx B yy − Bxy B yx
Singh et al.[5] studied the effects of bearing liner flexibility
on the static and dynamic performance characteristics of RESULTS AND DISCUSSIONS
an elliptical journal bearing. Konsari and Wang [6] found The elastohydrodynamic lubrication problems of
that material properties and boundary conditions play an journal bearing require solution of the coupled Reynolds
important role on the thermoelastohydrodynamic equation and elasticity equations. The simultaneous
c
characteristics of journal bearing. solution were solved numerically using finite difference
f

50
 Influence of Surface Roughness on Elastohydrodynamic Journal Bearings with Non-Newtonian Lubricants

method combined with multi-grid multi-level techniques for parameter increase. Load capacity of EHL increases
length to diameter ratio and the radial clearance to radius when speed increases. Figure 2 shows that the transverse
ratio of the journal bearing at 1.0 and 0.0015 respectively. roughness pattern improve the stability region specially at
The speed of the smooth surface journal are 8000 and surface roughness parameter more than 0.4.
10,000 rpm respectively and the bearing liner surface are Figure 3 and 4 show the effects of power-law index
rough with various roughness parameters for transverse on load capacity and mass parameter. The journal operate
surface roughness pattern and longitudinal surface at speed 5000 rpm and eccentricity ratio equal to 0.75.
roughness pattern. The characteristics of elasto- The power-law index are 0.95, 1.0 and 1.05. The liner
hydrodynamic journal bearings in this work are compared surface is transverse pattern. Figure 4 shows mass
with the characteristics of hydrodynamic journal bearing. parameter of EHL increase when power-law index increases.
CONCLUSIONS
270
The influence of surface roughness on the static and
Load Capacity (kN)

γ = 9, 8000 rpm

250 dynamic characteristics of journal bearing are examined

γ = 9, 10000 rpm
theoretically.
230 γ = 1/9, 8000 rpm
1) For isothermal conditions, higher load capacity for
γ = 1/9, 10000 rpm journal bearing under EHL when compared with
210
HD, γ = 1/9, 10000 rpm journal bearing under hydrodynamic lubrication.
190 2) Surface roughness parameter and surface roughness
0.0 0.2 0.4 0.6 0.8 1.0 pattern are insignificant effect on load capacity, but
Roughness Parameter transverse roughness surface improve the stability
region specially at high roughness surface parameter.
Fig. 1 Effect of surface roughness on load capacity 3) Lubricants with higher power-law index gives higher
load carrying capacity and better stability.
0.6
0.5
γ = 9, 8000 rpm NOMENCLATURE
Mass Parameter

0.4 γ = 9, 10000 rpm F = hydrodynamic force (N)

0.3 γ = 1/9, 8000 rpm
K = dimensionless stiffness coefficient
0.2 γ = 1/9, 10000 rpm
M = dimensionless mass parameter
p = fluid film pressure, (Pa)
0.1 HD, γ = 1/9, 10000 rpm

0.0
t = time, (s)
0.0 0.2 0.4 0.6 0.8 1.0 U = tangential velocity of surface, (m/s)
Roughness Parameter z = coordinate axis in axial direction
Fig. 2 Effect of surface roughness on mass ε = eccentricity ratio of journal bearing
parameter θ = circumferential angle, (rad)
Ω = whirl ratio
550 γ = surface pattern parameter
Load Capacity (kN)

500
450
n = 0.95, γ = 1/9, 5000 rpm
n = 1.0, γ = 1/9, 5000 rpm
Λ = roughness parameter = σ / hmin
400 n = 1.05, γ = 1/9, 5000 rpm
350 HD, n = 1.0, γ = 1/9, 5000 rpm REFERENCES
300
250 [1] Ramesh, J., and Majumdar, B.C., 1995, “Stability
200 of Rough Journal Bearings Using Nonlinear
150 Transient Method”, ASME Journal of Tribology,
100
Vol. 117, pp. 691-695.
0.0 0.2 0.4 0.6 0.8 1.0
[2] Turaga, R., Sekhar, A.S., and Majumdar, B.C., 1999,
Roughness Parameter
“The Effect of Roughness Parameter on the
Fig. 3 Effect of power-law index and surface Performance of Hydrodynamic Journal Bearings
roughness parameter on load capacity With Rough Surfaces”, Tribology International, Vol.
32, pp. 231-236.
0.30 [3] Raghunandana, K., and Majumdar, B.C., 1999,
“Stability of Journal Bearing Systems Using Non-
Mass Parameter

0.25 n = 0.95, γ = 1/9, 5000 rpm

0.20 n = 1.0, γ = 1/9, 5000 rpm Newtonian Lubricants : a Non-linear Transient

n = 1.05, γ = 1/9, 5000 rpm
0.15 Analysis”, Tribology International, Vol.32, pp.179-184.
HD, n = 1.0, γ = 1/9, 5000 rpm
0.10 [4] Weng, Cheng-I., and Chen, Chien-Ru, 2001, “Linear
0.05 Stability of Short Journal Bearings with Consideration
0.00 of Flow Rheology and Surface Roughness”,
0.0 0.2 0.4 0.6 0.8 1.0 Tribology International, Vol. 34, pp. 507-516.
Roughness Parameter [5] Singh, D.V., Sinhasan, R., and Prabhakaran Nair, K.,
Fig. 4 Effect of power-law index and surface 1989, “Elastothermohydrodynamic Effects in
roughness parameter on mass parameter Elliptical Bearings”, Tribology International, Vol. 22,
pp. 43-49.
Figure 1 shows the load capacity of Journal bearing [6] Khonsari, M.M., and Wang, S.H., 1991, “On The Fluid-
under hydrodynamic lubrication are smaller than Journal Solid Interaction in Reference to Thermo
bearing under elastohydrodynamic lubrication. In case of elastohydrodynamic Analysis of Journal Bearings”,
EHL, the load slightly decrease when the roughness ASME Journal of Tribology, Vol. 113, pp. 398-404.

51
 Technical Sessions-Proceedings of CIST2008 & ITS-IFToMM2008 Beijing , China

Theoretical Investigation of Journal Bearings with Non-Newtonian Fluids

Included Thermal Effects
Mongkol Mongkolwongrojn Chatchai Aiumpornsin
Associate Professor, Electro-Mechanical Engineering Lab, Electro-Mechanical Engineering Lab, ReCCIT, Faculty of
ReCCIT, Faculty of Engineering, KMITL, Bangkok, 10520, Engineering, KMITL, Bangkok, 10520, Thailand,
Thailand, kmmongko@kmitl.ac.th chat@sau.ac.th

(Extended Abstract)

,~ +00 ,(""-PooXl , "'If,}:

ABSTRACT
This paper describes the static and dynamic (1)
characteristics of journal bearings lubricated with non-
Newtonian lubricants based on Carreau viscosity model. The
time-dependent modified Reynolds and the non-adiabatic
energy equations have been formulated based on non-
Newtonian Carreau fluids to obtain the static and dynamic
'" +00 ,(Po - ProXl , "'If,}: (2)

characteristics of journal bearing in thermohydrodynamic where flo and floo are limiting viscosity at very low and very
lubrication regime. The simultaneous system of modified high shear rates respectively. n is the power-law exponent
Reynolds and non-adiabatic energy equations included the
which describes the slope of viscosity as a function of shear
heat conduction in the bearing bush were solved numerically
rate in the shear thiuning regime and a is time constant. 1 is
with initial conditions and boundary conditions using finite
the second invariant of the strain rate tensor.
difference technique. The linearized bearing reaction enables
the journal motion can be approximated to obtain the spring
and damping coefficient. Simulation results are presented for (3)
pressure distribution, temperature distribution, load carrying
Adopting the perturbation method and using the continuity
capacity and friction force with varying eccentricity ratio.
equation, we obtain the modified Reynolds equation for
The stability of the journal bearing with non-Newtonian
finite journal bearing using Carreau law lubricants.
Carreau fluid was examined and. compared with the results
I
t oA 12fl Ir 2
3 3
obtained for journal bearing with non-Newtonian Power-law o
(h op 0 ( h op U J oh oh (4)
fluid. l
roB 121J roB * oy roB + at
Keywords: Hydrodynamic journal bearing, Non-Newtonian n-1
Carreau fluids, thermal effect, static and dynamic characteristics fl * = floo + (flo - floo )(1 + a21* 0 (5)

INTRODUCTION
* 2[Ou*J2(OflJ
1J=fl+ - - (6)
OZ 01 1=1'
The performance characteristics of journal bearing with
non-Newtonian behavior have been studied by a number of Under the non-adiabatic assumption and neglecting the
investigators. Williams [lJ analyzed the lubrication equation temperature variation across the film thickness, the energy
by using the Rabinowitsh model. Knight [2J and lang [3J equation for an incompressible fluid with laminar flow can be
analyzed the non-adiabatic solution of journal bearings. written as
Based on the Power-law model, the journal bearing for a
,ocJ[UJh -~~J aTm -[~ apJ aTml
given eccentricity ratio, shear-thinning effects tend to l 2 121) rae rae 121' 3y 3y J (7)
decrease the pressure , load capacity , friction force , and
increase attitude angle. However, the relationships between 6kl
= - ( TJ-2Tm+TBI)+fl - + - -
,uj h (ap)2 +h- - ,aPJ
3
-
23
(
h h 121' rae 121' 3y
shear rate and shear stress of the pseudo-plastic fluids
frequently appears to be a Newtonian fluid with very high RESULT & DISCUSSION
viscosity at low shear rates and then to be a Newtonian fluid The numerical results on the performance characteristics
with lower viscosity at higher shear rates, and so the power- of journal bearings lubricated with non-Newtonian lubricants
law or cubic equation model can't predict this non-linear based on Carreau viscosity model are calculated. The journal
behaviors accurately. bearings have length to diameter ratio equal to 1.0 and radial
The aims of this paper are to investigate the static and clearance ratio equal to 2XlO- 5 .
dynamic characteristics of journal bearing when the
lubricants are in transition state from non-Newtonian fluid to -v;- 1-000- r - - - - - - - - - - - - - - - - - ,
Newtonian fluid behavior as increasing journal speed. "
C
;>,
Carreau viscosity model is proposed in this work to formulate .:;; 0-100
o Carrcau model
the Reynolds and non-adiabatic energy equations for a finite o
.~
width hydrodynamic journal bearing by using perturbation
:: 0.010 -
technique. Both equations were simultaneously solved using
~
finite difference method. §: Power- law
< 0-001 -1-------.,....-----~----!

10 100 1000 10000 100000

THEORY Journal Sp eed (rpm)
The relationship between shear stress and shear rate for
Fig. 1 Comparison of Carreau viscosity model with
the non-Newtonian fluid can be represented by Carreau
Power-law model
viscosity model as

52
 Theoretical Investigation of Journal Bearings with Non-Newtonian Fluids Included Therrnal Effects

stability characteristic than the journal bearing using Power-

2.5 , - - - - - - - - - - - - - - - - - - - -
law model specially at high speed.
--10000 rpm

2 • 6000 rpm
--1000 rpm
60 , - - - - - - - - - - - - - - - - - - - - ,
c;- --10000 rpm
c.. - - - ,10000 rpm,
~ 1.5
50
X 1000 rpm, Power-law • 6000 rpm
e Z 40 --1000 rpm
:::l
1/1
~ - - - ·10000 rpm, Power-law
~ 30
1/1
e
c..
X 1000 rpm, Power-law

0.5 ~ 20

10

o 50 100 150 200 250 300 o L~~~===-,--------,------,-J

Circumferential angle (degree) o 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9
Fig. 2 Film pressure profile in circumferential Eccentricity Ratio
direction
Fig. 4 Variation of Load capacity with journal speed

325 .------------------~
16 , - - - - - - - - - - - - - - - - - - - - ,
11l
--10000 rpm 11l
III --10000 rpm
• 6000 rpm :iE • 6000 rpm
~ --1000 rpm
~ 12 --1000 rpm
~ 320
e - - - ·10000 rpm, Power-law
oS! - - - ,10000 rpm, Power-law
.a X 1000 rpm, Power-law c:
o X 1000 rpm, Power-law
e
Q) 11l
c.. c: 8
Q)
E 315
Q)
I-
E
Cl

310 -1---,...---,.-----,-----,------,------1
o 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9

o 50 100 150 200 250 300 Eccentricity Ratio

Circumferential angle (degree)
Fig. 3 Film temperature profile in circumferential
direction
The significant different between Non-Newtonian
power-law fluid and Carreau fluid are obviously occurred as
the speed increased as showed in Figure 1. The film pressure
and temperature distribution at bearing mid plane along the
circumferential direction of journal bearing for eccentricity
ratio equal to 0.8, operated speed at 1,000, 6,000, 10,000 rpm
as shown in Figure 2 and Figure 3 respectively. The film
pressure and temperature increases when increasing the
journal speed. The rate of increasing in film pressure and
temperature due to increasing of speed becomes small at high
speed. Both higher pressure and higher temperature are
obtained for Carreau model when compared with Power-law
model at 10,000 rpm. At this operating condition, the
lubricant become Newtonian fluid for Carreau model as
shown in Figure 1. Therefore the viscosity of the Carreau
model lubricant is constant while the viscosity for the Power-
law lubricant continue to decrease with the increase of the
journal speed.
The effects of speed on the load capacity for the journal
bearing are shown in Figure 4. The load capacity increases
with increasing of journal speed. The difference between the
load capacity calculated using Power-model and the load
capacity calculated using Carreau viscosity model are
significant for bearing operated speed at 10,000 rpm.
Figure 5 shows the relationship between critical mass
and eccentricity ratio at various speeds. The journal bearing
lubricated non-Newtonian Carreau lubricants has better
Fig. 5 Comparision of the stability chart based on
Carreau model and that based on power law model
CONCLUSIONS
The characteristics of journal bearing lubricated with
Carreau viscosity fluid are compared with the journal bearing
lubricated with Power-law fluid, and can be concluded as
1) The formulation of Reynolds equation and non-
adaiabatic energy equation of journal bearings with non-
Newtonian Carreau viscosity model were presented.
2) When increasing the journal speed, the load
carrying capacity using Carreau lubricant is higher than the
load carrying capacity using Power-law lubricant.
3) The journal bearing lubricated with Carreau
lubricant has better stability characteristic than the journal
bearing lubricated with Power-law lubricant specially at high
speed.
REFERENCES
[lJ Williams, P.D., and Symmons, G.R., 1987, "Analysis of
Hydrodynamic Journal Bearings Lubricated with non-
Newtonian Fluids", Tribology International, Vol.20,
No.3, pp.119-124.
[2J Knight J.D., and Barrett L.E., 1988, "Analysis of Tilting
Pad Journal Bearings With Heat Transfer Effects",
pp.128-133.
[3J Jang J.Y., and Khonsari M.M.,1997, "Performance
Analysis of Grease Lubricated Journal Bearings
Including Thermal Effects", Vol.l19, pp.859-867.

53
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Magnetic Fluid Based Squeeze Film Behavior between Transversely Rough
Curved Plates
G. M. Deheri1, Rakesh M. Patel2, Nikhilkumar D. Abhangi3*
1. Department of Mathematics, Sardar Patel University, Vallabh Vidyanagar-388120, Gujarat, India.
2. Department of Mathematics, Gujarat Arts and Science College, Ellis Bridge, Ahmedabad, Gjarat, India.
3. Research Student, Department of Mathematics, Sardar Patel University, Vallabh Vidyanagar-388 120, Gujarat, India.
ABSTRAT
An endeavor has been made to analyze the
magnetic fluid based squeeze film behavior between
two transversely rough curved plates, when the curved
upper plate approaches the stationary curved lower
plate. The lubricant used is a magnetic fluid in the
presence of an external magnetic field oblique to the
radial axis. The roughness of the bearing surface is
modeled by a stochastic random variable with nonzero
mean, variance and skewness. The associated Reynolds
equation is solved with appropriate boundary
conditions to obtain the pressure distribution, which is,
then used to get the expression for load carrying
capacity. To present a comparative study we consider
the curvature of exponential form, hyperbolic form and
secant form to represent the film thickness. The results
are presented graphically. It is found that the load
carrying capacity increases with increasing
magnetization. It is seen that the bearing suffers in
general, owing to the surface roughness. It is observed
that negatively skewed roughness increases the load
carrying capacity. The adverse effect induced by the
standard deviation, positive variance and positive
skewness can be compensated up to certain extent by
the magnetization parameter taking an appropriate
choice of curvature parameters.
Keywords: Magnetic Fluid, Squeeze film, Transverse
roughness, Reynolds equation, Load carrying capacity.
Introduction
The performance of squeeze film behavior
between various geometrical configurations of flat
surfaces was discussed by Archibald [1]. Murti [2]
analyzed the behavior of squeeze film trapped between
curved circular pates describing the film thickness by
an expression of an exponential function. Modifying
the approach of Murti [2], Gupta and Vora [3] analyzed
the performance of squeeze film behavior between
curved annular plates. In all the above cases the lower
plate was taken to be flat. Ajwaliya [4] considered the
problem of squeeze film behavior taking the lower plate
also to be curved. He also studied the squeeze film
between curved annular plates choosing the curvature
of an exponential form to represent the film thickness.
All the above studies conventional lubricant. Verma [5]
and Agrwal [6] investigated the squeeze film
performance by taking a magnetic fluid as a lubricant.
Subsequently, Bhat and Deheri [7] analyzed the
squeeze film between porous annular disks using a
magnetic fluid lubricant with the external magnetic
field oblique to the lower disk.
3* Corresponding Author
nikhil.abhangi@gmail.com
54
They concluded that the application of magnetic fluid
lubricant enhanced the performance of the squeeze film
bearing system. However, they assumed that the plates
were flat. But in actual practice, the flatness of the plate
does not endure owing to elastic, thermal and uneven
wear effects. With this end in view Bhat and Deheri [8]
discussed the effect of magnetic fluid lubricant on the
configuration of Ajwaliya [4], considering the two
plates determined by exponential functions. They found
that magnetic fluid lubricant improved the performance
of the bearing. Further, Bhat and Deheri [9]
investigated the magnetic fluid based squeeze film
behavior in curved porous circular disks. Patel and
Deheri [10] analyzed the performance of magnetic fluid
based squeeze film between two curved plates lying
along the surfaces determined by secant functions. In
addition, Patel and Deheri [11] studied the magnetic
fluid based squeeze film between curved plates along
the surfaces governed by hyperbolic functions. In the
above three studies it was found that the magnetic fluid
lubricant enhanced the performance of the bearing
system.
By now, it is well-known that bearing
surfaces particularly after having some run in and wear
develop roughness. In order to study and analyze the
effect of roughness of the bearing surfaces on the
performance of the squeeze film bearings various
methods have been resorted to. Several investigators
have proposed a stochastic approach to mathematically
model the random character of the roughness (Tzeng
and Seibel [12], Christensen and Tonder [13, 14, 15]).
Christensen and Tonder [13, 14, 15] presented a
comprehensive general analysis for surface roughness
(both transverse as well as longitudinal) based on a
general probability density function by developing the
approach if Tzeng and Seibel [12]. Subsequently, this
method of Christensen and Tonder [13, 14 and 15]
formed the basis of the analysis to study the effect of
surface roughness on the performance of the bearing
system in a number of investigations (Ting [16],
Prakash and Tiwari [17], Prajapati [18], Guha [19],
Gupta and Deheri [20]). Also, Andharia, Gupta and
Deheri [21- 22] dealt with the analysis of the effect of
surface roughness on the performance of a squeeze film
bearing using the general stochastic analysis for
describing the random roughness. However, in these
discussions conventional lubricants were used.
Efforts have been directed to present a
comparative study on the behavior of magnetic fluid
based squeeze film between transversely rough curved
 Magnetic Fluid Based Squeeze Film Behavior between Transversely Rough Curved Plates

circular plates lying along the surfaces determined by
different trigonometric functions and exponential
function.
Main Equation The associated Reynolds equation for
the film pressure p is obtained as
curvature parameters. The load carrying capacity
decreases and then increases with respect to the lower
plate curvature parameter while exactly the opposite
happens with respect to the upper plate curvature
parameter. The upper plate curvature parameter

( )
1 d ⎡ d ⎤ . increases the load carrying capacity while the lower
⎢ rg ( h) p − 0.5μ 0 μ H 2 ⎥ = 12 μ h0 , plate curvature parameter decreases the load carrying
r dr ⎣ dr ⎦ capacity in the hyperbolic case and exponential case.
g ( h ) = h + 3h α + 3h (σ + α ) + ε + 3σ α + ε + α
3 2 2 2 2 3 Comparatively this effect is less for exponential shape,
as can be seen from Figure 16 in the respective cases.
Key-References
Some of the figures tend to suggest that the
¾ Verma, P.D.S., Magnetic fluid based squeeze
adverse effect induced by the standard deviation,
film, International Journal of Engineering
positive variance and positive skewness can be
Sciences, Vol. 24(3), (1986), pp. 395-401.
compensated upto some extent by the magnetization
¾ Bhat, M.V. and Deheri, G.M., Squeeze film
parameter by considering an appropriate choice of
behavior in porous annular disks lubricated with
curvature parameters. However, this compensation is
magnetic fluid, Wear, Vol. 151, (1991), pp.
upto a considerably large extent in the case of
123-128.
negatively skewed roughness especially, when negative
¾ Christensen, H. and Tonder, K.C., Tribology of
variance is involved. The decreased load carrying
rough surfaces: Stochastic models of
capacity due to the lower plate curvature parameter gets
hydrodynamic lubrication. SINTEF report no.
further decreased owing to the standard deviation of the
10/69 – 18, 1969.
roughness. The increased load carrying capacity
¾ Christensen, H. and Tonder, K.C., Tribology of
introduced by the upper plate curvature parameter gets
rough surfaces: Parametric study and
substantially increased by the positive effect of
comparison of lubrication models. SINTEF
magnetization in the case of negatively skewed
report no. 22/69 -18, 1969.
roughness.
¾ Christensen, H. and Tonder, K.C., The
Therefore, this article makes it clear that the
hydrodynamic lubrication of rough bearing
roughness must be given due consideration while
surfaces of finite width. ASME-ASLE
designing such magnetic fluid based bearing system,
Lubrication conference, Cincinnati, Ohio, 1970,
albeit a proper choice of curvature parameter has been
paper no. 70-Lub-7.
taken into consideration. Even if a strong magnetic
¾ Gupta, J.L. and Deheri, G.M., Effect of
field is brought in and an appropriate choice for
roughness on the behavior of squeeze film in a
curvature parameters is made, roughness needs to be
spherical bearing, Tribology Transactions,
accounted for from longevity point of view.
(1996), 39, pp. 99-102.
Key-Figures
Results and Discussion
It is found that load carrying capacity
2.07
W increases significantly in all the cases with respect 2.02
1.97
to the magnetization. Further, it is clearly seen that the W 1.92
effect of magnetization is most sharp in the hyperbolic 1.87
1.82
case. The five figures Figure 2-6 indicate that the effect 1.77
of μ ∗ is almost negligible upto the value of 0.01 for 1.72
the exponential case and hyperbolic case while in the 0 0.2 0.4 0.6 0.8 1
case of secant function the effect of μ ∗ is negligible μ∗
upto 0.001. ε∗=−0.02 ε∗=−0.01 ε∗=0
The bearing suffers in general owing to the ε∗=0.01 ε∗=0.02
surface roughness. The load carrying capacity
decreases with respect to the standard deviation 2.02
associated with roughness for all the cases which can 1.92
be seen from Figure 7-10. This negative effect is more
in the case of the surface determined by the hyperbolic W 1.82
functions. The negatively skewed roughness increases 1.72
the load carrying capacity for all the shapes, while
1.62
positive ε * decreases the load carrying capacity (cf. -0.01 -0.005 0 0.005 0.01
Figure 11-13). This effect of ε * is comparatively α∗
sharp in the hyperbolic case. Almost similar are the ε∗=−0.02 ε∗=−0.01 ε∗=0
trends for the variance (cf. Figure 14-16). ε∗=0.01 ε∗=0.02
A symmetric nature (Figure 16) is observed
in the case of the secant function with respect to the (The whole paper will be supplied by the authors if the
reader needs it.)

55
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Engine Lubrication System Analysis and Oil Pump Design Optimization
Quanbao Zhou
Jaguar and Land Rover, Engineering Centre, W/4/031, Whitley, Coventry, CV3 4LF, UK
ABSTRACT
The engine's lubrication system is crucial to engine's
durability, NVH and performance etc. Modern engine
lubrication system has both lubrication and hydraulic functions.
For lubrication, it has to ensure the bearings, piston assembly,
cam and tappet interfaces etc. to be all properly lubricated. For
hydraulic, it has been used to actuate variable cam timing
(VCT) units, cam profile switch (CPS) tappets and hydraulic
lash adjusters (HLA) etc. These functional requirements
determine the oil pump size and pressure setting, which in turn
largely determine the power consumption of the oil pump.
In this paper, an analytical approach was adopted to
improve the pump performance using advanced 1D and 3D
(computational fluid dynamics) simulation on both pump and
lubrication circuit.
Keywords: Engine, Lubrication, Oil Pump
INTRODUCTION
In an engine's lubrication system, the most critical
component is the oil pump. Usually component design
engineers find it difficult to specify two important parameters
associated with the oil pump, i.e. the pump size (capacity) and
the pressure relief valve setting, especially at the concept
design stage of the new engine when no representative
hardware is available to test. Clearly undersized and/or
under-pressurised pump is undesirable as it can cause engine
failure or degraded performance. If this is found in the middle
stage of the engine development, engineers have to fight for a
bigger package space for the oil pump and often find
themselves unpopular due to the effect on other systems and
extra cost to the programme. On the other hand, oversized
and/or over-pressurised oil pump may work properly without
any problem but the penalty is the hidden high power loss.
Usually, engineers tend to size a bigger pump to protect the
engine and try to downsize it later if the tests prove so.
Although this route is safer, it could waste the precious
packaging space and also be expensive.
Several researchers tried to address the above issue by
using various CAE (computer aided engineering) tools [1-5].
However, due to the complexity, many only focused on the
pump only or the lubrication circuit only. Very little has been
done to combine these two sub-systems (pump and lubrication
circuit) together. In this paper, the commercial 3D CFD codes
were used for both the oil pump and the lubrication circuit. The
3D CFD pump model enabled the pump internal geometry,
including suction and discharge side porting, to be optimised,
therefore, the filling to be improved and the cavitation damage
to be eliminated. The lubrication circuit 3D CFD model
enabled the accurate pressure loss at the complex casting bends
and junctions to be predicted. These pressure loss data were
then fed into a 1D CFD lubrication circuit model to determine
the right oil pump size and pressure relief valve setting.
56
ENGINE LUBRICATION SYSTEM REQUIREMENT
AND PRESSU REREGULATION
Figure 1 shows a typical engine minimum oil pressure
curve to support the main and big end journal bearings and
other hydraulic functions. Usually the pump is sized to meet the
low speed and hot oil condition. As an example, this engine
required 1.0 bar oil pressure to drive the VCT unit at 1000 rpm.
This oil pressure has to be achieved regardless of the oil
temperature which, according to the engine and vehicle test
data, can reach 140 ºC in the worst case. Also the pump and
bearings are designed to last for the whole engine life. The
bearing clearance increase and pump performance degradation
against the engine running time have to be considered in the
model. Once the pump has been sized to meet that point, the
fixed positive displacement pump will deliver more oil than
what engine needs at the other operating condition (higher
engine speed and/or lower oil temperature).
3.0
Main gallery oil pressure (bar)
2.5
2.0
PRV pressure
1.5 setting point
1.0
0.5 pump sizing point
0.0
0 1000 2000 3000 4000 5000 6000 7000 8000
Engine speed (rpm)
Engine demand Pump delivery
Fig.1 Engine lubrication system demand and pump delivery
More oil delivery to engine than what it needs will generate
higher oil pressure than what engine requires. The energy used
to generate the higher oil pressure is just wasted. There is a
clear trend in the next 3 to 5 years to increase the use of variable
flow oil pump in the automotive engine. However, this topic is
beyond the scope of this paper.
To limit the excess oil pressure to the engine, most pumps
use a simple pressure relief valve (PRV). Figure 2 shows three
typical PRV designs. Figure 2a is a commonly used pump exit
pressure regulated PRV (called conventional PRV or standard
PRV in this paper). It uses the pump exit pressure to determine
the PRV position. When the pump exit pressure force is
higher than the pre-setting spring force, the PRV will open
so the excess oil will flow back from the discharge side to
the suction side, leaving less oil for engine. In this case, the
pre-load spring force has to be determined to accommodate the
pressure loss from the pump exit, via various pipes, junctions,
oil cooler and filter etc. to the final main oil gallery. It also
needs to consider the bearing clearance change and PRV
spring relaxation at the end of engine life. The alternative to
Figure 2a is called a smart PRV, as shown in
 Engine Lubrication System Analysis and Oil Pump Design Optimization

P1, at pump To suction P1, at pump To suction To suction

P1, at pump
exit side exit side side
exit

P2, to main P2, to main

gallery gallery

a) b) c)
Fig. 2 a) Conventional PRV; b) Smart PRV; c) Hybrid PRV.

Figure 2b. In this case, the pump exit pressure has no influence notorious headache for both conventional and smart PRV
on the PRV position. Instead, the main gallery oil pressure P2 systems.
determines when to open the PRV to re-circulate the excess oil
back to the suction side. 7
The pumps equipped with the conventional PRV always

Pump exit pressure P1 (bar)

6
suffer from the high power loss simply because the pre-load on
5
the spring has to be set for the worst case. For example, if the
pressure loss from the pump exit to the main gallery is 2.3 bar at 4

6800 rpm and 140 ºC oil temperature, the PRV open pressure 3
has to be set at >4.8 bar when the minimum required main
2
gallery oil pressure is 2.5 bar. However, at normal operating
condition, say 2000 rpm and 100 ºC oil temperature, the 1

pressure loss from the pump exit to the main gallery could be as 0
little as 1.0 bar. That means the pressure setting catered for the 0 0.5 1 1.5 2 2.5 3 3.5 4

condition of high speed and high oil temperature is a penalty for Main oil gallery pressure P2 (bar)
the lower speed and lower oil temperature. STD PRV Smart PRV Hybrid PRV P1=P2 as boundary
With the smart PRV shown in Figure 2b, the pressure loss
variation from the pump exit to the main oil gallery under Fig. 3 Three PRV systems and their working boundaries
different oil temperature doesn't affect the PRV pressure setting
anymore. This enables the PRV to be operated with a lower OIL PUMP SIZING
pressure setting. At the worst engine operating condition, i.e.
As described earlier, the size of the oil pump is usually
the high speed and high oil temperature, both conventional and
determined by the low speed (such as 1000 rpm) hydraulic
smart PRV systems should meet the minimum required main
requirement (such as the minimum pressure of 1.0 bar to drive a
gallery pressure and therefore the pump exit pressure should be
VCT unit etc.) at the highest possible oil temperature (such as
same. The oil flow and drive torque on the pump should be
140 ºC). This requires the oil pump to deliver a given amount of
same as well. Under the lower speed and/or lower oil
oil to the engine. The 1D CFD lubrication circuit analysis codes
temperature, however, the conventional PRV system will suffer
such as AMESim and Flowmaster are commonly used to define
from higher pump exit (and main gallery) pressure than that
the minimum oil flow rate required.
with the smart PRV, therefore higher power consumption.
Figure 4 shows a typical Flowmaster lubrication circuit
Typically 0.2 to 0.4% fuel economy benefit can be achieved
model. Pipes, standard T junctions and 90 degree bends etc. can
using the smart PRV.
be pulled out from Flowmaster's build-in library. However,
However, the smart PRV has its own problem. The long
complex junctions, bearings, oil filter and cooler etc., have to
distance between the pump exit and the gallery sensing point
be defined using customer specific model to get the acceptable
and the partially empty oil circuit at the engine start means
accuracy. Often a localised 3D CFD analysis is needed to
there will be a significant time delay between the pump exit
quantify the local pressure loss for complex casting geometries.
pressure signal and the main gallery pressure signal. For
For oil pump sizing exercise, the oil pump can be represented
example, at the cold start, the pump exit pressure could reach
by a proper pump model or a simple flow source or pressure
>15 bar before the main gallery being pressurised. Since the
source. When the model is ready, to tune the pump capacity or
pump exit pressure has no influence on the smart PRV position,
the flow rate from the flow source (or the pressure if the pump
the PRV will remain closed. This could cause pressure spikes to
is represented by a pressure source) until the required oil
the lubrication system. This problem could not be easily solved
pressure to drive the VCT unit is reached under the specified
using the over-pressure relief valve (OPRV) unless there is
engine speed and oil temperature. The oil flow rate and the
enough package space to allow a big open orifice for the OPRV.
pressure at the pump exit, together with the engine speed and
To address this issue, the author of this paper invented a hybrid
oil temperature, are the parameters for the oil pump sizing.
PRV (patent pending), as shown in Figure 2c. In this design,
both the pump exit pressure and main gallery pressure have
influence on the PRV position. Figure 3 shows the operating PRESSURE SETTING FOR PRV
boundaries of all three PRV designs. Contrary to the pump sizing point, the PRV pressure setting
The other advantage of the hybrid PRV is that it is not has to be done at the maximum engine speed. In this example,
sensitive to the system oil pressure pulsation which is a the setting point is to guarantee a minimum 2.5 bar

57
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Fig. 4 A Flowmaster model for a V8 gasoline engine

oil pressure at the main gallery at 6800 rpm engine speed with the next big task is the pump design. Here we focus on the most
5W30 oil at 140 ºC in the whole engine life. Again this can be commonly used oil pump for engines - fixed flow gerotor oil
modelled using the 1D CFD codes. The oil flow rate and the pump. The principle should be applicable to other type of oil
pump exit oil pressure (or the pressure loss from the pump exit pump. Nowadays, few engine OEMs do the internal oil pump
to the main gallery) are needed to determine to the PRV spring design. In most cases, engineers will send the pump sizing point,
stiffness and pre-load for the conventional PRV and hybrid PRV. PRV setting and packaging space out to oil pump suppliers and
For the smart PRV, this information is not needed. let them design the pump.
Figure 5 shows an example of the gerotor oil pump and the
Small sealing
land computational mesh. The pump rotates anti-clockwise and is
divided into two main domains: suction side (left) and
discharge side (right). The suction side is connected to a
pick-up pipe, picking oil from a sump. The discharge side
connects to the engine block so feeds to the oil cooler and filter,
and then to bearings and other lubrication points. The suction
side is always under vacuum while the discharge side above the
ambient pressure. Normally, there is no direct flow path (except
small clearance leakage) between the suction side and the
discharge side. However, when the PRV is open, the oil in the
discharge side can flow directly back to the suction side,
Big sealing
leaving less oil to engine hence less pressure.
land
Oil return Each gerotor pump has an inner rotor and an outer rotor.
channel Pump exit
The eccentricity between two rotors is the key to enable the
to engine
pump to pump fluid. In the suction side, when the pump rotates
(anti-clockwise), the pockets formed by the inner and outer
Pick-up pipe rotor gradually open up (i.e. volume of each pocket increases).
This generates the local vacuum which sucks the oil in. When
Fig. 5 A gerotor oil pump and computational mesh the pocket volume reaches the maximum, two big sealing lands
on housing and cover (or back plate) seal the oil so it can not
OIL PUMP DESIGN AND ANALYSIS connect to both suction and discharge sides. Further rotation,
When the pump size and PRV pressure setting are known, the pocket volume will decrease (compressing oil) and also

58
 Engine Lubrication System Analysis and Oil Pump Design Optimization
connect to the discharge side. When this pocket reaches the
small sealing lands, its volume decreases to the minimum so
most oil is squeezed out. When it passes the small sealing lands,
its volume will increase and start to suck oil again. It is not
difficult to understand from the pocket motion described here
that the filling into the pockets at the suction side affects the
volumetric efficiency and cavitation.
Nearly all gerotor oil pumps suffer from cavitation at high
speed: some above 6000 rpm when well designed, some >3000
rpm if badly designed. Cavitation in a gerotor oil pump is
always associated with poor filling to those pockets in the
suction side, especially when the pocket volume is small but
expands quickly. When the oil can not fill the whole pocket
(due to high resistance or poor flow etc.), the vacuum inside the
pocket will make the trapped air bubbles in oil bigger or
vaporise the local oil. These bubbles and/or vapour will make
the filling even more difficult so when the pocket reaches its
maximum volume, a significant part of it may be occupied by
bubbles and vapour. When the pocket moves into the discharge
side, high pressure will collapse the bubbles, causing
cavitation.
Figure 6 shows the outer rotor after 180 rig durability test.
The cavitation damage is clear and severe. To help to
understand the root cause and provide the guidance to the new
design, a 3D CFD oil pump transient analysis was requested. At
that time, the internal research showed that the best gerotor oil
pump 3D CFD transient model was to use CFD-ACE+.
Fig. 6 Cavitation damage on the outer rotor
Dead end
Fig. 7 Velocity plot on the plane 1 mm above the bottom face
to the rotor. 6800 rpm, 140 C oil temperature and 10% aeration
59
A full 3D CFD transient analysis was done with the pump
rotating at 6800 rpm with oil temperature at 140 ºC and 10%
aeration. Several issues were identified from the analysis. The
first one is the poor filling on the suction side. The oil flow from
the pick up pipe has to battle against the shear direction
generated from the high speed rotor rotation before entering the
pockets formed between inner and outer rotors. The second
problem was due to the poor porting design on the discharge
side. The high shearing velocity forced the oil to the small dead
end and the oil has to turn 180 degree back to exit (Figure 7).
This caused huge pressure pulsation in that region. Figure 8
shows the pressure contours of the whole pump at two different
time steps. The pressure at the dead end varied from 2 to 20 bar.
The third problem was that the oil return channel for the PRV
didn't help the filling at all. Instead, the highly accelerated
return oil flow has a tendency to go into the pick up pipe
(caused NVH problems). The combined consequence was that
the pump suffered severe cavitation damage on the durability
cycle test. The high oil pressure pulsation near the dead end
caused fixing break and back plate crack.
(a)
(b)
Fig. 8 Low pressure (a) and high pressure (b) at different
crank angle
Figure 9 shows the simulated contour plot of the volume
fraction in each pocket at one specific time step. The blue
colour means 100% oil while the red 100% air. Due to
centrifugal force, the air is always close to the inner rotor. The
interesting part of the simulation was the bubble disappearing
process. From the 3D animation, it was clear that the location of
the cavitation to the outer rotor was close to what the code
predicted. The disadvantage of this simulation was that it took
two weeks to run the model for one operating condition with a
time step of 2 degree crank angle. This was several years ago
and it is now possible to reduce the run time to 8 hours thanks to
the faster computer and improved code such as Pumplinx.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

The pump was later completely re-designed. Figure 10

Fig 9 Simulated oil and air volume distribution at 6800 rpm,
140 ºC oil temperature with 10% aeration, old pump
shows the re-designed oil pump. Due to the time constrain, no
3D CFD transient model was built. Instead we did localised 3D
CFD analysis using Fluent. Figure 11 shows the oil filling rate
to each pocket on the suction side. The re-designed pump had
much better filling for pockets 1 and 2, critical for initial
cavitation forming. We also used the CFD to optimise the oil
jets (for timing chain) locations. These jets draw oil direct from
the discharge side but the orifice is only 0.75 mm in diameter.
To prevent them from being blocked by debris, we relocated
them from the near swirl region to the higher velocity stream.
The new pump was tested without any cavitation damage. The
measured pressure pulsation of the new pump was reduced
from the original pump's 18 bar (peak to valley) down to 2 bar.
Since the new design was lead by the internal analysis and
realised by working together with the pump supplier, both
companies benefited from the cost saving and increased
knowledge base.

CONCLUSION
Engine lubrication system requirement and three pressure
regulation methods, including the newly invented hybrid PRV
system, were discussed in the paper. Steps from pump sizing,
PRV presetting to oil pump design and optimisation, and their
associated analytical tools were described. The example given
in this paper showed that, by adopting the right tool at each
design stage, it is possible to reduce the design and
development time by offering the 'right first time' concept
design. There is no doubt that individual's knowledge and
experience and team work, including working with supplier, are
Fig. 10 New pump geometry the keys to the delivery of a robust oil pump and lubrication
system.
Pocket 3
Pocket 4 ACKNOWLEDGEMENTS
Pocket 2
Thanks are given to Jaguar Cars Ltd for permitting the
Pocket 5 publication of this paper.
Pocket 1
REFERENCES
[1] Jiang, Y. and Perng, C-Y., “An efficient 3D transient
computational model for vane oil pump and gerotor oil pump
7
simulations”, SAE paper 970841.
6 Old pump [2] Manco, S. et al, “Gerotor lubrication oil pump for IC
New pump
engines”, SAE paper 98268.
Flow rate (g/s/mm2)

5
[3] Neyrat, S. et al, “Modeling and analysis of an automatic
4
transmission internal gear oil pump with cavitation”, SAE
3 2005-01-2448.
[4] Senatore, A. et al, “Fluid-dynamic analysis of a high
2
performance engine lubricant circuit”, JSAE 20077289 or SAE
1 2007-01-1963.
0
[5] Tao, W. et al, “Robust Optimization of engine lubrication
Pocket 1 Pocket 2 Pocket 3 Pocket 4 Pocket 5 system”, SAE paper 2007-01-1568.

Fig. 11 Filling rate on the suction side at 6800 rpm, 140 C oil
temperature

60
 Temperature-Dependent Rheology and Tribology of Lubrication Greases Investigated with
New Flexible Platform for Tribological Measurements on A Rheometer

Temperature-Dependent Rheology and Tribology of Lubrication Greases Investigated with

New Flexible Platform for Tribological Measurements on A Rheometer

Jörg Läuger, Patrick Heyer

61
Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

62
Temperature-Dependent Rheology and Tribology of Lubrication Greases Investigated with
New Flexible Platform for Tribological Measurements on A Rheometer

63
 Technical Sessions — Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Study on Characteristic Parameters of Wear Particle Boundary
Guobin Li1, Delin Guan1
1
Marine Engineering College, Dalian Maritime University, Dalian 116026, P. R. China
ABSTRACT
As the product of wear process, the wear particles
record rich information to reflect the state of equipment
inner abrasion. Analysis of wear particles in lubricating or
hydraulic oils becomes one important branch of diagnosing
the wear states of machine parts. The extracting
characteristic parameter is an indispensable means to
analyze wear particle. In this paper, a method to extract the
characteristic parameter of wear particle boundary based on
chaos theory has been discussed. The concept of boundary
wave has been firstly conducted, and then based on the
Shannon entropy and the theory of phase reconstruction,
the concept and the arithmetic of the singular entropy has
been conducted. It was shown that the boundary wave of
wear particle is characterized as chaos, so the singular
entropy could be used to describe the complexity of
boundary of wear particle. Therefore the singular entropy
could be considered as one of characteristic parameters of
wear particle.
Keywords: wear particle, characteristic parameter, chaos
theory, singular entropy
1 INTRODUCTION
Abrasion is one of causes resulting in the damage of
machine. Wear particles, suspended in lubricant, are
important information carriers which reflect the state (extent,
position and type) of equipment inner abrasion. Different
wear types are characteristic of different wear particles, and
wear particles shape character (such as shape, surface
texture) corresponds closely to worn mechanism, it is an
evidence that the wear particles identification becomes one
of important branches for machine fault diagnosis, but the
numerical characterization and classification features of
wear particles extraction is still largely an unsolved problem
[1, 2].
It is generally assumed that the boundary shape of a wear
particle is interrelated with abrasive processes. However, to
date, the determination of shape remains one of the most
difficult problems in both powder technology and wear
particle analysis [3-8]. Hawkins [8] presented an historical
review of quantitative methods available for determining
angularity from particle outline and silhouettes. A more
recent discussion was given by Verspui et a1 in [9]. They
concluded that the theories described in the literature are
either laborious or not suitable in image analyzing systems.
Their alternative methodology involved determining the
angularity from curvature plots. However, in order to
estimate the curvature of the contour it is necessary to take
the second derivative of a position vector and this amplifies
the effect of pixilation noise introduced by the digitization
process. The next stage in the algorithm is to determine the
begin and end points of a corner. These are defined as points
where the curvature is zero or passes through a positive
minimum. The next stage of the algorithm is to calculate the
tangents through the begin and end points. The angle of the
 is described in detail as follows.
Corresponding author. Tel.: +0086-411-84726029,
E-mail: guobinli88@yahu.com ˂ liaohe2005@tom.com
64
corner is taken as the angle between the tangents. However,
this says nothing about the roundness of the corner.
Comparing the three shapes, A, B and C, shown in Figure 1,
using such a methodology would give excellent results in the
case of the two shapes on the left; but, for the shape on the
right, the apex angles will be underestimated giving values
that are sharper than the corners or protrusions actually are.
It is clear that this definition of a corner does not function
well in the case of such rounded protrusions.
(A) (B) (C)
Fig. 1 Shapes of A, B and C
Other recent methods of determining angularity include
the calculation of the fractal dimension of the particle
boundary [10-13]. Stachowiak [13] gave an extensive
review of the methods which used the calculation of the
fractal dimension of the particle boundary and discusses
their limitations. The method most commonly employed to
determine the complexity of a particle boundary is known as
the structured walk, and also the Richardson method.
However, it is difficult to determine fractal scaleless band
when calculating fractal dimension, this reduce the precision
and efficiency and is not computationally realistic. The same
reasoning is valid for those methods which used the Fourier
Transform to generate descriptions of shape [14]. With
respect to Fourier methods, the disadvantage of not knowing
which parts of the boundary contribute to the process of
abrasion is compounded by the fact that, in order to generate
the descriptors associated with sharp corners requires an
infinite number of coefficients [8] to be calculated and this is
not computationally realistic.
In this paper, an approach extracting the boundary wave
of wear particle is proposed, this boundary wave is
characterized by chaos, and then based on information
entropy and the theory of phase reconstruction, the singular
entropy is conducted for the first time, which is used to
describe the complexity of boundary of wear particle.
2 EXTRACTION METHOD OF BOUNDARY WAVE
OF WEAR PARTICLE
Two-dimension closed boundary curve may be obtained
by an image processing computer, which can reflect the
shape character of wear particle, but is still two-dimension
surface. A new concept of boundary wave of wear particle is
putted forward in order to avoid the complexity which is
brought on by the high dimension network model and
deviated study object. Figure 2 shows one-dimension wave
which is formed by two-dimension closed boundary curve
according to a certain expanding rules. The material method
 Study on Characteristic Parameters of Wear Particle Boundary
Fig. 2 Boundary curve and boundary wave of wear particle
In each boundary curve, fi(xi,yi) for i=1,2,˜˜˜,N denotes
the position of each pixel, N refers to the number of pixel
point, and the actual distance between adjacent pixels zi is
zi ( xi 1  xi ) 2  ( y i 1  y i ) 2 (1)
The wave formed by zi can reflect shape character of
boundary curve, and is defined boundary wave.
3 CHAOTIC PROPERTIES ANALYSIS OF BOUNDARY
WAVE
Chaotic properties of systems with many degrees of
freedom, such as moving hard spheres or disks, have been
studied frequently. Extensive simulation work has been
carried out on the Lyapunov spectrum, and the low densities
analytical calculations have been performed for the largest
Lyapunov exponent, the Kolmogorov-Sinai entropy, and the
smallest positive Lyapunov exponents. In this paper, the
chaotic property of boundary wave is investigated by
Lyapunov exponents and entropy.
3.1 Lyapunov exponent algorithm
It is a significant problem to determine whether a
dynamical system present chaos. Calculating the largest
Lyapunov exponent has been a good method to solve this
distinguishing problem, a positive one implies chaos. Many
researchers made great efforts to find out a robust and stable
approach to calculate it.
In our research, the largest Lyapunov exponent of
boundary wave of the wear particle was computed according
to the algorithm proposed by Rosenstein et al [15] for the
follow mentioned reasons.
The method is fast because it uses a simple measure of
exponential divergence.
The method works well with small data sets.
The first step of this algorithm involves reconstructing
the attractor dynamics from a simple time series. Let us look
at a time series {z}, which is written by
{z } = (z1 , z 2 ,!, z N )T (2)
Where
N: sample size
T: denoting transposition of vector
Defining the time lag and the embedding dimension as W and
m respectively, we have reconstructed time series {z}
{Zi } = (zi , zi +τ ,!, zi +(m1)τ )
T
(3)
Where
i = 1, 2 ," M 
The relationship between M and W , m may be written as
M = N  (m  1)τ (4)
The Takensc embedding theorem gives only a sufficient
condition for the embedding dimension m: m>2v+1, where v
65
is the fractal dimension. The correlation dimension, D2,
estimates the lower bound of v, [16]. For a time series, if the
value of D2 is computed over the original signal, the lower
limit of m is fixed at: m>2D2+1. As the result of the
Rosenstein et al. algorithm often works well when m is
smaller than Takensc criterion [15].
A common choice for the reconstruction delay W is the
time at which the autocorrelation function
1 N τ
N
C(τ ) = (zi  z )(zi +τ  z ) (5)
i =1
(where z is the arithmetic means) has the first zero, which
makes the coordinates linearly uncorrelated as it is shown in
[15], the Rosenstein et al. algorithm also works well for a
wide range of W.
After reconstruction the dynamics, this algorithm locates
the nearest neighbor of each point on the trajectory. The
nearest neighbor, Zj, is found by searching for the point that
minimizes the distance to the particular reference point, Zj.
This is expressed as
d j (0) min Z j  Z j (6)
z ˆj
where dj(0) is the initial distance between the jth point and
its nearest neighbor, and • denotes the Euclidean norm.
In the algorithm, imposing the additional constrain that
nearest neighbors have a temporal separation greater than
the mean period of the time series: j  ˆj ! mean period .
This allows considering each pair the neighbor as nearby
initial condition for different trajectories. The largest
Lyapunov exponent, O1, is then estimated as the mean rate of
the nearest neighbor separation.
The largest Lyapunov exponent O1 can be defined using
the following equation: d(t ) = Ce λ1t , where d(t ) is the
average divergence at time t and C is a constant that
normalizes the initial separation. From this definition, we
assume the jth pair of nearest neighbor diverges
approximately at rate given by the largest Lyapunov
exponent:
d j (i)  C j e λ1 (iΔt ) (7)
where Δt is the sampling period of the time series, d j (i )
is the distance between the jth pair of nearest neighbors after
iΔt seconds, and C j is the initial separation. Taking
logarithms in both sides of eq. (7),
log d j (i)  log C j + λ1 (iΔt ) (8)
Eq. (8) represents a set of approximately parallel lines (for
j = 1,2, !, M ), each with a slope roughly proportional to
O1. The largest Lyapunov exponent is easily and accurately
calculated using a least-square fit to the average line defined
by
1
y(i) = log d j (i) (9)
Δt
Where • denotes the average over all values of j. This
process of averaging is the key to calculate accurate values
of O1 using small, noisy data sets.
3.2 Singular entropy algorithm
Entropy is a central concept in the field of Information
 Technical Sessions — Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Theory and was originally introduced by Shannon in his

seminal paper [17], in the context of communication theory.
(a) Step 1
Since then, this concept and variants thereof have been
extensively utilized in numerous applications of science and
engineering. We quantify the complexity of boundary wave
of the wear particle with the aid of Shannon entropy. From
the information theoretic perspective, the Shannon entropy
reflects the complexity of chaotic dynamical system; it
should increase when the chaotic behavior of the boundary
(b) Step 2
wave of the wear particle is developed.
In this section, we first define the Shannon entropy of
each embedding dimension m as follows
M
ΔH m =  Pj ln(Pj ) (10)
j =1

Where
Pj = L j L (11)
(c) Step 3
j +m1
Lj = z
i= j
i (12)

N
Fig. 3 The first three steps in constructing the Koch curve
L =  zi (13)
According to fractal method, the level of complexity of
i =1
the Koch curve is increasing as the growth of the number of
Based on the Shannon entropy, the singular entropy of
steps. We extract the boundary waves of the previous
boundary wave is defined as
m 1 step Koch curve as shown in Figure 4, its large
H = ΔH k p = ( ΔH k p ) p (14) Lyapunov exponent and singular entropy are
k =1 calculated, as shown in Table 1.
Here • p is the p-norm operation. The complexity of the
boundary wave is described by using the singular entropy. 6

4 APPLICATIONS 4
z(×102)

In this section, we firstly discuss the singular entropy of

the Koch curve to prove the efficiency of method putted
forward in the paper, then apply the singular entropy to 2
identify the different type of wear particles.
4.1 Application of singular entropy to extraction of Koch
curve character 0
0 5 10 15
Before applying the singular entropy to investigate the N(×103)
complexity of the boundary wave of the wear particle, the (a) Step 1
boundary wave of the Koch curve has been extracted, and
8
then its large Lyapunov exponent and singular entropy have
calculated to justify the algorithm improved in this paper.
The Koch curve is generated by iteration as follows. The 6
z(×102)

initiator, the initial or k=0 step, is a unit line element. The

first step, k=1, called the generator, involves removing the 4
middle one-third of the unit line and replacing it with two
line segments each one-third in length as shown in the figure. 2
The figure now contains four equal line segments. In the
next step, k=2, each of the four line segments is replaced by 0
the (scaled) generator, leading to a figure with 16 segments. 0 5 10 15 20
The procedure is repeated endlessly, k  , to generate the N(×103)
Koch curve as shown in Figure 3. (b) Step 2

66
 Study on Characteristic Parameters of Wear Particle Boundary

10
z(×10 )
2

0
0 5 10 15 2
N(×103)
(b) Cutting particle
(c) Step 3
Fig. 4 Boundary wave of Koch curve

Table 1
The chaos parameters of boundary wave of koch cure
Large Lyapunov
Parameter Singular entropy
exponent
k=1 0.041 73.4010
k=2 0.039 76.9916
(c) Laminar particle
k=3 0.046 79.6781

We can see from Table 1 that all large Lyapunov

exponents are positive, so the boundary waves are chaos,
and the singular entropy is related to the complexity degree
of Koch curve. The more complex the Koch curve is, the
bigger the singular entropy is. So the singular entropy can
reflect Koch curve character.
4.2 Application of singular entropy to extraction of wear
particle character
In order to extract the character of wear particle using
(d) Fatigue chunk particle
the method putted forward in the paper, the five typical wear
particles selected from Anderson’s abrasive particle’s atlas
were studied as shown in Figure 5.

(e) Grave-slippage particle

Fig. 5 Wear particle image with different boundary shape

We can see from Figure 5 that each kind of wear particle

has its own profile character as a result of its own generating
mechanism. The difference of five particles is evidence. The
(a) Spherical particle boundary wave of each type of wear particles has been
extracted by using the method improved in the paper as
shown in Figure 6.

67
 Technical Sessions — Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

6 if the chaos parameter is regarded as a parameter to

describe wear particle character. The large Lyapunov
4
exponent has been calculated as shown in Table 2.
z(×102)

Table 2
2 Large Lyapunov exponent of wear particle boundary wave
Particle Large Lyapunov exponent
Spherical 0.025
0 Cutting 0.032
0 5 10 15
3 Laminar 0.028
N(×10 )
(a) Spherical particle
Fatigue chunk 0.034
Grave-slippage 0.037
4

It is shown from Table 2 that all large Lyapunov

3
exponents are positive, so the boundary waves have chaos
z(×102)

character, and the wear particle boundary character can be

2 described using the chaos parameter.
4.2.2 The singular entropy of the wear particle boundary
1 wave
In this section, the singular entropy of the wear particle
0 boundary wave is calculated as shown in Table 3. For
0 2 4 6 8
N(×103) comparing the different parameters of the wear particle
(b) Cutting particle boundary, the fractal dimension was also calculated. It can
be concluded from Table 3 that the singular entropy of the
6
boundary wave corresponds very well to the fractal
dimension of the boundary. According to fractal theory, the
4 fractal dimension reflects the complexity degree of the wear
z(×102)

particle boundary, so the singular entropy can describe the

character of the wear particle boundary and reflects its
2 complexity degree. Comparing to the fractal dimension, the
singular entropy can improve the accuracy of the wear
particle identification.
0
0 5 10 15 Table 3
N(×103) Large Lyapunov exponent and fractal dimension of wear
(c) Laminar particle
particle boundary
6
Singular Fractal
Particle
entropy dimension
4 Spherical 66.2424 1.0221
z(×102)

Cutting 70.5068 1.0981

Laminar 74.1053 1.0899
2
Fatigue chunk 77.6246 1.1699
Grave-slippage 79.6088 1.2612
0
0 2 4 6 8 10 5 CONCLUSIONS
N(×103) Wear particles recognition and analysis are important
(d) Fatigue chunk particle basis to monitor equipment wear state and diagnose troubles.
8 In this paper, a method to extract characteristic parameters
and describe profile of wear particle based on chaos theory is
6 putted forward. The new boundary wave of wear particle is
defined. The large Lyapunov exponent proves that the
z(×102)

4 boundary wave has chaos character. The singular entropy is

improved by the Shannon entropy, which can reflect the
2 complexity degree of the wear particle boundary. The
superiority of the singular entropy has been verified by
0 comparison made between the fractal dimension and the
0 5 10 15 20 singular entropy of the wear boundary. So the singular
N(×103) entropy is regarded as a parameter of wear boundary and can
(e) Grave-slippage particle be used to identify the different type of the wear particles.
Fig. 6 Boundary wave of wear particle
4.2.1 The large Lyapunov exponent of the wear particle ACKNOWLEDGEMENTS
boundary wave The authors would like to acknowledge the support of
It is very important to estimate the chaos character the Science Foundation for The New Scholars of Ministry of

68
 Study on Characteristic Parameters of Wear Particle Boundary
Education of China (200801511018).
REFERENCES
[1] Raadnui, S., 2005, “Wear particle analysis-utilization of
quantitative computer image analysis:A review”,
Tribology International, 38, pp. 871-878.
[2] Bahadur S. and Badruddin R., 1990, “Erodent particle
characterization and the effect of particle size and shape
on erosion”, Wear, 138, pp. 189-208.
[3] Raadnui S. and Roylance B.J., 1995, “The classification
of wear particle shape”, Lubr. Eng., 51, pp. 432-437.
[4] Winte R.E. and Hutchings I.M., 1974, “Solid particle
erosion studies using single angular particles”, Wear, 29,
pp. 181-194.
[5] Stachowiak G.W., 1998, “Numerical characterization of
wear particles morphology and angularity of particles
and surfaces”, Tribol. Int., 31, pp. 139-157.
[6] Allen M., Brown G.J. and Miles N.J., 1995,
“Measurement of boundary fractal dimensions: review
of current techniques”, Powder Technol., 84, pp. 1-14.
[7] Meloy T.P., 1977, “Fast Fourier transforms applied to
shape analysis of particle silhouettes to obtain
morphological data”, Powder Technol., 17, pp. 27-35.
[8] Hawkins A.E, 1993, “The shape of powder-particle
outlines”, John Wiley, New York.
[9] Verspui M.A., Vander Velden P., Slikkerveer P.J., 1996,
“Angularity determination of abrasive particles”, Wear,
199, pp. 122-126.
69
[10] Podsiadlo P. and Stachowiak G.W., 1998, “Evaluation
of boundary fractal methods for the characterization of
wear particles”, Wear, 217, pp. 24-34.
[11] Hamblin M.G. and Stachowiak G.W., 1993,
“Comparison of boundary fractal dimension from
projected and sectioned particle images: Part II.
Dimension changes”, J. Comput. Assisted Microsc.,
54, pp. 301-308.
[12] Hamblin M.G. and Stachowiak G.W., 1993,
“Comparison of boundary fractal dimension from
projected and sectioned particle images: Part I.
Technique evaluation”, J. Comput. Assisted Microsc.,
54, pp. 291–300.
[13] Stachowiak G.W., 1998, “Numerical characterisation of
wear particle morphology and angularity of particles
and surfaces”, Tribology , 31, pp 139 - 157.
[14] Peng Z. and Kirk T.B., 1997, “Two-dimensional fast
Fourier transform and power spectrum for wear particle
analysis”, Tribology Int, 30, pp. 583-590.
[15] Rosenstein M.T., Collins J.J., Carlo C.J.De, 1993, “A
practical method for calculating largest Lyapunovs
exponents for small data sets”, Physica D, 65, pp.
117-134.
[16] Grassberg P. and Procaccia I., 1983, “Characterization
of the strange attractors”, Phys. Rev. Lett., 5, pp.
346-349.
[17] Shannon C.E., 1948, “A mathematical theory of
communication,” Bell Sys. Tech. Journ., 27, pp.
379-423 and 623-656.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Viscosity Variation Model and Its Application in Micro/Nano-Scale Clearance
Dong Chun-liu, Zhang Chao-hui*, Wang Yan
School of Mechanical, Electronic and Control Engineering, Beijing Jiaotong University, Beijing 100044, China
ABSTRACT
The transition layer model which is used to account for the
viscosity variation in micro-scale gap is presented in this paper.
The Reynolds equation based on the model is thus deduced
accordingly and numerical simulations are afterwards
conducted to analyze the 3D lubrication features. Discussion
on the relationships between the pressure and the viscosity of
the oil close to the solid walls, velocity of the solid walls, the
outlet height, as well as the ratio of transition layer, were
conducted. The numerical simulation results show that: 1.the
higher the ratio of transition layer was, the greater its influence
on the dynamic pressure distribution became; 2. it proved the
existence of the transition layer and it could explain the
characteristics of the lubricant such as size-effects in
micro-scale gap. Consequently, the simulation results accord
well with the actual situation, which validates the model. The
transition layer model will provide guideline for the analysis of
the lubrication properties and future applications such as the
design of MEMS/NEMS.
Keywords: Micro/nano-scale clearance, Lubrication, Viscosity,
Transition layer
INTRODUCTION
In recent years, the nanotechnique has been an essential
technique widely adopted for manufacturing industry. As
device size shrinks, nanotribology related problems have
become more and more significant and can not be neglected
[1,2]. Lubrication at micro/nano-scale has thus involved into a
hot issue [3]. In MEMS/NEMS, surface-to-volume ratio grows
with the miniaturization of device and surface phenomena,
such as the surface energy effects, will dominate the
lubrication characteristics [4]. Lubrication at nano or
sub-micro scale differs strongly from that of conventional
cases, either due to the solvation pressure character [5] or due
to the confined circumstances [6,7], as well as meniscus force
or capillary force between two contact asperities with water
droplet mediated [8].
The thin film lubrication (TFL) was proposed in 1990s to
account for the new lubrication state [9,10], the lubrication
phenomena in this regime are different from that in
elastohydrodynamic lubrication (EHL) wherein the film
thickness is strongly related to the speeds and different from
those in boundary lubrication wherein the film thickness is
mainly determined by molecular dimension and characteristics
of the lubricant [11]. Luo and Wen studied the influence of
friction pair surface’s physicochemical properties on viscosity
of lubricant [12]. The results revealed that the effect of the
solid walls on the viscosity could be negligible when the film
thickness was large enough; however, the effective viscosity
increased sharply when the film thickness decreased down to
micro/nano scale. As shown in Fig.1, the isoviscosity (the
effective viscosity) appears an abrupt increase while the film
thickness decreases down to a critical value. This heralds a
transition to TFL and implies a transitional layer of the
lubricant affiliated to the solid walls. In the experiment, the
solid wall surfaces were modified by TiO2, Cr, Ti, or Al for
*To whom all correspondence should be addressed. zhhzhang@bjtu.edu.cn
70
various surface energetic influences considerations.
Fig. 1 Relationship between the effective viscosity
and the film thickness [12] for various materials
coated surfaces. An abrupt increase in isoviscosity
appears with the film thickness down to a critical
value
Based on the aforementioned studies, many researchers
further studied the viscosity change of the micro/nano-scale
clearance and obtained many promising results. But they only
considered from the lubrication mechanism, which were
complicated and far from being practical. Luo et al. proposed
an ordered layer model [13] that has drawn broad concerns.
According to the model, the dynamic film governed the
running process if the dynamic film is enough thick, the
lubrication process belongs to hydrodynamic lubrication (HDL)
or EHL; whereas as the total films reduced to the nanometer
scale, the film properties were mostly determined by the
ordered lubricant film and the lubrication regime transited to
TFL. As the ratio of the ordered film increased, the order of the
lubricant molecular arrangement also increased; the ordered
degree of the lubricant molecules gradually decreased from the
direction perpendicular to the surface to the center of the
lubrication film. Consequently, it caused the viscosity close to
the solid walls changed rapidly. Actually, when the film gets
thin, molecules will be layered, and the viscosity will be a
function of layering [14].
Up to date, however, feasible theory prediction for the
characteristics of lubrication with clearance of nano scale,
which is a very prevailing lubricant state in MEMS/NEMS, is
a far cry. It gives impetus to put forward a new model in the
present work.
1. VISCOSITY TRANSITION LAYER MODEL
Viscosity is an important parameter for lubrication, which
is usually regarded as a constant in the conventional
lubricating process on occasion of that it is inherently the
property of the lubricant. For gap between two solid walls in
relative motion reduces to nano scale, however, the surface
energy effects of solid walls will exert great influence on the
lubricant, thus resulting in viscosity variation. As mentioned
before, a transition lubricant layer with a variation viscosity
can be regarded existing, as shown in Fig.2. In the transition
layer, the boundary close to the two surfaces is as that takes on
solid properties. The other boundary further flows like the bulk
fluid film.
 Viscosity Variation Model and Its Application in Micro/Nano-Scale Clearance

Fig. 3 Force analysis of micro cell

wp w§ wu · (5)
¨ eff ¸
wx wz © wz ¹
Similarly, we can get the y-direction and z-direction
Fig. 2 Viscosity transition layer model equations:
wp w wv (6)
(Keff )
wy wz wz
The effective viscosity of the lubricant in the whole gap wp (7)
can be modified as follows: 0
wz
eff 0M  z  (1) where u is the velocity in x-direction, and v is the velocity in
where eff is the effective viscosity , 0 the viscosity of the y-direction.
Velocities in the x and y directions are obtained by
conventional fluid layer respectively. M(z) the modified integrating equation (5) and (6):
wp z z z 1
equation which can be described as follows: u ³
wx Keff
0
dz  c1 ³
0
c
Keff 2
(8)

­ M1  z  d z d 1 wp z z z 1
°
M  z  ® 11 d z d h  2 (2)
v ³
wy Keff
0
dz  c3 ³
0
c
Keff 4
(9)

°M  z h   d z d h where ci (i = 1-4) is integral constant, which is determined

¯ 2 2
through boundary conditions.
  1  1 wp
M1  z  0
z (3) u2  u1  F1
1 0 0 c2 u1 , c1 wx
F0
  2  2
M2  z  0
h  z  (4) wp
2 0 0 v2  v1  F1
c4 v1 , wy
c3
where h is the height of the whole lubrication film; 1 and 2 F0
are the heights of transition layer one and transition layer two; h 1 h z
1 and 2 are the boundary viscosities near the solid surfaces
where F
0 ³ 0 Keff
dz ˗ F1 ³0 Keff
dz

respectively, which are decided by the properties of the fluid Further, fluxes in x and y directions are listed as follows:
and the solid walls, 0 the viscosity of the bulk fluid layer. For 1 wp F2 F
qx ( F2  1 )  (u2  u1 ) 1  u2 h (10)
simplicity, linear variation (eqs (3) and (4)) is adopted to Keff wx F0 F0
describe viscosity variation in the transition layer as the height 1 wp F2 F
qy ( F2  1 )  (v2  v1 ) 1  v2 h (11)
of transition layer is very small. It is noted that eff can be Keff wy F0 F0
Finally, continuity equation for incompressible fluids
either greater than or less than 0 , depending on practical
reads: w (q )  w (q ) 0 , the modified 3D Reynolds
situations. In addition, M(z) can vary with respect to wx
x y
wy
coordinates x and y for heterogeneity solid surfaces. equation is obtained as follows:
w ª§ F12 · wp º w ª§ F12 · wp º
2. REYNOLDS EQUATIONS FOR TRANSITION LAYER «¨ F2  ¸ »  «¨ F2  ¸ »
wx ¬© F0 ¹ wx ¼ wy ¬© F0 ¹ wy ¼ (12)
MODEL
wh w §F ·
Based on the force balance condition of micro cell as u2   u2  u1  ¨ 1 ¸
wx wx © F0 ¹
shown in Fig.3, we can get the x-direction force balanced
h z2
equation: where F
2 ³ 0 Keff
dz

71
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
3. CALCULATION RESULTS AND DISCUSSION
3.1 Lubrication properties predicted with the transition
layer model
The modified 3D Reynolds equation can be solved by
using multi-grid method [15]. For all computations, we set
u 2 0 , 0 = 0.02 Pa  s , 1 K2 K , 1 = E2 = E .
Pressure vs. ratio of /0 is plotted in Fig.4. Other
parameters used in the computation process are adopted as
follows: hin = 100 Nm , hout = 50Nm , u1 = 0.4m / s ,
1 /h = 2 /h =0.1. Fig.4 (a) shows 3D pressure distribution for
viscosity of 0.03 Pa ˜ s . Fig.4 (b) shows the relationship
between pressure and ratio of /0 in z-y plane at center in x
direction under variousK. The largest pressure increases from
14.05KPa to 16.46KPa. Fig.4 (c) gives the pressure
distribution z-x plane at center in y direction. The largest
pressure increases from 33.60KPa to 39.37KPa. Increment in
viscosity of the transition layer will give rise to increase of
pressure.
(a) 3D pressure distribution
(b) Pressure in z-y plane
(c) Pressure in z-x plane
Fig. 4 Pressure with different viscosity K
The effective viscosity of the fluid in the whole clearance
72
is improved with the viscosity of the solid walls increasing. It
proves that the transition layer model can reflect the variation
of viscosity in real time.
Velocity contribution to lubrication performances is plotted
in Fig.5. Other parameters are adopted as follows: hin =100m,
hout = 50N m, I1 = I 2 = 0.06Pa  s, E1 h = E2 h = 0.1 . Fig.5
(a) shows 3D pressure distribution for velocity of 0.1m/s. Fig.5
(b) shows the pressure distribution in z-y plane at center in x
direction under various u1 .The largest pressure increases
from 4.11KPa to 16.46KPa. Fig.5 (c) gives the pressure
distribution in z-x plane at center in y direction. The largest
pressure increases from 9.84KPa to 39.37KPa .It can be seen
that the larger the velocity is, the greater the pressure becomes,
which is due to the wedge effects.
(a) 3D pressure distribution
(b) Pressure in z-y plane
(c) Pressure in z-x plane
Fig. 5 Pressure with different velocity u 1
The shear force of the solid walls acting on lubricant
increases as the velocity increases. According to the references
[6,9], it is found that the increase of shearing is conducive to
increasing the ordered degree of lubricant, and as its ordered
degree increases, the viscosity of oil close to the solid walls
also increases. The result leads to increase of the effective
 Viscosity Variation Model and Its Application in Micro/Nano-Scale Clearance
viscosity of the whole clearance thereby it makes the pressure
increase in addition to the wedge effect.
Pressure vs. outlet height relation is shown in Fig.6. Other
parameters are used as follows hin = 100 Nm , u1 = 0.4 m / s ,
I1 = I2 = 0.06 Pa  s, 1 /h = 2 /h = 0.1 , Fig.6 (a) shows 3D
pressure distribution for outlet height of 50m. Fig.6 (b) gives
pressure distribution in z-y plane at center in x direction under
various hout . The largest pressure decreases from 16.46KPa to
5.57KPa. Fig.6 (c) gives the relationship between pressure and
the outlet height in z-x plane at center in y direction. The
largest pressure decreases from 39.37KPa to 6.40KPa. We can
conclude that the larger the outlet height is, the less significant
its influence on pressure becomes, which due to ratio of the
transition layer decreasing.
(a) 3D pressure distribution
(b) Pressure in z-y plane
(c) Pressure in z-x plane
Fig. 6 Pressure with different hout values
Influence of the ratio of the transition layer is shown in
Fig.7. Other parameters used are listed as follow: hin 100Pm ˈ
hout 50Pm,u1 0.4m/s,K1 K 2 0.06Pa ˜ s . Fig.7 (a) shows
3D pressure distribution for the ratio of the transition layer of
73
0.1. Fig.7 (b) gives pressure distribution in z-y plane at center
in x direction under various G h . The largest pressure
increases from 16.46KPa to 28.49KPa. Fig.7 (c) gives the
relationship between pressure and the ratio of the transition
layer in z-x plane at center in y direction. The largest pressure
increases from 39.37KPa to 68.13KPa. When the transition
layer accounts for less percentage, it has less influence on the
pressure distribution, on the other hand, however, the larger the
ratios of the transition layer are, the more significant its
influences on pressure are. Clearly, improving transition layer
thickness will also enhance the effective viscosity, thus it can
cause fluid pressure increase.
(a) 3D pressure distribution
(b) Pressure in z-y plane
(c) Pressure in z-x plane
Fig. 7 Pressure with different 1 /h = 2 /h
3.2 Croucher application of the transition layer model
According to the above studies on the lubricating
characteristics of the transition layer model, it is possible to
investigate lubrication characteristics of a system downsizing
to micro/nano scale, such as MEMS, NEMS and micro/nano
devices.
The magnetic disk drive system [16] shown in Fig.8 is used
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
for data recording application. Fig.8 (a) is a schematic view
and the writer head for magnetic recording system is shown in
Fig. 8 (b). The read-write operation is performed under steady
conditions where a load-carrying film is formed to separate the
slider from the disk. So it is of importance for the work
reliability of the device that keeps the clearance of the motion
pair under control rigorously. Thus, a lubrication analysis is of
paramount importance to secure safety operation. One difficult
is arising from the heterogeneity of the head surface. It is
astonishing that the transition layer model will provide a
promising candidate, on condition that the parameters
associated with transition layer are extended to be
displacement-dependent.
(a) Schematic view of a magnetic recording system
(b) Heterogeneity of the write head
Fig. 8 The magnetic disk drive system [16]
4. CONCLUSIONS
A transition layer model is introduced to account for the
lubrication characteristics at micro/nano gap where the solid
surface energy or some other area-related aspects are dominant.
The lubrication equation is thus deduced accordingly and
numerical simulations are afterwards conducted to analyze the
lubrication properties. The results reveal that the transition
layer contribution can be ignored when its proportion to the
whole gap is very small and the lubrication properties are
similar with that of conventional fluids. However, when the
proportion is large enough, its lubrication features differ from
conventional fluids distinctively. This model can explain the
characteristics such as size-effects in micro-scale gap and thus
has a promising future usage.
74
ACKNOWLEDGEMENTS
The work is financially supported by National Natural
Science Foundation of China (50705006) and Beijing Natural
Science Foundation (3082015).
REFERENCES
[1] Bhushan, B., 2007, “Nanotribology and nanomechanics of
MEMS/NEMS and BioMEMS/BioNEMS materials and
devices,” Microelectronic Engineering, 84, pp.387-412.
[2] Bhushan, B., Israelachvili, J. N., Landman, U., 1995,
“Nanotribology-friction, wear and lubrication at the
atomic-scale,” Nature, 374, pp. 607-616.
[3] Zhang, C.H., 2005, “Research on thin film lubrication:
state of the art,” Tribol. Int., 38, pp. 443-448.
[4] Bhushan, B., 2005, “Nanotribology and nanomechanics,”
Wear, 259, pp.1507-1531.
[5] Matsuoka, H., Kato, T., 1997, “An ultrathin liquid film
lubrication theory-calculation method of solvation pressure
and its application to the EHL problem,” ASME J. of
Tribol, 119, pp. 217-226.
[6] Granick, S., 1991, “Motions and relaxation of confined
liquids,” Science, 253, pp. 1374-1379.
[7] Reiter, G., Demirel, A. L., Granick, S., 1994, “From static
to kinetic friction in confined liquid films,” Science, 263,
pp. 1741-1743.
[8] Nosonovsky, M., Bhushan, B., 2005, “Roughness
optimization for biominetic superhydrophobic surfaces,”
Microsyst. Technol., 11, pp. 535-549.
[9] Tichy, J. A., 1995, “Modeling of thin film Lubrication,”
Tribol. Trans., 38, pp. 108-118.
[10]Tichy, J. A., 1995, “A porous media model for thin film
lubrication,” ASME, J. Tribol., 117, pp. 16-21.
[11]Luo, J.B., Wen, S.Z., Huang, P., 1996, “Thin film
lubrication, Part I: Study on the transition between EHL
and thin film lubrication using a relative optical
interference intensity technique,” Wear, 194, pp.107-115.
[12]Luo, J.B., Wen, S. Z., 1996, “Mechanism and
characteristics of thin film lubrication at nanometer scale
[J],”Science in China (A), 39(12), pp. 1312-1322.
[13]Luo, J.B., 1994, “Study on the experimental technique and
characteristics of the thin film lubrication,” Ph. D Thesis,
Tsinghua University, Beijing (in Chinese).
[14]Martini, A., Liu, Y., Snurr, R., Wang, Q., 2006, “Molecular
dynamics characterization of thin film viscosity for EHL
simulation,” Tribology Letters, 21, pp. 217-225.
[15]Zhang, C.H., Luo, J.B., Wen, S.Z., 2004, “Multigrid
technique incorporated algorithm for CMP lubrication
equations,” Progr. Nat. Sci., 14(4), pp. 369-372.
[16]Bhushan, B., 1990, “Tribology and mechanics of magnetic
storage devices,” Springer-Verlag, New York, USA.
 Numerical Solving Method for the Structural Stiffness of Gas Foil Bearings

Numerical Solving Method for the Structural Stiffness of Gas Foil Bearings

Geng Haipeng,Qi Shemiao,Yu Lie

Institute of Mechatronics and Information Systems, Xi’an 710049, China

ABSTRACT fully understand the basic operating fundamentals uniquely

In order to analyze the performance of Gas Foil Bearings, a
coupled finite element method (FEM) is developed in this paper.
The compressible gas lubricated Reynolds equation is
transformed into a typical elliptic partial differential equation
and solved by FEM. The elastic deformation equation and the
contact boundary conditions between foils are solved by
nonlinear contact finite method. A generalized numerical
solving method for the elasto-aerodynamically coupled
lubrication problem in the foil bearing is given with mesh
mapping relationship between the two kind of finite element
solving process above mentioned. The structural stiffness of
the foil bearings with different parameters is estimated by
using the numerical method. It is helpful to decide the
structural parameters of the foil bearing.
Keywords: Lubrication, Foil Bearing, structural stiffnessˈ
contact mechanics
INTRODUCTION
Gas Foil Bearings (GFBs) are a proven alternative to
rolling element bearings for high speed applications. GFBs
eliminate lubrication, have no DN limit, and withstand high
temperature operation. However, GFBs show little damping
and have limited load capacity. Gas Foil Bearings have been
widely applied in a number of turbo-machineries such as air
cycle machines and turbo compressors, and recent
investigations indicate that foil bearings can also find its usage
in the integrated high performance turbine engine technology
(Fig.1).
I 0
M 0
inherent in compliant foil bearings as well as the data required
to validate computer models, the absence of reliable
performance-prediction methods and design guidelines has
become one of the most critical technical hurdles which impede
the application and widespread use of compliant foil bearings.
For the research of compliant foil bearings, excellent
contribution was made by Heshmat[4~6]. An improvement was
made to the Walowit model[7-10], and the model presented by
Heshmat has become a classical method for analysis of both
static and dynamic characteristics of foil bearings. In the
Heshmat model, action of the support bump foils was separated
first and dealt with alone from the whole foil bearing for
simplicity, and the dynamic characteristics of the bump foils
was described by the structure stiffness and damping
coefficients[11].
In formulating the equations governing the
elastohydrodynamics of the foil bearing, the following
assumptions for the foils are made by Walowit and Heshmat
(Fig.2) [7], [11]:
Fig.2 Configuration of bump foil

T0 (a) The foil is assumed not to “sag” between bumpsˈbut

rather to follow the deflection of the bumps themselves.
T
(b) The deflection of the foil in response to the acting forces
is dependent on the local effect only, i.e., on the force
Ob
e acting directly over the particular point.
x
e0 (c) The top foil does not deflect relative to the bumps, but
Oj hg
rather follows the deflections of the bump themselves.
Z
M (d) The applied load is concentrated on the top center of the
bump.
(e) The stiffness of the foil is taken to be uniformly
distributed and constant throughout the bearing surface.
The stiffness, K B , is independent of the amount of bump
y deflection.
Fig.1 Schematic of typical foil bearings (f) Deflection of the segment between two bumps is
neglected.
(g) The bumps do not separate from the housing surface.
In spite of the successful application of this oil-free (h) All deformations are elastic, no permanent deformation
supporting technology in engineering, theoretical researches on occurs.
static, especially dynamic performances of compliant foil (i) Bump deformations in the transverse direction is constant
bearing seem rather difficult and far behind experimental and uniform.
(j) Horizontal displacement of the bumps is from the fixed
investigations because of complexity[1~4]. As summarized by end to the free end.
Radil and Dellacorte, for lack of the in-depth research needed to The governing equations for determining radial and

75
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

tangential deflections wi and vi , respectively, of and elastic prominent, the structural stiffness of the foil bearing is
intrinsically nonlinear and obtained after the relationship
curved foil (Walowit and Anno,1975) are obtained according to
Timoshenko’s simply supported beam theory: between the press distribution of gas film and the deformation
of foils is obtained through the iterative solution. It is obvious
DB § d 2 wB ·
¨ ¸  wB M that there is the structural stiffness of the foil bearing for every
RB2 © dT
2
¹ eccentricity.
(1) We founded generalized solution framework for GFBs in
According to the assumptions above mentioned, we finally
literature[18-19].In generalized solution framework of elasto-
obtain the radial and tangential deflections of the single bump
foil. Thus, the rigidity of the bump is reflected through the aerodynamic lubrication for aerodynamic compliant foil
constant value K B : bearings, we adopt the nonlinear contact finite element method
to solve the interactions between the springs part in foil bearings,
WB EB t 3 then a finite element method is developed for the calculation of
KB (2)
wB 2(1  vB2 )l03 aerodynamic lubrication through transforming the compressible
The deflection of the foil under the imposed hydrodynamic gas lubricated Reynolds equation into a typical elliptic partial
pressure is assumed to be proportional to the local pressure, we differential equation, then the coupled gas lubricated Reynolds
have equation, the elastic deformation equation and the contact
h C  e cos(T  I0 )  ( p  p a ) / K B (3) boundary conditions between foils is solved through a the finite
To obtain more accurate information on the deflection of element grid mapping middle part, and the elasto-aerodynamic
bump foil, Ku, C.-P. R. and Heshmat.H ˈ establish a coupled numerical solution of the compliant foil bearings is
comprehensive model ,consider the link effect between two obtained. Using the method above mentioned, the structural
adjacent bump and the various forces and geometric parameters stiffness of the foil bearing under different eccentricity is
that affect bearing, and further develops the solution theory of solved.
the bump foil in the literature[4]ˈthe experimental data and the
theory analysis both show that the bumps near the fixed end
THOERY AND NUMERICAL SOLVING METHOD
have a much higher stiffness than those near the free end. But
this kind of variable bump stiffness so far has not been used to In order to solve the elasto-aerodynamic coupled problem
solve the coupled elasto- aerodynamic lubrication problem for in foil bearing, the researchers in the fields is always devoting to
the compliant foil bearings instead of constant bump stiffness introducing the finite element method into the solving process
[12]. of the elasto-aerodynamic coupled problem in foil bearings. In
To increase the load capability, many kind of the elastic
order to analyze the performance of the foil bearing, the
supports such as springs, bump foils and rubber etc are adopted,
compressible gas lubricated Reynolds equation and the problem
and the adjacent top foils even are joined[14]-[16]. In the
of foil deformation are firstly respectively solved.
previous analysis, the interaction between the elastic support
The Reynolds equations which is used to describe the
and the top foil has been shy away from because of structural
compressible gas lubricated problem may be written as(Fig.1):
complexity. The analytical difficulties are largely due to the
lack of proper modeling and limited empirical evidence w PH 3 wP w PH 3 wP w (4)
( ) ( ) 6U ( PH )
showing the dynamic interaction between the hydrodynamic wI P wI wZ P wZ wI
gas film and the foil support structure. This deficiency is Where M I  T , z Z P H 6PZ R 2 , Z is
,h ,/ ,p ( )
exacerbated by the absence of physical modeling of the material R Pa C Pa C
coatings introduced to reduce frictional drag during start-up and angle velocity, C is nominal film gap, H is eccentricity ratio,
shut-down. Since the operating parameters are not well
Pa is environmental press. Thus the dimensionless
quantified, each foil bearing is now essentially a custom-piece
of hardware, with resulting variability even in identical units compressible gas Reynolds equations is written as:
and limited scalability[17]. w wp w wp w (5)
( ph 3 ) ( ph 3 ) / ( ph)
From the point of the author, this method mentioned above wM wM wz wz wp
seems doubtful and problematic because the foil bearings are
Let s ph , 3 p 2 h 2 .Thus
usually constructed asymmetrically. According to the method
presented by Heshmat, values of structural stiffness and w wp w h w– wh
( ph3 ) [ – ]
damping for a foil bearing are not independent, and parameters wM wM wM 2 wM wM (6)
of the motion of the rotor are also enveloped in the structural h w 2 – 1 wh w – wh w – w2h
  – 2
stiffness and damping. This means that even for a 2 wM 2 2 wM wM wM wM wM
certain-structure foil bearing with bump foils supported, its
w wp w h w– wh
stiffness and damping cannot be predicted alone. To a great ( ph3 ) [ – ]
wz wz wz 2 wz wz (7)
extent, the Heshmat model can provide an estimation. The
h w 2 – 1 wh w – wh w – w2h
so-called structure stiffness according to the Hsehmat model has    –
2 w z 2 2 wz w z wz w z wz 2
only a statistic meaning.
Owing to the correlation between the structural stiffness of And then, the equation 5 is written as:
the foil bearing and the load distribution upon it is very

76
 Numerical Solving Method for the Structural Stiffness of Gas Foil Bearings

w 23 w 23 2 w2h w2h that the lengths of the triangle sides are unchanged during
(  ) (  )3 deformation. In order to reduce of the calculation scale, we use a
wM 2
wZ2 h wM 2 wz 2
set of curves or surfaces to denote a rigid body, thus only the
1 wh w – wh w – 1 ws
 [  ]  2/ (8) boundary points are needed, and rigid body profile is
h wM wM wz wz h wM
constructed with these points. Using the flexible to rigid body
The Equation 8 is a typical elliptic PDE:
contact, we can analysis the all kinds of contact including with
’ ˜ (c’u )  au f (9)
preload and without preload. In the contact analysis process, the
Through transforming the compressible gas lubricated contact state is necessarily detected. The contact state has the
Reynolds equation into a typical elliptic PDE (partial three following cases(Fig.4)
differential equation) form, thus the lubricated Reynolds
equation can be solved by finite element method, and a finite Rigid Body
(set of curves or
element program is developed for the calculation of Deformable Body
surfaces)
(set of elements)
aerodynamic lubrication. 
 n
The elastic deformation problem of foils in the compliant 'u A
foil bearing was always being analyzed by the analytic method
based on the beam theory, but the method reckon without the D D
effect of the three dimension deformations of foils upon the A
press distribution of gas film. In our work, the foil deformations Case 1 2 3 4

are solved by the shell theory, the contact mechanics behavior d

between foils is simulated by the nonlinear contact finite
element method. Fig.4 The schematic of contact
If a solid object is meshed a finite element system, the
motion of the discrete system may be written as[18] Case 1: Contact not detected when
 
Ii ( X I , t ) ri (t )  FiI (t )[ X I  RI ] (10) 'u A x n | D  d | (14)
in which X I is position of point in rigid body, t is Case 2,3: Contact detected when
 
time, RI is some reference point in the undeformed body, ri is 'u A x n d D (15)
Case 4: Penetration detected when
the position of the point in the deformed body, and FiI is a
 
constant deformation gradient. Using a polar decomposition on 'u A x n !| D  d | (16)
with:
the deformation tensor, 
'u —— incremental displacement vector of node

X(I) X(I) n ——unit normal vector with proper orientation
/iI (t )
z r0 (t ) r(t )
D ——contact distance (h/20 or t/4,h is the length
element edge and t is the thickness of shell)
I Fs ——separation force (Maximum Residual)
o Case 1: Node A does not touch, no constraint applied.
Case 2: Node A is near rigid body within tolerance,
x
contact constraint pulls node to contact surface if
y F  Fs
Fig.3 Rigid body motion Case 3: Node A penetrates within tolerance, contact
constrain pushes node to contact surface.
The rigid body motion equation may be constructed from the Case 4: Node A penetrates out of tolerance and increment
finite element model(Fig.3). gets split (loads reduced) until no penetration.

Ii ( X I , t ) ri (t )  / iI (t )[ X I  RI ] (11) A grid mapping interface is also developed to solve

elasto-aerodynamically coupled lubrication problem in
The polar decomposition of the deformation gradient may be
compliant foil bearings by the [p,e,t] meshing rule. The solving
given as step of the elasto-aerodynamic coupled problem is given as
FiI / iJ U JI where / iI / iJ G JI and / iI / jI G ij (12) follows (Fig.5):
1) The finite element model of bearing is firstly established
The equation (13) is also expressed in matrix form and the meshing information (including node and element)
)(X, t ) ri (t )  (t )[X  R] (13) of the bearing carrying face is extracted.
Thus, we can express the rigid motion using Eq(13) and impose 2) The mesh mapping relation is established with the
constraints to make the stretches unity. For example, in two information which is extracted in the first step.
dimensions we can represent the motion in term of the 3) The gas lubricated Reynolds Equation is solved by the
displacements of the vertices of triangle and apply constraints initial gas film gap which is supposed.

77
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

4) The gas dynamic force is
deformation FEA model, and
of bearing are obtained.
5) Through changing the gas
deformation of bearing, the
loaded on the structure
the structure deformation
film gap by the elastic
gas lubricated Reynolds
Equation is renewedly solved.
6) The step 4 and step 5 is iteratively calculated until the
iterative solution is convergent.
An elasto-aerodynamic problem solving environment is
established based on the iterative step above mentioned.

Extract the node

Form the element
inforamtion of the
information
bearing inner face

Load the gas Solving Reynolds

dynamic Equation
force
[p,e,t] mesh

Stucture deformation
FEA Model
Transform the press into
node force

Fig. 5 Solving Framework of the Elasto-aerodynamic coupled problem

RESULTS AND DISCUSSIONS
The primary goal of the investigation is determining the
micro-deformations of the top foil. At the same time, the
contact status between the bump foil and top foil is also be
investigated. A certain aerodynamic compliant foil bearing is
calculated based on the presented theory by the method above
mentioned (Parameters from Table1, geometry from Fig.1).
lubricate gas would leak from two side of the foil bearing. The
contact status between the bump foil and the top foil in foil
bearing is also investigated with this method (Fig 8). The
investigation of the contact status between foils is helpful to
the design of the gas foil bearing.

Table 1 Bearing Parameters

Bump pitch 2.8mm
Bump length 2.0mm
Thickness of bump foil 0.08mm
Bump height 0.28mm
Thickness of top foil 0.18mm
Rotate speed 60000rpm
Width of foils 60mm
Radius of top foil 25mm
(a)¦=0.3
Nominal gap 50­m

Fig.6 shows the pressure distribution under different

eccentricity. The pressure distribution under small eccentricity
is much smoother than under big eccentricity. Owing to the
elasticity and flexibility of the top foil and the bump foil, the
radial deformation of top foil approaches uniform, except for
the two ends and side edges of the top foil. We observe that the
radial deformation of top foil under small eccentricity is
obviously different from under big eccentricity (Fig.7). The
edge effect is propitious to increasing the load capacity of foil
(b)¦=0.8
bearing. With the eccentricity increasing,the gas film pressure
distribution is more abrupt. The deformation of top foil at the
Fig.6 Dimensionless pressure distribution
highest section is very large under big eccentricity, thus the

78
 Numerical Solving Method for the Structural Stiffness of Gas Foil Bearings

thus the structural stiffness is nonlinear. But the structural

stiffness of the gas bearing may be roughly estimated by
Pn  Pn 1
[K ] (17)
u n  u n 1
Pn , u n are respectively the convergence value of the gas
film and the radial deformation of the top foil.

CONCLUSIONS
A generalized numerical solving method for the elasto-
aerodynamically coupled lubrication problem in the gas foil
(a)¦=0.3 bearing is given with mesh mapping relationship between the
two kind of finite element solving process above mentioned.
The contact status between foils is also investigated with
this numerical method.
The structural stiffness of the foil bearings with different
parameters is estimated by using the numerical method, which
is helpful to design the bump foil.

ACKNOWLEDGEMENTS
This work is supported by the National Natural Science
(b)¦=0.8 Foundation of China (Grant No. 50635060), the National
Fig.7 Radial deformation of top foil Program on Key Basic Research Projects of China (Grant Nos.
2007CB707705 and 2007CB707706) and the National
High-tech Research and Development Program of China
(Grant No. 2007AA050501).

(a)¦=0.3
(b)¦=0.8
Fig.8 Contact status between top foil and bump foil
The structural stiffness of the foil bearing is key to the
stiffness and damp of the gas foil bearing. But the structural
stiffness would change with eccentricity and contact status,
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[2] Dellacorte, C., Valco, M. J., Load capacity estimation of foil
air journal bearings for oil-free turbomachinery applications,
Tribology Transactions, 2000, 43(4): 795-801.
[3] Howard, S. A., Dellacorte, C., Valco, M. J. et al.,
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temperatures, Tribology Transactions, 2001, 44(3): 489-493.
[4] Ku, C.-P. R., Heshmat, H., Compliant foil bearing structural
stiffness analysis: part I - theoretical model including strip
and variable bump foil geometry, Journal of Tribology,
Transactions of the ASME, 1992, 114(2): 394-400.
[5] Ku, C.-P. R., Heshmat, H., Structural stiffness and coulomb
damping in compliant foil journal bearings: theoretical
considerations, Tribology Transactions, 1994, 37(3):
525-533.
[6] Heshmat, H., Ku, C.-P. R., Structural damping of self-acting
compliant foil journal bearings, Journal of Tribology,
Transactions of the ASME, 1994, 116(1): 76-82.
[7] Walowit, J.,Gas lubricated foil bearing technology
development for propulsion and power system, Technical
report, Air Force Aero Propulsion Laboratory, 1973.
[8] J.A.Walowit,J.N.Arno.Modern Development in Lubrication
Mechanics,Applied Science Publishers,Ltd,London,1975.
[9] Heshmat, H., J.A.Walowit, O.Pinkus. Analysis of
gas-lubricated foil journal bearings, Journal of Lubrication
Technology, Transactions of the ASME, 1983 105(10):
647-655.
[10] Heshmat, H., J.A.Walowit, O.Pinkus. Analysis of
gas-lubricated compliant thrust bearings, Journal of
Lubrication Technology, Transactions of the ASME, 1983
105(10): 638-646.

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
[11] Ku, C.-P. R., Heshmat, H., Structural stiffness and
coulomb damping in compliant foil journal bearings:
parametric studies, Tribology Transaction, 1994, 37(3):
455-462.
[12] Salehi, M., Swanson, E.E. and Heshmat, H. Thermal
Features of Compliant Foil Bearings - Theory and
Experiments, Journal of Tribology, Transactions of the
ASME, Volume (2001),123 (3):566-571.
[13] Foil Gas Bearing With Compression Springs: Analyses and
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[14] K P Oh, S M Rohde. A Theoretical investigation of the
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[15] D Sudheer Kumar Reddy, S.Swarnamani. Analysis of
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[16] C A Heshmat, H Heshmat. An Analysis of Gas Lubricated
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[17] Luis San Andres. Gas bearing will soon be widely
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Ruhua yu mifeng,2006(2):42-45.
 Biotribological Properties of Natural Swine Joint Cartilage
Biotribological Properties of Natural Swine Joint Cartilage
Cui Tao , Xiong Dangsheng
˄Department of Materials Science & Engineering, Nanjing University of Science and Technology,
Nanjing 210094, People’s Republic of China, E-mail: cuitao11111@163.com˅
ABSTRACT
The biotribological properties of natural swine joint
cartilage under various load, velocity and lubrications were
0.08).
investigated by a pin-on-disk tribometer. The experimental
results show that the friction coefficients and wear rates of the
cartilage under various lubrications are difference, the lowest
friction and the lowest wear was obtained under calf serum
lubrication. Under the same experiment conditions, the friction
coefficients of various position of the cartilage are difference
and friction coefficient of top area of the swine joint cartilage
was the lowest and the far away from the area, the high friction
coefficient was obtained.
Keywords: cartilageˈ swine jointˈfriction and wearˈcalf serum
INTRODUCTION
0.08). Experiment was conducted at room
The joint prosthesis after implantation should have a
ball-joint friction and wear in the body [1-2]. In view of the
active and healthy life, artificial joints will be different from
natural joint, for which biological research on live bone
friction characteristics is needed. So that the series of
conditions occurred inside after the joint replacement can be
predicted, thereby guiding the selection of materials. The direct
use of human experiments on living bone is not realistic. Given
that the joint of animal and human is similar, natural swine
articular cartilage was used to test friction and wear in this
experiment. The tribological test of fresh swine articular
cartilages was developed by the pin-on -disc friction and wear
testing machine simulating artificial joints in the actual
conditions, such as counter-body, movement, loading and
environmental media.
EXPERIMENT DETAILS
SAMPLE PREPARATION
The biotribological properties of natural swine joint cartilage
is made in the department of the pin-on-disk tribometer. The
fresh natural swine articular cartilage was used as the
hemispherical pin sample.The sample for the disc, is the main
material for the 316 L stainless steel. Experiments on samples
is fresh swine articular cartilage that were bought from the
market . In order to ensure the freshness of articular cartilage
and comparability of the experiment, the sample was came
from the same pigs that were slaughtered in the day. First, take
the joint admission down from the long bone with hand saws,
then clean the meat processing residue of the joint surface, and
remove the soft tissue or oil film. With a very sharp bone knife
in the first joint surface with the size of a nail was removed
from the natural swine articular cartilage. The articular
cartilage practical was put into a cylinder pin and its surface
was exposed on the end of pin and pressed by ball with the
radius of 5 mm.
Experiment on the use of natural swine articular cartilage is
a porous viscoelastic material, which is full of liquid, with
depressed surface and rough shape. Articular cartilage has a
good elastic modulus, and thermal expansion of strength, wear
81
*
resistance and corrosion resistance stronger. The 316L stainless
steel was grounded with 400 # and 600 # sandpaper and then
polished (Ra
EXPERIMENT METHODS
With a very sharp bone knife in the first joint surface with
the size of a nail was removed from the natural swine articular
cartilage. The articular cartilage practical was put into a
cylinder pin and its surface was exposed on the end of pin and
pressed by ball with the radius of 5 mm. The tribology
experiment of the natural swine articular cartilage was
conducted on a self-made ball-on-disk tribometer. The fresh
natural swine articular cartilage was used as the hemispherical
pin sample while the counter material was 316 L stainless
steel( Ra
temperature, relative humidity of 45 %, lubricated by distilled
water, saline and plasma. Experimental applied load were 1.5
N, 2N and speed was 84r/min. each test lasted for four hours.
Because the articular cartilage absorbed moisture and gain
weight, it was necessary for it to reach saturation in the water
to ensure the accuracy of measurement. Cartilage particular
particles were weighted by BP211D-(0.01 mg) electronic
balance. Swine articular cartilage particles and stainless steel
samples were clean with ethanol. The worn surfaces of
articular cartilage were observed by the optical microscope. A
sample with the same size with no friction experiment was
used as the weight measurement reference.
RESULTS
EFFECT OF LUBRICATION ON FRICTION AND WEAR
PROPERTIES
Fig. 1(a) shows the curve of the friction coefficient of
swine articular cartilage varied with time at a speed of 84 r /
min and a load of 1.5 N under the lubrication of dry friction,
distilled water, saline and plasma. With the extending time, dry
friction coefficient of friction was stable at 0.06. Friction
coefficient lubricated by distilled water was similar with that
lubricated by normal saline, which were both stable at 0.080.
Steady friction coefficient under plasma lubrication was about
0.016. The friction coefficient and wear rates decreased in the
order of stem friction, distilled water, saline and plasma.
Under dry friction, with the extension of time, the friction
heat leaded to water loss and weakened the lubrication role of
the organic matter, resulting in friction coefficient increasing.
In the absence of lubricants, the direct contact with stainless
steel caused serious water loss(Fig.1(b)). Under the lubrication
of distilled water and saline lubrication, friction coefficient
decrease at the initial time because joint surface absorbed
water and joint activity was improved. After a period, friction
coefficient increased due to serious water loss induced by
compacting stress. The friction coefficient was lowest under
plasma lubricating, because the presence of plasma fibrinogen,
-, -and -globulin, which forms a loose connection between
the network structure. A layer of protective lubricating film
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

deposited on the frictional contact surface not only reduced the (b)
0.10
friction factor, but also reduced wear [3] .

Friction coefficientμ
A
0.08
B
0.20 C
0.18 (a) dry friction 0.06
distilled water
Friction coefficient,

0.16
brine 0.04
0.14
piasma
0.12
0.02
0.10
0.08 0.00
0.06 0 50 100 150 200 250
0.04 Sliding time(min)
0.02
0.00
Fig.2 Three different locations on swine articular
0 50 100 150 200 250 cartilage(a) and its friction coefficient(b) (speed 84r/min, load
Sliding time,min 1.5N, plasma lubrication)

50
45 (b) dry friction
distilled water WEAR SURFACE ANALYSIS
40
brine
Wear mass,mg

35 Fig.3 gives worn surface morphologies of swine articular

plasma cartilage in dry friction, distilled water, saline and plasma
30
25 lubrication system at a speed of 84 r / min and a load of 1.5 N.
20 Under lubrication in dry friction, the original joint surface
15 shows a large number of biotribological traces, a large number
10 of small pit and massive flake. Under lubrication in distilled
5 water, the original joint surface shows a few small pit and
0 massive flake. Under lubrication In the saline-lubricating ,the
1.5 2.0 original joint surface shows similarly to the situation under
Load, N
Fig.1 The friction coefficient(a) and wear mass loss (b) lubrication in distilled water. Under the lubrication of plasma,
under different lubricant( speed 84r/min, load 1.5N) the joint surface showed some slippery tracks, the surface did
not appear pit because of the presence of plasma fibrinogen, -,
-and -globulin. These plasma protein polymer deposited on
the frictional surface formed a layer of protective lubricating
EFFECT OF DIFFERENT LOCATIONS ON FRICTION film.
PROPERTIES
Fig.2(a) shows three different locations on the same swine
articular cartilage(Marked with A, B, C respectively). As
shown in Fig.2(a), A joint head for the articular cartilage in and
around the roots, B for the joint first in the forefront around the
articular cartilage, C for head of the joint front of the articular
cartilage. Fig. 2(b) gives the friction coefficients of three
different locations on a swine articular cartilage varied with
testing time at a speed of 84 r / min and a load of 1.5 N,
lubricated by plasma.
The initial friction coefficients were high, 0.095, 0.092
and 0.083 for location A, B and C respectively. The friction
coefficient decreased with the increase of sliding time and at
the last they were stable at 0.016, 0.013, 0.01 for location A, B,
and C. The head of the joint front of the articular cartilage
(marked C) had a lowest friction coefficient. Because the
location of the articular cartilage and joints often Waterloo to
friction and wear and lubrication of regular contacts, friction
coefficient minimum.

(a)

82
 Biotribological Properties of Natural Swine Joint Cartilage

CONCLUSIONS
The friction coefficient and wear rate of natural swine
articular cartilage decreased in order of dry friction, distilled
water, saline and plasma. The friction coefficient is lowest
under the lubrication of plasma because of the presence of
plasma fibrinogen, which forms a protective lubricating film.
The different parts of the same joint articular cartilage show
different properties in friction under the same experimental
conditions .The smallest wear and friction coefficient was
obtained on the head of the joint front of the articular cartilage
due to regular contact and biotribological. The far away from
 the area, the high friction coefficient was obtained.
In a variety of conditions, the original joint surface shows a
large number of biotribological traces, with pits and massive
flake particles sheded from the surface. The wear and tear of the
surface of stainless steel friction is the most rough. Under the
lubrication of plasma, the joint surface showed some slippery
tracks, the surface did not appear pit.

REFERENCES
[1] Anderson, J.M., in: Ratner, B.D., Hoffman, A.S., 1996, “An
Introduction to Materials in Medicine,” Biomaterials
Science:165-173.
[2] Williams, R.L., Brown, S.A., Merritt, K., 1988,
“Electrochemical studies on the influence of proteins on the
corrosion of implant alloys,” Biomaterials, 9, pp.181.
Fig.3 worn surface morphologies of swine articular cartilage in [3] Huang, X.L., Zhu, H., Ge, S.R., 2005, “A study on
the dry friction, distilled water, saline and serum (84 r/minˈ biotribology behavior of natural swine articular
1.5N) (a) dry friction (b) distilled water (c) saline (d) serum cartilage.lubrication and seal” 170(4)pp.16-23.

83
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China 

Effect of Surface Texturing on Lubrication Film Formation within Non-Conformal Contacts




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85
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Experimental Investigation of Time-Dependent Oil Film Pressure
in a Dynamically Loaded Journal Bearing
Sun Meili*, Xia Chengyong, Wang Xiangang
Research Institute of Bearings, Shanghai University, Shanghai 200072, China
ABSTRACT
In this paper, in order to investigate the time varying oil
film pressure and distribution, a journal bearing was run under
both static load and dynamic load with running frequency being
identical to excitation frequency. The transient oil film pressure
and the entire oil film distribution were collected
simultaneously. The correspondence between the periodical
pressure at a point on the journal and the transient oil film
distribution were analyzed. Based on the mass conserving
boundary theory, these results, including the cycle of the
measured transient pressure, were compared with the
theoretical prediction. The relevant conclusions were made to
provide reliable experimental evidence for further study on the
boundary condition of dynamically loaded journal bearings.
Keywords: dynamically loaded journal bearing, test apparatus,
inner taper reflector, transient, oil film pressure, cavitation
distribution
Introduction
After the formulation of Reynolds Equation, researchers
have presented serial static-loaded boundary conditions for the
solution of Reynolds Equation, such as Sommerfeld boundary
condition, Reynolds boundary condition, mass conservation
boundary condition. For the above boundary conditions, the
mass conservation boundary condition is more acceptable as far
as static load condition is concerned. Excitations like
earthquake, unbalance dynamic load, and factors like system
instability, can cause intense vibration and even disaster in
large rotor systems, oil whip being a well known example of
such problem. Calculation of non-stationary oil film forces of
journal bearings under dynamically loaded condition is needed
for their analyses. Significant errors of the calculated forces can
be caused by adopting improper boundary conditions, such as
Reynolds condition which suits only stationary working
condition. The time varying cavitations in oil films of journal
bearings have unegligible influence on bearing characteristics.
Therefore on dynamic performance and stability of the rotor
system, lots of researchers perform experiments on bearings
which can straightly simulate real condition of dynamically
loaded bearings. B.D.Jacobson and B.J.Hamroc, for the first
time, shot the cavitation pictures in dynamically loaded journal
bearing with high-speed camera CCD in 1983. Kawase.T and
Someya.T collected the ferny shape and O-shape of cavitations
in 1985, and acquired tensile pressure. D.C.Sun and
D.E.Brewe[1] performed some experiments in 1993, which
made the simultaneous acquisition of oil film pressure and
photograph of oil film available, but the shaft didn’t rotate, and
errors of test bearing invalidated the results. However,
cavitation pictures in all of the above mentioned researches
cannot exactly show us time-dependent distribution and
transfer rule of oil film at the same cycle, because these
pictures are not sort of entire distribution of oil film. Therefore,
it’s necessary to study time-dependent oil film distribution and
pressure field in dynamically loaded journal bearings.
* sunml@mail.shu.edu.cn.
86
Dynamically loaded journal bearing test apparatus
Schematic of the dynamically loaded journal bearing test
apparatuses are shown in Fig.1ǃFig.2. The drive systemǃshaft
and test journal in both test apparatuses are same. A pressure
transducer is mounted at the position of the maximum
eccentricity in the test journal. The shaft is hollow so that the
transducer wire could be led out. Because the transducer rotates
along with test journal, a collector ring was installed to make
rotational signal nonrotation. To produce dynamic loads, the
test journal 5 with a small eccentricity is fixed to the rotational
axis by the adjustable screws 11. Therefore, the excitation
frequency is identical to running frequency. The static
eccentricity can be changed by means of adjusting the height of
journal bearing block 10 with clearance gauge . Adopting
apparatus shown in Fig.1, the 45einner taper reflector 4
jackets outside the plexiglass sleeve 8 so that the transient oil
film pressure and the full oil film distribution could be
collected simultaneously. The reflector and MD4256C
high-speed camera CCD were used to obtain the full oil film
picture. The speed can obtain 1000 frames per second .In order
to mark the maximum eccentricity and the distribution of
cavitation transiently in the full oil film picture, the pointer 7
was mounted at the position of maximum eccentricity of the
test journal 5 end surface as well as the scale of 00ˉ3600
was carved on the plexiglass end plate 6. When collecting the
measured transient pressure of one cycle, the apparatus shown
in Fig.2 was used. 12 pressure sensors were mounted by axial
symmetry in the circle of the steel-made sleeve. The pressure
sensors distribution is shown in Fig.3 .The transient was
ascertained by allocating a key phase bore in the rotating axis
corresponding to the maximum dynamic eccentricity. At the
key phase bore, a displacement transducer was set up to gain
pulse signal. and the pressure distribution at a point on the
sleeve could be acquired too. In addition, the accurate
positional collection could be carried out if investigators are
interested in pressure of some region. By rotating bearing
sleeve, the dense region of sensor distribution aims at angle
wanted. In order to avoid forming oil film friction force, a pair
of pins was designed to restrict rotation of the bearing sleeve.
Fig.1 Schematic of dynamically loaded journal bearing test
apparatus for cavitation
 Experimental Investigation of Time-Dependent Oil Film Pressure in a Dynamically Loaded Journal Bearing
0. Collector ring 1. Displacement transducer 2. Rotating axis 3.
Key phase bore 4. 45°Inner taper reflector 5. Test journal 6.
Plexiglass end plate 7. Pointer 8. Plexiglass sleeve 9. Pressure
sensor 10. Journal bearing block 11. Adjustable screw 12.
Annular lamps and lanterns 13. High-speed camera CCD 14.
Computer
Fig.2 schematic of dynamically loaded journal bearing test
apparatus for transient oil film pressure
1. Test journal 2. Pressure sensor 3. Steel sleeve 4. Sleeve
support structure 5. Roller bearing
Fig. 3 allocation of pressure sensor
Data Acquisition
For the TR81 displacement sensor, which contains a
preamplifier, its induction distance is 5mm, and the input
voltage is in range of ±15VDC. One pulse signal was obtained
while the shaft rotated one cycle. The Honeywell 26PCF
pressure sensor were used in the journal and bearing, which
have a full scale pressure of 100psi; and the nominal full output
is 100mv.A NI-6062E data collecting card, along with SC-2311
signal disposal module,were use to conjunct with a PC, which
can convert the pressure signals into digital data. The software
was programmed by using Labview language to perform the
operations of data collectingǃdata storeǃdata display and data
disposal.
87
Investigation of time-dependent oil film pressure and
oil film transfer
As shown in Fig.1, the pressure sensors were mounted in
the journal and the sleeve material is plexiglass. The oil film
pressure, the phase and oil film picture were collected
simultaneously. The working conditions are as follows: room
temperature 25°, full oil pool, journal diameter 80mm,
length-to-diameter ratio 0.75, clearance-to-radius 1%, dynamic
eccentricity 65.65­m, static eccentricity 100­m, dynamic
viscosity 0.03Pa.s, the shaft rotates counter-clockwise, rotation
speed 900r/m.
Theoretical results is available by using
five-point-difference method based on mass conservation
boundary to solve Reynolds Equation. Film thickness is known
because type of dynamic load is identical-frequency. To
compare with experimental results, one whole cycle is divided
into fifty equal pieces to calculate transient oil film pressure.
Each piece is at interval of 7.2e. In oil film distribution
pictures, places marked with black points (filled with "o") are
complete-film zone, while the others are cavitation zone.
Numbers marked in oil film pressure picture can be referred to
the title of oil film distribution picture. All angles in all
captions of the figures in this paper are the position of
maximum dynamic eccentricity.
The whole-oil-film distribution picture is shown in Fig.4. In
comparison with theoretical results, the circle of whole-oil-film
distribution picture was outspreaded at the oil inlet. By the
method of coordinate transform, the distortion was eliminated
and quite ideal photos of cavitation distribution of
whole-oil-film were attained. The black mark was mounted at
the position of maximum dynamic eccentricity to distinguish
transient position. The transient oil film pressure distribution
picture collected is shown in Fig.5. The picture of transfer of
the cavitation region is shown in Fig.6 at the position of
maximum dynamic eccentricity.
Fig. 4 The whole-oil-film distribution picture
Fig. 5-1(1) experimental pressure distribution at a point on the
journal, 900r/min
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Fig. 5-1(2) theoretical pressure distribution at a point on the
journal, 900r/min
Fig. 6-1 0°transient oil film distribution
Fig. 6-2 60° transient oil film distribution
Fig. 6-3 120° transient oil film distribution
88
Fig. 6-4 180° transient oil film distribution
Fig. 6-5 240° transient oil film distribution
Fig. 6-6 300° transient oil film distribution
In fig.5-1, as can be seen, oil film pressure increases rapidly,
then, decreases slowly. Pressure vibration appears at points near
the -0.4 bar, which shows that cavitation destruction is complex.
But it has some rules, the wave shape repeat well. The pressure
-0.4 bar in experiment indicates that oil film fracturation is not
at atmospheric pressure, but is under atmospheric pressure. The
 Experimental Investigation of Time-Dependent Oil Film Pressure in a Dynamically Loaded Journal Bearing

results of maximum pressure calculated by mass conserving

boundary theory were less than experimental ones. Pressure
curve shape is commendably compared to experimental results.
The results indicated that it is improper to consider that
cavitation usually occurred at atmospheric pressure when
dynamic eccentricity is less than static eccentricity. That is to
say negative pressure should be taken into account.
The oil film distribution pictures form Fig.6-1 to Fig.6-6 are
corresponding to the figures in Fig5-1. As can be seen in Fig.6,
in the experiment, cavitation occurred around 150eand was
earlier than static load and theoretical results, and the region of
cavitation is larger. The loaded oil film transferred in a certain area.
collection and comparison of transient oil film
pressure at a point on bearing
Experimental results shown in this section are acquired by
NI-6062E card based on test rig No.2. This test rig is planted 12
pressure sensors along the outer circumference of sleeve. The
detailed positions of those pressure sensors are shown in Fig.3.
These sensors, in terms of its angle, can be marked orderly as Fig.7-3 (90°ˈCH3) compare between test end theoretical result
27e, 63e, 90e, 108e, 126e, 144e, 162e, 180e, 198e, 234e,
270 e, 306 e. The following parameters are experiment
conditions:1) clearance to radius ratio is 2.6ă,2) dynamic
eccentricity is 65.5 ­ m, 3)static eccentricity is 50 ­ m,
4)angular velocity of shaft is 1000r/min.

Fig.7-4 (108°ˈCH4) compare between test end theoretical

result

Fig.7-1 (27e
, CH1) compare between test end theoretical result

Fig.7-2 (63 ° , CH2) compare between test end theoretical Fig. 7-5 (126°ˈCH5) compare between test end theoretical
result result

89
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Fig.7-6 (144°ˈCH6) compare between test end theoretical

result
Fig7-9 (198°ˈCH9) compare between test end theoretical
result

Fig.7-7 (162°ˈCH7) compare between test end theoretical Fig7-10 (234°ˈCH10) compare between test end theoretical
result result

Fig.7-11 (270°ˈCH11) compare between test end theoretical

Fig.7-8 (180°ˈCH8) compare between test end theoretical
result
result

90
 Experimental Investigation of Time-Dependent Oil Film Pressure in a Dynamically Loaded Journal Bearing

Fig.7-12 (306°ˈCH12) compare between test end theoretical

result
Fig.7 pressure distribution at 12 points on bearing,
(1000r/min)
Fig.8-2 dynamic eccentricity at 57.6°
In Fig.7, from CH1 to CH3, pressure peak decrease
gradually. At the top of pressure curve of CH4, the curve comes
to a point. From CH5 to CH10, the peak has the detachment
phenomenon, which means one peak turning to two, and the
hypo-high-peak shifts right in turn. From CH11 to CH12 the
pressure double-peak incorporates. From the Fig.7, both the
second cavitation region and the oil re-form region, theoretical
value is smaller than experimental one, but in the other regions,
theoretical value is bigger than experimental one. The former is
nearly as 5 times as the latter. As can be seen from the
experimental results, the pressure curve has different forms. 12
pressure distribution curves take on periodicity and repeat quite
well. The variation relates to its position and the maximum
eccentricity movement track as well as other relevant factors.
collection and comparison of transient oil film
pressure
To attain transient oil film pressure, the pressure collected
at CH1ǃCH2ǃĂǃCH12 at the same transient moment was
plotted by polynomial curve fitting. Therefore, the cycle of the
measured transient pressure distribution on bearing was got.
The comparisons of one cycle of the measured transient
pressure distribution on bearing and theoretical results are as Fig.8-3 dynamic eccentricity at 79.2°
following figures.

Fig.8-1 dynamic eccentricity at 22.8° Fig.8-4 dynamic eccentricity at 100.8°

91
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Fig.8-5 dynamic eccentricity at 122.4°

Fig.8-8 dynamic eccentricity at 180e

Fig.8-6 dynamic eccentricity at 136.8°

Fig.8-9 dynamic eccentricity at 216e

Fig.8-7 dynamic eccentricity at 165.6e

Fig.8-10 dynamic eccentricity at 228e

Fig.8 compare of transient oil film pressure in one cycle

92
 Experimental Investigation of Time-Dependent Oil Film Pressure in a Dynamically Loaded Journal Bearing
Because the pressure sensor is not sensitive enough and
uncertain time-lag when multi-channel sensor gathered signals,
so all these were not able to be taken into consideration during
collecting transient oil film pressure. Thus, the experimental
data is discrete and the result is not satisfactory. But its trend
should be observed and relevant data disposal skills need to be
further improved. In Fig.8, the pressure peak of experimental
results move along the circumference direction, which accords
with theory. This phenomenon is considerable especially in the
change of transient pressure. In this very condition, some
transient moment had double-peak phenomenon, and the
smaller one may has something to do with oil inlet. However
results don't expectedly match theory results.
Summary
From the above results, both transfer and pressure of oil
film in dynamically loaded bearings are more complicated than
in static ones. It is improper to consider that oil film usually
fractures at atmospheric pressure on dynamic condition, so
negative pressure should be taken into account. when the
dynamic eccentricity is bigger than static eccentricity, excellent
boundary in solving static loaded bearings cannot explains
transient oil film pressure and time-dependent oil film pressure
distribution as well as double-peak phenomenon. Summing up
the results of experimental and theoretical comparison, some
conclusions were made as follows.
1. A 45einner taper reflector was used to collect the 360e
full oil film distribution pictures, which offers a new method to
research cavitation.
Cavitation destruction occurred below atmospheric
pressure at low rotating speed, so negative pressure should be
considered.
Based on mass conserving boundary theory, the
experimental results of pressure matched that of theory well at
93
one point on the journal in one cycle when the dynamic
eccentricity is less than static eccentricity. But on some
occasions, such as transient oil film pressure and the dynamic
eccentricity being more than static eccentricity, they did not
match well. Sometimes, the deviation of experimental value
and theoretical one came out widely. Therefore, a further
research should be done on theory of dynamic load.
Though the pressure of oil film in dynamically loaded
bearings was complicated, the oil film pressure curve at a point
was submitted to a good rule, which indicated inherent physical
discipline. Experimental results offered credible and reliable
gist to do a further research on theory of dynamic load.
Reference
[1] B. D. Jacobson, B. J. Hamrock : High-Speed Motion Picture
Camera Experiments of Cavitation in Dynamically Loaded
Journal Bearings Journal of Lubrication Technology 1983.7
vol 105 , pp:446-452.
[2] D.C.Sun & D.E.Brewe: Simultaneous Pressure Measurement
and High-Speed Photography Study of Cavitation in a
Dynamically Loaded Journal Bearing. Transaction of the
ASME 1993 Vol. 115, pp: 88-95.
[3] Kawase.T & Someya. T: An Investigation into the Oil Film
Pressure Distrbution in Dynamically Loaded Journal
Bearing. Elsevier Science Publishers 1985, 1-10.
[4] Chen Xiaoyang, Sun Meili, etc. Experimental investigation
of time-dependent cavitation in an oscillatory squeeze film,
Science in China Ser. G Physics, Mechanics & Astronomy
2004 Vol.47 Supp. 107-112.
[5] Sun Meili, Zhang Zhiming, etc, Experimental Study of
Cavitation in an Oscillatory Oil Squeeze Film, Tribology
Transactions, Vol.51,Issue 3, 2008, pp:341-350.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Experimental Research and Numerical Simulation of LY12 and HPb62-2 Ring Compression
*
Bin Guo, Feng Gong , Chunju Wang, Debin Shan

School of Materials Science and Engineering, Harbin institute of Technology, Harbin150001, China

ABSTRACT at 350ć for 1 hour in nitrogen atmosphere.

Ring compression test is a widely used method to determine
the friction factors for metal forming. Experimental research Table 1 Chemical composition of LY12 (wt.%)
and numerical simulation of ring compression were Cu Mg Mn Al
investigated in this paper. The materials were aluminum alloy 4.45 1.423 0.508 Balance
LY12 and copper alloy HPb62-2. The standard ring specimen
ratio of 6:3:2 was used. The experiments have been carried out Table 2 Chemical composition of HPb62-2 (wt.%)
on the lubrication condition of talc powder, vaseline, vegetable Cu Pb Sn Fe Ni Zn
oil and without lubricant. DEFOERM 2D software was used to 61.822 1.651 0.285 0.206 0.185 Balance
simulate the ring compression test. The friction calibration
curves were determined according to the finite element analysis SPECIMENS AND SETUP
results. The results showed there were some differences which After heat treated, the materials were manufactured into
can not be neglected between the two curves, especially the ring specimens. The outer diameter, inner diameter and height
deformation is large. The friction coefficients of different are 6mm, 3mm and 2mm.
lubrication were obtained according to the friction calibration The ring compression experiments were carried out at
curves, which is quite useful for the numerical simulation of room temperature in a universal test machine with a strain rate
metal forming process. H =0.01/s. The compression ratio is 50%. In order to
Keywords: Friction calibration curves, Finite element analysis, investigate the friction factors under different lubrication states,
Ring compression test, Aluminum alloy LY12, Copper alloy the tests were carried out on the lubrication states of talc
HPb62-2. powder, vaseline, vegetable oil and without lubricant.
FRICTION MEASUREMENT METHOD
INTRODUCTION A schematic of ring compression can be seen in Figure 1.
Friction between workpiece and tool is one of the most
important problems in metal forming. Because friction affects
the material deformation, forming load, product surface quality
and dies wear characteristics, it is very important to know the
friction factor. There are many methods to determine the
friction factor, such as cylinder compression [1], backward
extrusion [2], double cup extrusion [3, 4], ring compression
and so on [5-7], among which ring compression test is the
most widely used these years. The common method for
evaluating the friction factor is to compare the experimental
results to the theoretical friction calibration curves which
determined based on the upper bound theorem or energy
theorem and did not consider the difference of the materials
[8-10]. But in fact, the friction is unequal in the contact area for
different materials because of different material properties.
Even if the shape of specimens is the same before and after Fig. 1 A schematic of ring compression
deformation, the friction factor may still different. If use the
theoretical friction calibration curves to determine the friction In a ring compression test, the inner diameter of the ring
factors, the great error may be attained. So it is very important increases when the friction is low, while the inner diameter of
to get the friction factor for different materials. the ring decrease when the friction higher than the critical
With the development of the finite element method, the value.
metal forming process can be accurately simulated, and the The reduction in height h and average reduction in inner
friction calibration curves can also be determined by numerical diameter d can be calculated by the following equations:
simulation [11-12]. To get the friction calibration curves of
LY12 and HPb62-2 and study the difference of the friction hd  hi
'h u 100% (1)
factors for different materials in the same deformation way, hd
numerical simulation and experimental research of ring
d d  di
compression for LY12 and HPb62-2 were investigated in this 'd u 100% (2)
paper. dd

EXPERIMENTAL Where hd is the height of the ring before deformation, hi is

MATERIALS
The specified chemical composition of LY12 and HPb62-2
are listed in Table 1 and Table 2. The materials were annealed
*Corresponding author. E-mail: gongfeng186@163.com
the height of the ring after deformation, dd is the inner diameter
of the ring before deformation, and di is the average inner
diameter of the ring after deformation. If h and d is known,
the friction factor can be determined from the friction

94
 Experimental Research and Numerical Simulation of LY12 and HPb62-2 Ring Compression

calibration curves.

FINITE ELEMENT MODELING

In an attempt to determine the friction calibration curves of
LY12 and HPb62-2, DEFORM 2D software was employed in
the simulation of ring compression.
The necessary material parameters for the finite element
analysis were obtained from cylinder compression tests. The
shape and dimensions of the specimens were in accordance
with China standard GB/T 7314-2005. The cylinder
compression experiments were carried out at room temperature
in a universal testing machine with a strain rate H =0.01/s. The
compression ratio is 50%. The flow stress- true strain curves as
shown in Figure 2. (a) LY12
500

400
Flow stress(MPa)

300

200

100

0
0.0 0.1 0.2 0.3 0.4 0.5 0.6 0.7
True strain (b) HPb62-2
Fig. 3 Specimens after deformation: 1 talc powder, 2 without
(a) LY12 lubrication, 3 vaseline, 4 vegetable oil
600

500

The deformed shape of LY12 from numerical simulation

Flow stress(MPa)

400
under different friction factors can be seen in figure 4, it is clear
that the inner diameter of the ring decreases with the increase of
300
the friction factor. This means an excellent agreement on
200
experimental research and numerical simulation in terms of the
deformed shape.
100

0
0.0 0.1 0.2 0.3 0.4 0.5 0.6 0.7
True strain
(b) HPb62-2
Fig. 2 Stress-Strain curves of LY12 and HPb62-2

The ring compression specimen ratio of 6:3:2 was used.

Because the problem is axis symmetrical, half of the cross
section of the specimen was used. A total of 300 quadrilateral
elements were used to model the billet, while both the top die
and bottom die were treated as rigid bodies. The velocity of the
top die is 0.02mm/s. The friction factor between the die and
workpiece were 0, 0.02, 0.04, 0.06, 0.08, 0.1, 0.15, 0.2, 0.3, 0.4,
0.5, 0.6, 0.7, 0.8, 0.9 and 1.0, respectively.
Fig. 4 Deformed shape of LY12 with different friction factors
RESULTS AND DISCUSSION
The specimens after deformation in the ring compression The deformed shape of LY12 and HPb62-2 from numerical
experiments are shown in figure 3. It is clear that the deformed simulation under the same friction factor can be seen in figure
shapes of the rings are different for different lubricants. The 5. It shows that the inner diameter of the LY12 is smaller than
inner diameter of the ring is enlarged for the lubricant with a that of HPb62-2 under the same friction factor, which means
low friction factor such as vegetable oil, while reduced for the that if the average diameter is the same after deformation, the
lubricant with a high friction factor such as talc powder. friction factor of LY12 should be lower than HPb62-2.

95
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

oil has a lowest friction factor of m=0.18 for LY12 and m=0.10
for HPb62-2. Vaseline, without lubrication and talc powder
have higher values. For all the lubrication states, the friction
factors of the lubricants for LY12 are all larger than HPb62-2
according to the friction calibration curves determined by
numerical simulation.

Table 3 Friction factors for LY12

Lubrication state h(%) d(%) m
talc powder 37.89 15.88 0.41
vaseline 37.47 1.74 0.22
vegetable oil 36.88 -2.78 0.18
without lubrication 36.92 5.56 0.27
Fig. 5 Deformed shape of LY12 and HPb62-2 under the same
Table 4 Friction factors for HPb62-2
friction factor
HPb62-2 h(%) d(%) m
talc powder 33.91 5.82 0.34
The friction calibration curves of LY12 and HPb62-2
vaseline 35.11 -6.36 0.14
determined according to the finite element results can be seen
vegetable oil 35.22 -11.67 0.10
in figure 6. It shows that the shape of the 2 figures look the
Without lubrication 36.52 0.03 0.21
same and the difference of the friction factor for the 2
materials is small while the friction factor is small. For
example, the reduction of height is 50% and the reduction of
inner diameter is -3%, the friction factor is 0.15 for LY12 and CONCLUSIONS
0.16 for HPb62-2. But the difference is large and cannot be According to the numerical simulation and experimental
neglected while the friction factor is large. For example, the research of ring compression, the following results can be
reduction of height is 50% and the reduction of inner diameter concluded:
is 40%, the friction factor is 0.7 for LY12 and 0.9 for HPb62-2. 1. Friction calibration curves of LY12 and HPb62-2 were
determined by numerical simulation. The friction
80
calibration curves were different for different materials,
0
0.02
sometimes the difference cannot be neglected, especially
60 0.04 while the friction factor was large.
Reduction in inner diameter (%)

0.06
40 0.08 2. The friction factors of LY12 and HPb62-2 on the
0.10
0.15
lubrication states of talc powder, vaseline, vegetable oil
20 0.2 and without lubrication were 0.41, 0.22, 0.18, 0.27and 0.34,
0.3
0.4 0.14, 0.10, 0.21, respectively.
0
0.5
0.6
-20 0.7
0.8
ACKNOWLEDGEMENTS
0.9
-40 1.0
The financial support from the National High-Tech
Research and Development Program (2006AA04Z316) and
-60
0 10 20 30 40 50 60 70 Heilongjiang Natural Science Funds for Distinguished Young
Reduction in height (%) Scholar (JC-05-11) are greatly acknowledged.
(a) LY12
80
REFERENCES
0
0.02 [1] Ebrahimi, R., Najafizadeh, A., 2004, “A new method for
60 0.04 evaluation of friction in bulk metal forming,” Journal of
Reduction in inner diameter (%)

0.06
40 0.08 Materials Processing Technology, 152, pp.136-143.
0.10
0.15 [2] Shen, G., Vedhanayagam, V., Altan, T., 1992, “A method
20 0.2
0.3
for evaluating friction a backward extrusion-type forging,”
0
0.4 Journal of Materials Processing Technology, 33,
0.5
0.6 pp.109-123.
-20 0.7
0.8
[3] Buschhausen, A., Weinmann, K., Lee, J.Y. et al., 1992,
-40
0.9 “Evaluation of lubrication and friction in cold forging
1.0
using a double backward extrusion process,” Journal of
-60 Materials Processing Technology, 33, pp.95-108.
0 10 20 30 40 50 60 70
Reduction in height (%)
[4] Engel, U., 2006, “Tribology in microforming,” Wear, 260,
pp.265-273.
(b) HPb62-2
[5] Sofuoglu, H., Gedikli, H., 2002, “Determination of friction
Fig. 6 Friction calibration curves of LY12 and HPb62-2
coefficient encountered in large deformation processes,”
Tribology International, 35, pp.27-34.
The reduction in height h and reduction of inner diameter
[6] Bakhshi-Jooybari, M., 2002, “A theoretical and
d of the experimental specimens can be calculated by equation
experimental study of friction in metal forming by the use
(1) and equation (2). Then the friction factors can be determined
of the forward extrusion process,” Journal of Materials
from figure6. The friction factors for LY12 and HPb62-2 can be
Processing Technology, 125-126, pp.369-374.
seen in table 3 and table 4. The results show that the vegetable

96
 Experimental Research and Numerical Simulation of LY12 and HPb62-2 Ring Compression
[7] Petersen, S.B., Martins, P.A.F., Bay, N., 1998, “An
alternative ring-test geometry for the evaluation of friction
under low normal pressure,” Journal of Materials
Processing Technology, 79, pp.14-24.
[8] Li, L. X., Peng, D. S., Liu, J. A. et al, 2000, “An
experimental study of the lubrication behavior of A5 glass
lubricant by means of the ring compression test,” Journal of
Materials Processing Technology, 102, pp.138-142.
[9] Robinson, T., Ou, H., Armstrong, C. G.., 2004, “Study on
ring compression test using physical modelling and FE
simulation,” Journal of Materials Processing Technology,
153-154, pp.54-59.
97
[10] Fereshtech-Saniee, F., Pillinger, I., Hartley, P., 2004,
“Friction modelling for the physical simulation of the bulk
metal forming processes,” Journal of Materials Processing
Technology, 153-154, pp.151-156.
[11] Rudkins, N., Hartley, P., Pillinger, I. et al., 1996, “Friction
modelling and experimental observations in hot ring
compression tests,” Journal of Materials Processing
Technology, 60, pp.349-353.
[12] Hu, Z., Zhu, L.H., Li, J.Q., 1997, “Numerical simulation
on ring compression- A new approach to determine
calibration curves of friction coefficient,” Acta Metallugica
Sinica, 33, pp.337-344.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Application of Metal Self-Repairing Additives on Cylinder-Piston Ring Rubbing Pairs

Lei Wang1 , X.C. Zhou1* , Q.Q. Li1,C.Q. Yuan1, X.P. Yan1 ,Y.H. Chen2
1
Reliability Engineering Institute, Wuhan University of Technology, Wuhan 430063, PR China
2
Yangtze River Waterway Bureau

agents, antiwear additives, extreme pressure additives, and

ABSTRACT
The metal self-repairing additives can be used in situ
auto-repair worn surface of the long-term running machine parts.
The basic composition of the metal self-repairing additives was
magnesium silicate hydroxide of empirical formula
[Mg6(Si4O10)(OH)8]. The auxiliary components were
metallurgical activator and deoxidizer. And this metal
self-repairing was applied to a dredger named “HJ18”. The
effects of the application were analyzed by spectra analysis.
The spectral data showed that the running conditions which
included running time and lubrication volume, etc had great
impact on the formation of the auto-restoration layer.
Laboratory experiment showed that there were a series of
chemical and physical changes occurred when the magnesium
silicate hydroxide of empirical formula [Mg6(Si4O10)(OH)8]
was added into the oil in given conditions, then a certain
thickness smooth layer was formed on abrasion surface.
Keywords: Lubrication, metal self-repairing additive,
magnesium silicate hydrate, dredger
INTRODUCTION
Lubricant and additive manufacturers were facing many
challenges in order to satisfy all requirements both for high
performances of fluid-depended machinery and in bionomics
and environment friendship[1]. These requirements address
creative developments of lubricant formulation technology for
achieving both advanced lubrication regimes and positive
compatibility with the full fluid-depended system[2,3].
Academia and industry had devoted concentrated effort to
develop triboadditives chemistry to enable the targets.
Traditional triboadditive family members included oiliness
friction modifiers. They were integral parts of fully formulated
lubricating oils for reduced friction coefficient, lowered wear
rate and increased load-carrying capacity[4,5]. To extend the
reconditionable damage wear region and avoid the system runs
in non-reconditionable region, some metal self-repairing
additives as special wear reconditioning additives were needed
to develop, so that surface damage wear could be effectively
and efficiently reconditioned[6,7], the metal self-repairing
additives main constituent was magnesium silicate hydroxide
of empirical formula [Mg6(Si4O10)(OH)8]. And the technique
which can be initiated by the tribosystem itself in a real-time
manner and in situ in presence of a proprietary worn-damage
reconditioner should be nominated as auto-reconditioning
technology of worn metal surfaces [8,9].
Presently, the metal self-repairing additives was mainly
used in trains, cars and construction machinery. But in ship,
especially which with complex and harsh conditions such as
dredger, the research and the use of this additives were absent.
However, the loss caused by wear and tear in dredger was
extremely serious. If the metal self-repairing additives can be
added to the lubrication cycle system of dredger’s diesel engine
efficiently, great significance will be made in the facet of
lowering wear, reducing failures and improving the efficiency
of the dredger .
EXPERIMENTS
1. Study on dredger
On commission of the Yangtze River Waterway Bureau, the
metal self-repairing additives have been added to the dredger
named“HJ18” which was being serviced in Qingdao. Table 1
showed the case of all the diesel engine of this dredger.

Table 1 The case of all the diesel engine of the “HJ18”

Propulsion Diesel
Item Dredging Pump Diesel Generator
Engine
number of cylinders 6 8 12
cylinder bore 240 160 128
power (Kw) 1200 640 329
speed (rpm) 600-1000 930 1500
lubrication volume (L) 950 310 55
lubrication brand CD40 CD40 SAE40
lubrication consumption (kg/h)
0.8+10% 0.55-0.60 0.50-0.60
exhaust temperature (ć) 340-360 430-450 390-410
The lubrication brand of the propulsion diesel engine and The used lubrication was analyzed by spectral analysis, the
the dredging pump diesel were CD40 which was manufactured contents of Fe, Cr, Mg, Al can be easily quantified in 30
by GW Co. Correspondingly, and that of the generator was seconds. The spectral data of port engine oil (added the metal
Castrol SAE40. The metal self-repairing additives which self-repairing additives) and starboard engine oil (not added)
produced by OS Co. have been blended in a traditional were recorded automatically during analysis course. The
lubricant with a 1‰ dose according to the manual. The used difference between the two engines’ oil can be easily seen
lubrication in the dredger has been replaced by new lubrication according to the spectral data. In the same way, the difference
in order to avoid other factors ( such as water and the failure between the oil of generator 2(added) and generator3# (not
lubricants and so on) influencing the result before the added) can be obtained. More over, this additive also had been
experiment. The new lubricant brand shown in table 1. added in dredging pump diesel lubrication in order to study its
effect under harsh conditions. The oil had been sampled by
* Corresponding Author professionals every 15 days , and there were eight times in all.

98
 Application of Metal Self-Repairing Additives on Cylinder-Piston Ring Rubbing Pairs

2. laboratory experiment )H

In order to study the influence of operating conditions on 

formation of the reconditioned layer, the pin-on-disk tester 

SRUWHQJLQH
(MMW-1) was used to do the friction and wear experiment in 
Lab, The results showed that a certain thickness smooth layer  VWDUERDUG
HQJLQH
was formed on abrasion surface in given conditions, but the 
micro-crack and the micro-pores still exist. 
The experimental materials were Cast Iron(for disk) and 35        
#
Steel(for pin). The disk was 10 mm thick, with external
&U
diameter of 54 mm and inner diameter of 38 mm, with
hardness of 42~52.8 HRC and surface roughness of 

0.76~1.07 μm . The pin was I 4.8×12.7 mm and with surface 

SRUWHQJLQH
roughness of 0.8~1.02 μm . The lubrication brand was SAE40 

 VWDUERDUG
with a flash point of 232ćand a pour point of -20ć. HQJLQH

The disk and pin were cleaned by propanone firstly, then
labeled, dried and weighed. Its surface feature can be obtained 
       
by Optical Microscope. The samples were divided into two
groups, observation group(added the self-repairing additives) 0J
and control group(not added), and the total wear time was 3h.

After completed the experiments, Optical Microscope was used 
to observe the surface feature again and find the differences.  SRVWHQJLQH

 VWDUERDUG
DISCUSSION HQJLQH


1. The results of the real ship test 
       
New lubricant’s spectral data were shown in Table 2. All the
contents of elements were low(FHİ1.8ppm, Crİ0.5ppm, Al $O
İ1.4ppm,Mgİ4.9ppm) except the content of Mg in Castrol

SAE40 lubricant (257ppm). 
 SRUWHQJLQH
Table 2 The spectral data of the new lubricant 
ELEMENT  VWDUERDUG
HQJLQH
ITEM Fe Cr Mg Al 


Great Wall CD40 1.8 0.1 4.9 1.4        
Castrol SAE40 0.6 0.5 257 0.8
Fig. 1 The spectral data comparison between port engine
oil and starboard engine oil
Figure 1 was the test data comparison between port
engine(added the self-repairing additives)oil and starboard
engine(not added)oil , the results displayed that the wear rates Figure 2 was the spectral data comparison between
rose gradually, but the port engine oil had higher contents of Fe, generator2# oil(added) and generator3# oil(not added), and the
Cr, Mg, Al than the starboard oil. In port engine oil ,the content curves was quit irregularly, especially in the
contents of Fe, Al rose from 20ppm to 43.2ppm and from generator3# oil which did not add the self-repairing additives.
6.9ppm to 11.4ppm gradually; respectively, in starboard engine In the generator3# oil, the contents of the Fe, Cr, Al rose
oil ,the two elements rose from 12.7ppm to 32.5ppm and from steeply, and at the fifth sample reached their maximum(Feİ
4.6ppm to 9.3ppm. The rising curve of two elements in the port
129ppmCrİ8.6ppmAlİ22.2ppm; on the contrary, in the
engine oil was consistent with the starboard engine oil.
generator2# oil, the Fe, Cr, Al contents were low and changed
However, the contents of Cr, Mg changed differently: in the
port engine oil, the Cr content increased rapidly up to 9.2ppm
on the fourth sample then changed smoothly, and the Mg
content presented vertical line ascending and up to 315ppm; in
the starboard engine oil, the contents of the Cr, Mg were
showed an steady increasing tendency, and at the eighth sample
reached their maximum(Cr İ 5.3ppm,Mg İ 127ppm). This
difference was caused by adding of the self-repairing additives
into the oil.
From table 1, the conclusion was reached that the metal
self-repairing additive didn’t function obviously in the port
engine oil. Because the lubrication volume size was too large
and the effective composition of the additives couldn’t circulate
sufficiently in the lubricant cycle system, the self-repairing
additives were too low to work effectively.
99
little(Fe İ 33.4ppmCr İ 4.1ppmAl İ 10.6ppmwhich
means that the wear of the generator2# changed smoothly
However, these elements contents decrease sharply at the sixth
and seventh sample separately in the 2# and 3#generator’s oil .
The major cause was that new lubricants had been added into
the two lubrication systems separately before the two samples.
The content of Mg were not significantly changed, and
stayed in a range of 233~276ppm, according to the table 1 and
table 2,the content of Mg came from Castrol SAE40 lubricant.
It was easy to see the element contents in the oil of
generator2# (added) were lower than generator3# (not
added),because the contents of self-repairing additives were
enough to exhibit restorative effects and came to the conclusion
that the metal self-repairing additives showed better function on
the generator.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

)H &U

 
 
 SRUWHQJLQH

 *HQHUDWRU
 *HQHUDWRU GUHGJLQJSXPS

GLHVHO



 
               

&U 0J






 SRUWHQJLQH
*HQHUDWRU 
*HQHUDWRU GUHGJLQJSXPS
 
GLHVHO
 


       
       

$O
0J





 SRUWHQJLQH

 *HQHUDWRU
 GUHGJLQJSXPS
 *HQHUDWRU GLHVHO





        
       

$O Fig. 3 The test data comparison between port engine and

dredging pump diesel




 2. The results of pin-on-disk experiment

*HQHUDWRU
*HQHUDWRU
 From the microscopic image (500 h ) (figure 4) of
 pin-on-disk experiment (under the condition of 400N and
 300r/min), it was very obvious that the abrasion surface
        changed from rough to smooth after adding the self-repairing
additives, and a certain thickness smooth layer was formed. It
Fig. 2 The test data comparison between generator2# and
can be further deduced from the observed results that the main
generator3#
components of the self-repairing additives can adhere on the
micro-crack and the micro-pores to repair the damage and crack,
Considering the lubrication brand may influence the effect
but when it came to the large crack and holes, the additives
of the self-repairing additives, the spectral data of port engine
failed to function.
oil and dredging pump diesel oil were contrasted in Figure
As for the influence of the wear medium, the oil (SAE40)
3.Both the port engine and dredging pump diesel were added
had been changed with water when other working condition
the same lubrication .In the dredging pump diesel oil, the
contents of Fe, Cr, Al had few changes(Fe
12.8ppm, was invariable ,from its microscopic image (500h) (figure 5),
Cr
1.2ppm, Al
2.5ppm), but the Mg content was lower in it can be easily seen that the thickness smooth layer wasn't
earlier stage (10.7ppm), and steep rose in the later stage formed on the surface in water, instead a lot of mottling and
(1044ppm),which has been caused by the high concentration of micro-crack appeared. The test piece was soaked by emulsion
the self-repairing additives. In a word, according to the figure 3, and was eroded when wore in water.
the metal self-repairing additives showed well function on the
dredging pump diesel as well as on the generator, which meant
that the additives can exhibit good effect in different lubrication.
)H




SRUWHQJLQH


 GUHGJLQJSXPS
GLHVHO


 
        400N ,300r/min not added

100
 Application of Metal Self-Repairing Additives on Cylinder-Piston Ring Rubbing Pairs
400N ,300r/min added
Fig. 4 Comparison of surface by added the metal self-repairing
additives and not added is conducted when the conditions are
400N and 300r/min
400N ,300r/min added
Fig. 5 The surface morphology after added the metal self-
repairing additives in water medium
CONCLUSIONS
The metal self-repairing additives showed better function on
the generator and the dredging pump diesel than on the port
engine, which caused by the running condition and running time,
and it came to the conclusion that a reconditioned layer with a
certain thickness (sub-micro level) was generated on the
substrate under given conditions of dredge. Then, the friction
and wear experiments in Lab showed that a certain thickness
smooth layer was formed on the abrasion surface.
(1) Both the generator and the dredging pump diesel were
continuous running, but the push diesel engine was
alternate running for the requirement of conditions.
Combined with the spectral data, the metal self-repairing
additives showed better function in the continuous running
conditions.
(2)Lubrication volume was another restrictive factor. The
volume of the port engine is 950 L, which was obviously
greater than the dredging pump diesel (310L) or the
generator(55L). Therefore, the lubrication volume was so
large that the effective composition of the additives
couldn’t circulate sufficiently in the lubricant cycle system.
101
(3)The self-repairing additives just repaired the micro-crack
and the micro-pores, and made the abrasion surface
changed from rough to smooth, however, the metal
self-repairing additives couldn’t exhibit restorative effects
on water. Therefore, it can be inferred that, there were a
series of chemical and physical changes occurring and a
certain thickness smooth layer was formed on the abrasion
surface, when the magnesium silicate hydroxide of
empirical formula [Mg6(Si4O10)(OH)8]was added in the
oil under certain condition.
ACKNOWLEDGEMENTS
The authors would like to express their sincere gratitude to
the Yangtze River Waterway Bureau for its support on this
project.
REFERENCES
[1] HuangY, 2004, “Research on self-reconditioning
material technology for wear of metals applied in
automobile engines,” Journal of Shenyang Normal
University(Natural Science),03,pp.2-4.
[2] Ouyang P, Chen G,X, Li H,F ,2006,”Researching Trend
of Traditonal Antiwear Agents in Lubricating Oils,”
Lubrication Engineering,06,pp5-7.
[3] YangHe,JinY,S,KazuhikoYamashita,2006,“Experim-en
tal Study of Applying Mg6(Si4O10)(OH)8 Reconditioner
to Simulative Journal Bearing” Lubrication
Engineering, 07,pp14.
[4] ChenW,G,GaoY,Z,ZhangH,C,2006,“Investiga-tion of
the Effects of Lubricant Oil With Silicate Particles as
Additive on the Wear Resistance of Friction Pair,”
China Surface Engineering,01,pp34-37.
[5] FuJ,G,WangHui,ChenLi,2007, “Development Status
and Trends of Serpentine Ore,” Hydrometallurgy of
China,03,pp5-6.
[6] TianBin,WangC,B,MaX,D,2006, “ Effect of a Cermet
Additive in Lubricating Oil on the Wear Performance of
Steel Cast Iron Friction Pair,”Lubrication
Engineering,09,pp6-9.
[7] Zhang Zh,Y,YangHe,Li S,H,2004, “Application
Research of Auto reconditioner for Worn Metals on DF
Locomotive Diesel Engines,” Lubrication
Engineering ,04,pp10-11.
[8] Dong W,D,MaW,J,Huang Yan,2005, “ Eflect of the
Auto-restoration Material and Technology Applied in
Engine of Automobile and Ship”, Foundry,04,pp9-11.
[9] Jin Y. S., Li S. H., Zhang Z. Y. Yang H. & Wang F.
2004,“Insitu Mechanochemical Reconditioning of
Worn Ferrous surfaces, ” Tribology International, 18 ,
pp562-567.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Wettability Study of Multiply-Alkylated Cyclopentanes (MACs) on Silicon Substrates

Ying Wanga,b , Mingwu Baia, *
a
State Key Laboratory of Solid Lubrication, Lanzhou Institute of Chemical Physics, Chinese Academy of Sciences, Lanzhou 730000, China
b
Graduate School of Chinese Academy of Sciences, Beijing 100039, China

Extended Abstract 0.05% (w/v) was spun cast onto the aforementioned three
In order to investigate the influence of surface microtextures kinds of silicon substrates at a speed of 3000 rpm, thus
on the wettability, Multiply-alkylated cyclopentane, a novel monolayer films were formed.
hydrocarbon mobile lubricant, was deposited on silicon surface 2.3 Characterization of the films
treated by different cleaning and etching processes. Using an
atomic force microscope, measurement on the silicon surface The static contact angles for ultrapure water on the samples
was made to fully characterize the surface. Contact angles of were measured with a DSA100 contact-angle meter. At least
water on these surfaces were measured using a DSA100 five replicate measurements were carried out for each
contact angle meter. The result indicates the wettability of the specimen, and the measurement error was below 2°. The film
hydroxylated silicon wafer and the silicon wafer with a morphologies were examined with an atomic force microscope
monohydride-terminated surface is better than the cleaned (AFM) (Nanoscope IIIa, Digital Instrument), using tapping
silicon wafer, which are mainly caused by topological scanning mode. The nano-adhesive behavior of the films was
structure changes of the surface. Furthermore, the characterized with an AFM controlled by CSPM4000
nano-adhesion property was also measured. The different electronics, using the contact mode. Commercially available
behavior in adhesion forces is due to the differing surfaces of rectangle Si3N4 cantilever with a normal force constant, 6N/m
the silicon wafers. and a Si3N4 tip with a radius of less than 10nm (Budgetsensors
Keywords: Etching; hydroxylated; monohydride-terminated; Instruments Inc) was employed. To avoid influence of
adhesion molecules which may transfer to the tip on the AFM/FFM
experiment, the tip was scanned on a cleaved mica surface to
1. INTRODUCTION remove these physical adsorbed molecules. The force distance
Multiply-alkylated cyclopentanes (MACs), a novel curves were recorded and the pull off force reckoned as the
hydrocarbon mobile lubricant, are a mixture of the di- and adhesive force, which was given by
tri-substituted (2-octylodecyl) cyclopentane. They have F=KcZp
excellent viscosity properties, thermal stability and low Where Kc is the force constant of cantilever and Zp is the
volatility for use as lubricant and is presently gaining wide vertical displacement of the piezotube, i.e., the deflection of
acceptance on actual space application [1, 2]. MACs may also the cantilever [6, 7]. In data processing, a test of ten
have the potential as lubrication in the measurements was made for each sample. All the tests were
micro-electromechanical systems (MEMS) application. While conducted at room temperature and a relative humidity of
MACs have been observed to dewet bearing steel surfaces [3] 45%.
and it was wondered if this represented a long-term life threat.
3. RESULTS AND DISCUSSION
Controlling the wettability is quite important in the study of
nano-adhesion and nano-friction. Since silicon has been the
3.1. Wettability
most widely used material in the MEMS [4], this paper studied
Contact angles of MACs films on three kinds of silicon
the wettability of MACs on silicon wafers treated by different
substrates were measured, as shown in Table 1. The contact
cleaning and etching processes. The nano-adhesion property
angle of the cleaned silicon wafer increased very little. It may
was also measured.
indicate that MACs were unwetted on cleaned silicon wafer
2. EXPERIMENT DETAILS and there were little MACs adsorbed on it. The contact angles
2.1. Materials of the hydroxylated silicon wafer and the H-Si(100) increased
P-doped single-side polished single-crystal silicon (1 0 0) by about 20° after coated with MACs. This result indicates that
wafers (obtained from GRINM Semiconductor Materials Co. MACs were adsorbed on the substrates and made them more
Ltd., Beijing) about 0.5mm thick were used as the substrate. hydrophobic, which may be resulted from the apolar ü
MACs were synthesized by reacting dicyclopentadiene with (CH2)nüCH3 (hydrophobic) groups.
alcohols of various chain lengths to produce a lubricant with a
selectable range of physical properties [5]. The solvent 3.2. Surface topological structure
n-hexane (purity >98%) was used as received. The topological structures of the samples were observed by
2.2. Substrates and film preparation AFM, as shown in Fig. 1, the thicknesses of which are 2.5±0.3
The silicon wafers were first ultrasonicated sequentially in nm. It can be clearly seen that the cleaned silicon wafers are
acetone, ethanol and acetone each for 5 min and then rinsed unwetted and there are little MACs adsorbed on it, which is
with adequate ultra-pure water and dried by N2. The cleaned consistent with the result of contact angle measurement. The
silicon wafers were hydroxylated by immersing in a piranha Table 1 List of the contact angles of the samples used in this
solution, a mixture of 7:3 (v/v) 98% H2SO4 and 30% H2O2 at article
90ć for 30 min. Other cleaned silicon wafers were immersed Substrates Without With MACs
in 40% deaerated aqueous NH4F solution for 5-7 min to obtain MACs (°) (°)
a monohydride-terminated surface, that is, H-Si(100). Wafers Cleaned silicon 46.8 51.8
were then rinsed with adequate deaerated ultra-pure water and wafer
dried by N2. Then we got three kinds of substrates: the cleaned hydroxylated 2 25.9
silicon wafers; the hydroxylated silicon wafers and the silicon wafer
H-Si(100). H-Si(100) 74.9 94.1
The solution of MACs in hexane with a concentration of
∗
Corresponding author. Tel: +86 931 4968080; Fax: +86 931 4968163. E-mail address: mwbai@LZB.ac.cn
102
 Wettability Study of Multiply-Alkylated Cyclopentanes (MACs) on Silicon Substrates

3.3. Adhesion
The adhesive forces measured from the pull-off point on each
sample are presented in Fig. 2. It shows that the adhesion force
for the hydroxylated silicon wafer with MACs is the largest in
the three. This may be induced by the partly exposed
hydroxylated silicon wafer, which can increase the capillary
force and further increase the adhesion force. It also can be
seen that the adhesion force for the H-Si(100) with MACs is
the smallest. This may be resulted from the partly exposed
monohydride-terminated surface, which can decrease the
adhesion force. This may also explain why the adhesion force
for the cleaned silicon wafer with MACs is between the above
two samples. We may conclude that the difference in adhesion
forces is due to the differing surfaces of the silicon wafers. The
result of the adhesion force is consistent with the contact
angles measurements.

4. CONCLUSION
Fig. 1 AFM images of MAC films. (a) Cleaned silicon wafer
with MACs. (b) Line section analysis of (a). (c) Hydroxylated
silicon wafer with s. (d) Line section analysis of (c). (e)
H-Si(100) with MACs. (f) Line section analysis of (e)
wettability of the hydroxylated silicon wafer and the H-Si(100)
is better. It is well known that the wettability of solid surface is
decided both by topological structure and chemical structure [8,
9]. MACs, which have no functional groups, are physically
adsorbed on the substrates. This indicates that the wettability
changes of the samples are mainly caused by topological
structure changes of the surface.
1. Si-OH-MAC
250 2. Si-MAC
3. Si-H-MAC
Adhesive forces(nN)
In this paper, we studied the wettability of MACs on silicon
wafers treated by different cleaning and etching processes. The
wettability of the hydroxylated silicon wafer and the H-Si(100)
is better than the leaned silicon wafer, which are mainly
caused by topological structure changes of the surface. The
different behavior in adhesion forces is due to the differing
surfaces of the silicon wafers. In the future, we will further our
research in this aspect and mainly focus on the study of the
influence of surface microtextures on the wettability of MACs
for the practical application as lubrication for MEMS.
REFERENCES
[1] Venier C.G., Casserly E.W., 1991, “Multiply-alkylated
cyclopentanes (MACs): a newclass of synthesized
hydrocarbon fluids,” Lubr. Eng., 47, pp.586–591.
[2] Dube M.J., Bollea D., Jones W.R., Marrcheti M., Jansen
M.J., 2003, “A new class of synthetic hydrocarbon fluid
lubricant for space applications,” Tribol. Lett., 15, pp.3–8.
[3] Pochard, M., Prat, P., Vergne, P., Sicre, J., 1994,
“Thermocapilliary Migration of Lubricants in Space
Environments,” Proc. 4th Int. Tribology Conf., Austrib ’94,

200 Frontiers of Tribology, Perth, Australia.

[4] Spearing S.M., 2000, “Materials issues in
150 microelectromechanical systems (MEMS),” Acta Mater.,
48, pp.179–196.
100 [5] Venier C.G., Casserly E.W., 1990, “Lubricants comprising
novel cyclopentanes cyclopenta-dienes, cyclopentenes and
50 mixtures thereof and methods of manufacture,” U.S. Patent
4, 929.
0 [6] Xiao, X.D., Qian, L.M., 2000, Langmuir, 16, 8153.
1 2 3
[7] Tsukruk, V.V., Bliznyuk, V.N., 1998, Langmuir, 14, 446.
Fig. 2 Adhesive forces of hydroxylated silicon wafer with [8] Wenzel R.N., 1936, Ind. Eng. Chem., 28, 988.
MACs (1), Cleaned silicon wafer with MACs (2) and H-Si(100) [9] Cassie A.B.D., Baxter S., 1944, Trans. Faraday Soc., 40,
with MACs (3) 546.

103
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Numerical Analysis on Hydrodynamics of Circular Translational Polishing under Mixed Lubrication
WZhai , P. Feng
School of Mechatronics, Harbin Institute of Technology, Harbin150001, P.R. China
ABSTRACT
Based on the kinematics relation of CTP, the quasi-stable
CTP model of mixed lubrication is established in polar
coordinates, which includes the average Reynolds equation,
average clearance equation, pad deformation equation, asperity
contact equation and load balance equation. These model
equations are solved by the finite difference method, and the
instantaneous 3-D distribution of fluid pressure, contact
pressure, and the slurry film thickness are presented. Results
show that in a wide area of wafer there is negative fluid pressure,
which is believed to be due to the distribution of the slurry film
thickness including pad deformation. The effects of applied load,
pad velocity and rotation speed on the hydrodynamic pressure,
asperity contact pressure, minimum film thickness, as well as
pad deformation have been analyzed. This parametric study is
helpful to further optimize process variables for good CTP
performance.
Keywords: Circular translational polishing (CTP), mixed
lubrication, negative fluid pressure, pad deformation
INTRODUCTION
Since the slurry hydrodynamics play a critical role in
chemical-mechanical polishing (CMP) performance, many
researches focus on numerical analyses of its physically based
models to indicate the dependence of its performance on the
operating and design parameters. And it is realized that most
CMP operations fall into mixed lubrication regime in which
the down force is supported partly by the slurry film and partly
by surface contact between the polishing pad and the wafer.
Yu, et al [1] presented a one-dimensional (1-D) CMP
model based on the theories of contact mechanics and
hydrodynamic lubrication, and the relationships among the
polishing pad roughness, slurry hydrodynamic pressure, down
force and platen velocity were analyzed. Lin, et al [2] regarded
CMP as a mixed lubrication problem combining the average
Reynolds equation in a cylindrical coordinate system with
G-W contact model, and studied the influences of various
process parameters on the hydrodynamic characteristics and
materials removal rates. They further extended their model to
examine the mechanisms arising in the CMP with a pad having
concentric grooves [3].
Recently, Higgs et al [4-5] developed the mixed lubrication
model based on 3-D Reynolds equation and the Winkler
contact stress model, and solved the integrated polar Reynolds
Reynolds equation with G-W asperity contact pressure
equation, and film thickness equation without taking into
account the pad deformation.
In this paper, the pad deformation due to fluid pressure and
contact pressure is further considered in the film thickness
equation. Through a numerical solution procedure similar to
that in [8], the fluid pressure distribution, contact pressure pad
deformation and film thickness are determined numerically to
show the influence of various operating parameters.
MODEL EQUATIONS
FILM THICKNESS EQUATION
As shown in Fig.1, during a CTP process, the polishing pad
moves translationally in velocity V along a circular track, with
the direction-changing frequency /2È. Here, Z represents the
velocity-direction changing speed.
When the wafer tilted during polishing, the attitude angles
x, y of wafer relative to x and y axis, respectively, can be
obtained by considering the symmetrical and periodical
characteristics of CTP. If  is the biggest tilt angle and  is the
orientation angle at the starting moment (t=0, pad moving
along y axis), then the attitude angles xǃy are expected to
change periodically as follows:
­T x [ ˜ cos(\  Zt ) (1)
®
¯T y [ ˜ sin(\  Zt )
Wafer
Pad
Fig.1 Sketches showing the CTP model
The film thickness at any point on the wafer can be
described as:
equation and film thickness equation taking into account the
disk orientation.
Circular translational polishing (CTP) provides the best
kinematics conditions of polishing as it permits
multidirectional and isotropic polishing, by its characteristic of
the ever-changing direction of the constant pad velocity, and it
is expected to obtain better work efficiency and quality than
the traditional CMP kinematic arrangements [6]. We have
demonstrated that the CTP lubrication model is characterized
as time-related but quasi-steady nature because of the
symmetrical and periodical nature of direction-changing of the
relative velocity [7]. In ref. [8], we numerically solved a 3-D
mixed CTP lubrication model problem combining the average
104
h h0  r ˜ sin T x  ˜ cosT  r ˜ sin T y ˜ sin T  d x, y 
2 p ( x1 , y1 )  p c ( x1 , y1 )
SE c ³³
d ( x, y ) dx1 dy1 (2)
: [( x  x1 )  ( y  y1 ) ]
2 2 12
Here, d(x,y) is the elastic pad deformation of the polishing
pad, which varies in the wafer area as a function of the sum of
the hydrodynamic pressure p(x,y) and the asperity contact
pressure pa(x,y). Note that these parameters representing in
Cartesian coordinates (x,y) can be transformed into the
corresponding ones in polar coordinates(r,) through their
transformation relationship whenever needed during numerical
calculation, and vice versa.
 Numerical Analysis on Hydrodynamics of Circular Translational Polishing under Mixed Lubrication

AVERAGE REYNOLDS EQUATION T=2È/É.

In the mixed lubrication model shown in Fig.2, the wafer After the above model equations are non-dimensionalized,
can be treated as smooth while the pad is rough with a finite difference formula are used to discretize Reynolds
combined roughness  1+2, which has a standard equation (3) into linear algebraic equations. The discretization
root-square deviation of roughness =( 1+ 2)0.5. is executed on a wafer of diameter 80 mm, which is meshed into
40×40 nodes along radial and circumferential directions, as
shown in Fig.3. The pressures at each node point can be
2 obtained by solving the resultant linear algebraic equations with
Gauss-Seidel iteration method.
h hT

1
Fig. 2 Microcosmic interface between wafer and pad

By using the transformation between Cartesian coordinates

and corresponding polar ones, the average Reynold’s equation
derived by Patir and Cheng [8] can be described in polar
cylindrical coordinates as:
­w 3 wp 1 w 3 wp
°° wr (I r rh ˜ wr )  r ˜ wT (IT h ˜ wT ) A
®
° A 6 P ªVr ˜ w (rhT )  VrV ˜ w (rI s )  VT ˜ whT  VT V ˜ wI s  2r ˜ whT º Fig.3 Mesh discretization on the wafer for
« wt »¼
¯° ¬ wr wr wT wT finite difference method
(3)
In this Mix-lubricated CTP model the external downward
Here, h is the local nominal film thickness; Ir , IT are the force acting on the wafer are balanced by the total load resulted
from both the slurry pressure and the asperity contact pressure.
pressure flow factors in r and T directions respectively; Is is
the shear flow factor. They can be represented as [4]: 2S 1

0.56 h
W ³ ³ [ p(r,T )  p (r,T )] ˜ r ˜ drdT
0 0
c
(9)

Ir I T 1  0.9e V
The moments resulting from these pressures can then be
0.98 §h· §h·
2
calculated:
§h· 0.92 ¨ ¸ 0.05¨ ¸
©V ¹ ©V ¹ (4)
I s 1.899¨ ¸ ˜e 2S 1
³ ³ [ p(r ,T )  p (r ,T )] ˜ r ˜ sin T ˜ drdT
2
©V ¹ Mx c
0 0
(10)
The average local film thickness as shown in Fig.2 for a 2S 1
³ ³ [ p(r, T )  p (r , T )] ˜ r ˜ cos T ˜ drdT
2
Gaussian distributed rough surface can be obtained by: My c
0 0

hT
h
2
>
1  erf ( h / 2V ) 
2S
e @
V h2 / 2V 2
(5) The initial pressure at the center point of the wafer was set as
the average pressure on the wafer, while during iteration the
Here, erf (x) is the error function pressure was determine as the average of the pressures at the
nodes of the inner loop. As a boundary condition, the pressures
ASPERITY CONTACT PRESSURE EQUATION on the edge of the wafer were set as ambient pressure. The
The asperity contact pressure between pad and wafer can be calculation for the fluid pressure continues until the load
obtained by using Greenwood and Tripp elastic contact model resulted from the pressure as described by equation (9) are
[9]: balanced with the externally applied one (with a relative error of
0.05%).
§4· (6)
pa ¨ ¸ ˜ (KEV ) ˜ F3 / 2 (h / V ) ˜ E c ˜ V / E
©3¹ RESULTS AND DISCUSSIONS
f
The representative input parameter values for analysis are
F3 / 2 (h / V ) ³
h /V
(]  2h / V ) 3 / 2 ˜ f (] )d] (7)
shown in Table 1. The instantaneous 3-D fluid pressure
For the physical meaning of each parameter, refer to [9]. distribution is shown in Fig.4, where, X=x/r0,Y=y/r0. The pad at
this moment is moving from minus to plus along y axis, and the
SOLUTION PROCEDURES wafer tilts with the rotating angle of 45o from x axis, thus the
fluid is brought in along y axis by polishing pad.
The following dimensionless parameters are applied to
From Fig.4, we see that there is negative fluid pressure
above Reynolds equation to decrease the errors of numerical
calculation and improve computing succinctness. spreading over the inlet area of wafer. This can be seen clearer
from the corresponding contour plot in Fig.5(a). The maximum
r0 ˈ r ˈ h ˈ p ˈ t
F r h p t (8) negative pressure occurs near the center of the inlet region,
h piv r0 h piv p0 T while the maximum positive one is formed at the second
Here, r0 is radius of wafer, p0 the ambient pressure, and T is quadrant but in the vicinity of  o. Further case studies show
the periodic time of the direction change of polishing velocity, that the exact positions of both the positive and the negative

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

pressure spikes depend on the direction-changing frequency of

the pad velocity vector.
Fig.5(b) shows the contour of slurry film thickness. From
hydrodynamic theory (Reynolds equation), we know pressure
distribution is directly related to the nature and distribution of

Y axis
film thickness, on which pad deformation affects a lot as
shown by Eq.(2) and Fig.6.
Film thickness distribution can affect the distribution of
abrasive particles in the slurry, and the contact probability with
wafer. The more uniform of the film thickness, the larger
contact area of particles with wafer, thus the larger the wafer’s
material removal rate.
X axis
Table 1 Typical input parameters for analysis Fig.6 Contour plot of pad deformation
Parameter Values Fig.7 shows the distribution of dimensionless asperity
Translational velocity
1.2 m/s - contact pressure, which increases along the radial direction of
Rotation speed  150 rmp - the wafer, though its value is much smaller than the
Initial standard nominal 10m hydrodynamic one in the case studied. 
clearance h0

Dimensionless contact pressure

Attack angle 0.00028o
Rotating angle  45o
Viscosity  0.00214 pa.s
Radius of wafer R0 40 mm
Down force W 200 N -
Combined surface roughness 10m
Y axis
X axis
Asperity characteristics  0.04
Ratio between roughness and 0.01 Fig.7 3-D distribution of the asperity
asperity peak radius / contact pressure
Young’s modulus of work E1 130GPa
Young’s modulus of pad E2 100MPa The effects of surface roughness on fluid pressure and
contact pressure are shown in Fig.8. With the increase of
Poisson’s ratio of work v1 0.28 surface roughness, contact pressure increases slightly; both
Poisson’s ratio of pad v2 0.4 positive and negative hydrodynamic spike pressure increase
with surface roughness when it is below 9 m, but they drop
Dimensionless fluid pressure

when surface roughness is larger than that. This finding needs

further confirmation.



Dimensionless contact
Dimensionless fluid
pressure, p1 and p2


pressure, pc



Y axis 
X axis

Fig.4 The instantaneous 3-D fluid pressure distribution

Surface roughness, Ê, m
Fig.8 Effects of surface roughness on fluid pressure
and contact pressure

Fig.9 shows the influence of working parameters on the

y axis

y axis

maximum slurry film thickness and pad deformation. We can

see that film thickness increases with polishing speed, but
decreases with rotating speed and externally applied download,
while pad deformation decreases with the increase of polishing
speed, but increases with the increase of rotating speed and
applied load.
X axis X axis
The effects of the working parameters on fluid pressure
(a) Dimensionless fluid pressure (b) Film thickness
and contact pressure are shown in Fig.10. Though being small
values in all cases studied, contact pressure decreases with the
Fig.5 Contour of fluid pressure and film thickness

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 Numerical Analysis on Hydrodynamics of Circular Translational Polishing under Mixed Lubrication

polishing speed, since higher polishing speed results in a larger

thickeness, h (m)

deformation, d (m)
film thickness. Higher applied load leads to larger contact
Minimum film

pressure, while rotating frequency has little effect on it. From

Maximum pad
Fig.10 we can see that the maximum positive fluid pressure
and negative pressure change in a proportional accord in all
circumstances, i.e., the higher the positive pressure, the higher
W=100, =200rpm the negative one, and vice versa. As regards the negative
pressure, we find it decreases with the polishing speed but
increases with rotating speed and applied load.
Polishing speed, Ë (m/s) Fig.11 shows the influence of working parameters on the
resultant moments in x and y axis due to hydrodynamic
pressure and asperity contact pressure. In all the cases studied,

deformation, d (m)
moment in x axis is always much larger than that in y axis.
thickness, h (m)
Minimum film

Polishing speed and applied download exert a great influence

Maximum pad
on moment in x axis, while rotating speed affects it little.
Higher polishing speed results in lower moment, while higher
W=100Nˈv=1.2m/s load leads to larger one. Moment in y axis is slightly, if not
negligibly, influenced by these variables.

Torques Mx and ,My(Nm)

Rotating speed, ¹ (rpm)
deformation, d (m)
thickness, h (m)

W=100, =200rpm
Maximum pad
Minimum film

=150rpm, v=1.2m/s

Polishing speed, Ë (m/s)

Torques Mx and ,My(Nm)

Applied download, W (N)

Fig.9 Influence of working parameters on W=100Nˈv=1.2m/s
film thickness and pad deformation
Dimensionless contact

W=100, =200rpm
Dimensionless fluid
pressure, p1 and p2

pressure, cp

Rotating speed, ¹ (rpm)

Torques Mx and ,My(Nm)

=150rpm, v=1.2m/s

Polishing speed, Ë (m/s)

Dimensionless contact
Dimensionless fluid
pressure, p1 and p2

pressure, cp

Applied download, W (N)

W=100Nˈv=1.2m/s Fig.11 Effects of working parameters on
resultant moments
Rotating speed, É(rpm)
CONCLUSION
=150rpm, v=1.2m/s The mixed lubrication model equations of CTP process
Dimensionless contact
Dimensionless fluid

has been solved by the finite difference method. Negative fluid

pressure, p1 and p2

pressure, cp

pressure occurred in the inlet area of wafer is thought to be

determined by the distribution/shape of the slurry film
thickness, to which pad deformation contributes a lot. Surface
roughness seems to have little effect on hydrodynamic pressure
and contact pressure.
The parametric study shows the effects of applied load,
Applied download, W (N) pad velocity and rotation speed on the hydrodynamic pressure,
asperity contact pressure, minimum film thickness, as well as
Fig.10 Effects of working parameters on
pad deformation, which is helpful to further optimize CTP
fluid pressure and contact pressure process variables.

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
REFERENCES
[1] Yu, T. K., Yu, C. C., Orlowski, M., 1993, “Statistical
polishing pad model for Chemical Mechnical polishing,”
Technical Digest International Electron Devices Meeting,
pp.865-868.
[2] Lin, J. F., 2003, “Analysis of the Effect of Abrasive Particle
Size on the Tribological Mechanisms Arising in the
Chemical Mechanical Polishing of Copper Film Wafers”,
Journal of Chinese Society of Mechanical Engineers, 24(4),
pp.353-376.
[3] Lin, J.F. Chen, S.C., etal., 2006, “ Analysis of the
Tribological Mechanisms Arising in the Chemical
Mechanical Polishing of Copper-Film Wafers When Using
a Pad with Concentric Grooves”, ASME J of Tribology,
128, pp. 445-459.
[4] Ng, Sum Huan, Higgs III, C. Fred, 2005, “An Analysis of
Lubrication in Chemical Mechanical Polishing” Journal of
Tribology, 127, pp.287-292.
108
[5]Higgs III, C.Fred, Ng, Sum Huan, 2005, “A
Mixed-Lubrication Approach to Predicting CMP Fluid
Pressure Modeling and Experiments” Journal of
Electrochemical Society, 152(3), pp.G193-198.
[6] Zhai W.J., Wang Y.L. and Liu C.X., 2006, “Characteristic
analysis of circular-translational-grinding of plane work”
Harbin Institute of Technology (in Chinese), 38 Sup., pp.
95-97.
[7] Zhai, W.J, Liu C.X, 2006, “Hydrodynamic Analysis of
Chemmical Mechanical Polishing with Circular
Translational Moving”, Lubrication Engineering (in
Chinese), 179(7), pp.45-48.
[8] Zhai, W.J, Liu C.X, and Feng P.L, 2007, “Hydrodynamic
Analysis of Circular Translational Polishing under Mixed
Lubrication”, Key Engineering Materials, 359-360,
pp.264-268.
 Micro-Tribological Analysis of POM-MoS2-Compounds

Micro-Tribological Analysis of POM-MoS2-Compounds

R. Stengler*, S. Schraube Darmstadt Institute of Plastics Engineering, University of Applied Sciences,

D-64295 Darmstadt, Germany stengler@h-da.de

X. G. Hu Institute of Tribology, Hefei University of Technology, Hefei 230009, China

s (Extended Abstract)

ABSTRACT RESULTS
Blending MoS2-particles (Molybdenum-disulfide) in a As a result, distinctive recurring characteristics for each
POM-Matrix (Polyoxymethylen) results in a plastic alloy group of samples appeared. Many of the results are
with high qualifications for frictional stressed applications. comparable to others, which leads to a new strategic focus on
The tribological behavior depends on the MoS2 content. how the material’s surface-qualities can be furthermore
Keywords: Microtribology, Lubricants enhanced.
As an example the following figure shows the relation
INTRODUCTION between the coefficient of friction, the abrasion and the
Polyoxymethylen was compounded with three different permanent deformation of the surfaces.
versions of MoS2-particles (micro-, nano-sized and
restacked), each batch with three different shares of MoS2-
quantity.
This research project investigates the micro-mechanical
attributes of two dimensional samples. The equipment used
for this work was the UST (Universal Surface Tester)
produced by the German company Innowep.
This highly sensitive device is an instrument to analyze
permanent, plastic, elastic, and viscoelastic properties of a
surface - punctual as well as along a line or an area. The
distinctive feature of the UST is that it works with high
sensitive sensor technology in very low load-dimensions of 1
to 1000mN.
When using the UST a free selectable tip-head scans the
surface of a sample along a selectable linear distance;
whereas the load on the tip-head, its speed and path-distance
is free selectable.

Fig. 2 Friction-abrasion-deformation

This work definitely gives an interesting insight in the

Fig. 1 Tip-head selection
The UST detects the vertical deflection of the tip-head.
The joined data from these measurements define the
deformation-, abrasion-, retraction- and wear-properties as
well as micro-tribological properties of the surface.
The representative focus of this research is on the linear-
reset behavior, the scratch-resistance-test, the abrasion-test
and the friction-test.
*To whom all correspondence should be addressed.
POM-MoS2 material properties using micro-, nano-sized and
restacked MoS2-particles.
Additionally this gives a chance to get to know a new
surface-testing method for the research of micro-scaled
surface analysis in numerous applications .
ACKNOWLEDGEMENTS
This work was supported by the NanoNetzwerk Hessen.
(The whole paper will be supplied by the authorsif reader
needs it.)

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

On Lubrication Characteristics of Dual Tori Double-Enveloping Toroidal Worm Drive

*
Yaping Zhao /College of Machinery and Automation Wenjun Wei/College of Engineering
(WUST, Wuhan P R China) (CAU, Beijing P R China)
Xuezhu Dong/ College of Engineering Jiancheng Zhou/EDT Diecasting Technology Co.,Ltd
(CAU, Beijing P R China) (Suzhou P R China)

(Extended Abstract)
ABSTRACT
2.3 Worm helicoid equation and its parameters
Based on the theory of elastohydrodynamic
lubrication (EHL), a mathematic model is developed and
corresponding computer programs are proposed for calculating 3 THE SECOND ENVELOPING
the EHL characteristic parameters of a novel type of toroidal
3.1 Relative motion and meshing function in the second
worm drive, including the geometrical coefficient of minimum
oil film thickness, the average entrainment velocity, the enveloping
lubricating angle, the velocity ratio of sliding and rolling and
so on, by using the theory of gearing. The numerical examples 3.2 Worm gear tooth flank equation
show the verification and validation of the principium and the
model. The simulation investigation demonstrates that the dual 3.3 Geometrical parameters in the second enveloping
tori double-enveloping toroidal worm drive has better
lubricating property. In this foundation, the preliminary rules
of selecting the design and technical parameters are proposed 4 LUBRICATION PROPERTIES OF WORM PAIR
for this type of toroidal worm drive.
Keywords: Worm Drive, Double-Enveloping, Elastohydrody-
namic Lubrication, Meshing Analysis
5 NUMERICAL EXAMPLES AND DISCUSSION
1 INTRODUCTION
This is a novel type of hourglass worm set. The two
flanks of one tooth space of the toroidal worm are 6 CONCLUSIONS
envelope-finished at the same time by using a grinding
wheel with two tori, which are symmetrical about its
mid-plane. A worm gear is enveloped by using a toroidal ACKNOWLEDGEMENTS
hob, whose generating flank is accordant with the
The research work in this paper was fully supported
corresponding toroidal worm helicoid. After mating the
by the National Natural Science Foundation of China
worm and the worm gear, a dual tori double-enveloping
under Grant No. 50705068, China Hubei Provincial
toroidal worm drive is presented [1].
Natural Science Foundation under Grant No.
Besides the favorable manufacturability, the toroidal
2007ABA282, and the Key Program of Science
worm drive is of great advantages for transmission as
Research Foundation of Wuhan University of Science
shown in the preliminary researches, such as longer
and Technology under Grant No. 2006XZ6.
double-line working length of the worm and shorter
twice contact time of the worm pair [2], better
distribution of instantaneous contact lines of the worm REFERENCES
drive, broader contact zone [3] and lower contact stress
[1] Zhao, Y., “A Type of Dual Rotation Surfaces
of tooth surfaces and so on. Furthermore, unlike the
Double-enveloping Toroidal Worm Pair and Its Generating
previous one, the worm set can be used on the condition Method”, China patent, 200610124466.8, CN1970208,
of “many-head” and “small drive ratio” because as far as 2006 (in processing, in Chinese).
the worm is concerned, the edge tooth top is usually [2] Zhao, Y., 2007, “Meshing Limit Line of the Dual-Torus
sufficiently thick [4] and there is no undercutting. Double-Enveloping Toroidal Worm Drive and
In the present paper, on the basis of the theory of Configuration of the Worm Helicoids”, Journal of Wuhan
elastohydrodynamic lubrication, theoretical research is University of Science and Technology, 31 (1), pp.74-77. (in
made on the lubricating property of the worm set by Chinese)
using the theory of gearing. [3] Zhao, Y., Dong, X., Wei Wen., Wei, G., 2006, “Study on the
Tooth Surface Configuration of Dual Tori
Double-enveloping Worm Pair without Tooth Flank
2 THE FIRST ENVELOPING
Modification” ē Proc. of ICMT’2006, Chongqing, P R
2.1 Generating flank equation and its parameters China㧦Sept, pp.180-184.
[4] Zhao, Y., Wei, Wen., Dong, X., 2007, “Tooth Thickness of
2.2 Relative motion and meshing function in the first Dual Tori Enveloping Toroidal Worm”, Proc. of The 12th
enveloping World Congress in Mechanism and Machine Science,
Besançon, FRANCE: June, pp.133-138.
*Corresponding Author.
[5] Dong, X., 1989, Theoretical Foundation of Gear Meshing,
E-mail address: zhaoyaping1975@126.com.

110
 On Lubrication Characteristics of Dual Tori Double-Enveloping Toroidal Worm Drive

Mechanical Industry Press, Beijing. (in Chinese) [10] J. Oprea, 2003, Differential Geometry and Its Applications
[6] Litvin, F. L., 1994, Gear Geometry and Applied Theory, (2nd Edition), Prentice-Hall, Englewood Cliffs, NJ.
Prentice-Hall, Englewood Cliffs, NJ. [11] Wen, S., Yang, P., 1992, Elastohydrodynamic Lubricating,
[7] Dong, X., 2004, Toroidal Worm Drives Design and Tsinghua University Press, Beijing. (in Chinese)
Modification, Mechanical Industry Press, Beijing. (in
Chinese)
[8] Wu, D., Luo, J., 1992, A Geometric Theory of Conjugate
Tooth Surfaces, World Scientific, Singapore.
[9] F. Di Puccio, M. Gabiccini, M. Guiggiani, 2006,
“Generation and Curvature Analysis of Conjugate Surfaces (The whole paper will be supplied by the authors if reader
Via a New Approach”, Mechanism and Machine Theory,
needs it.)
41 (9) , pp.382-404.

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Thermoelastohydrodynamic Lubrication Analysis of Crankshaft Bearing Considering

Crankshaft Deformation under Load
*
Jun Sun , Jianglin Liu, and Changlin Gui

School of Mechanical and Automotive Engineering, Hefei University of Technology, Hefei 230009, China

ABSTRACT and the performance of main bearing considering journal

Journal misalignment in bearing caused by crankshaft misalignment was presented by Lahmar[4,5]. Journal
deformation under load exists generally in IC engine. When misalignments were usually thought to be caused by
serious journal misalignment takes place, the minimum oil film manufacturing, assembly errors and cylinder block deformation
thickness of bearing reduces greatly and the maximum oil film in above analyses. And, in order to simplify the problem,
pressure of bearing increases remarkably. So, it is necessary to journal misalignment was generally assumed to be constant in
consider thermal effects and deformation of bearing surface magnitude and direction. The thermal effects were not
when analyzing hydrodynamic lubrication characteristics of considered. Some researches on lubrication performance of
misaligned bearing. In this paper, the thermoelastohydrodymic crankshaft bearing considering journal misalignment caused by
lubrication properties of crankshaft bearings considering crankshaft deformation under load were accomplished and
crankshaft deformation under load for a four-cylinder IC engine useful results were gained by authors [6]. But, there were many
were analyzed. The lubrication of crankshaft bearing was hypotheses, such as constant oil temperature and rigid surface of
analyzed by kinetics method. The deformation of bush surface bearing, in these analyses. When severe journal misalignment
under pressure of oil film was calculated by deformation matrix takes place, the maximum oil film pressure increases obviously.
method. The crankshaft deformation and the load of crankshaft The difference between hypotheses of constant oil temperature
bearing were calculated by whole crankshaft beam-element and not considering elastic deformation of bearing surface and
method. The temperature distributions of journal, bearing and actual conditions exists. Till now, the
lubricant were calculated by solving 3-D energy equation and thermoelastohydrodynamic lubrication analysis of crankshaft
heat conduction equation. The results show that, when bearing considering journal misalignment caused by crankshaft
crankshaft deformation is considered, the thermal effects have deformation under load has not been done.
great influence on the orbit, the maximum oil film pressure and In order to make analyzing results close to actual
the minimum oil film thickness of crankshaft bearing, but the condition, in this paper, the crankshaft-bearing system of a
thermal effects affect the end flow-rate and friction coefficient
four-cylinder internal combustion engine was taken as studied
of journal much little.
subject. The lubrications of crankshaft bearings considering
Keywords: Thermal effects, Elastohydrodynamic lubrication,
crankshaft deformation under load, thermal effects and
Bearing, Crankshaft deformation, IC engine
deformation of bearing surface under oil pressure were analyzed.
Table 1 shows the configuration parameters etc of crankshaft
INTRODUCTION bearings.
Crankshaft bearing is one of the important parts for internal
combustion engine. Along with continuous increase of current Table 1 Configuration parameters etc of crankshaft bearing
demand for power performance and reliability of internal Rotational speed n (r/min) 2600
combustion engine, the working conditions of crankshaft Relative clearance  0.00158
Radius of main bearing Rm (mm) 32.5
bearing become more and more rigorous. In order to adapt the
Length of main bearing Lm (mm) 22
development of internal combustion engine and assure the Groove width of main bearing bo(mm) 4
working reliability and endurance of crankshaft bearing, the Radius of connecting-rod bearing Rc (mm) 27
design method of crankshaft bearing needs to be improved Length of connecting-rod bearing Lc (mm) 26
continuously and the lubrication theory of crankshaft bearing Initial viscosity of lubricant 0 (Pa.s) 0.1193
Oil pressure at inlet p0 (Pa) 2×104
for predicting performance of bearing more accurately needs to
Equivalent mass of main journal mm (kg) 0.775
be studied still further. Equivalent mass of connecting-rod journal mc (kg) 0.568
A great deal of important advancements in study on
lubrication of crankshaft bearing for internal combustion engine
ANALYTICAL FORMULATION AND METHOD
has been acquired. However, current studies on lubrication of
crankshaft bearing were performed usually based on The crankshaft deformation and the load of crankshaft
tribological theory. Only the factors of bearing itself were taken bearing were calculated by whole crankshaft beam-element
into account. In reality, there is direct interaction between method [7], and the axis orbits of crankshaft bearings were
crankshaft and crankshaft bearing in engine. Crankshaft calculated by kinetics method in lubrication analyses of
deformation is caused under load, which will result in journal crankshaft bearings [6].
misalignment in bearings, change the clearance shape of FILM THICKNESS
bearing and affect the performance of bearings. Although Because the material rigidity of crankshaft journal is
journal misalignment was considered in a few of lubrication generally much higher than that of bush surface, here only
analyses of crankshaft bearing for internal combustion engine, the elastic deformation of bush surface under oil film
for example the effect of journal misalignment on performance pressure is considered in oil film thickness equation. Thus
of connecting-rod bearing was analyzed by Maspeyrot[1,2], oil film thickness of bearing is given by
the lubrication of main bearing considering elastic h h0  G (1)
deformation of cylinder block was studied by Garnier[3] where h0 is the oil film thickness when not considering elastic
deformation of bush surface, which can be given by [8]
*Corresponding author. Email: sunjun_hfut@163.com.

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 Thermoelastohydrodynamic Lubrication Analysis of Crankshaft Bearing Considering Crankshaft Deformation under Load

L
h0 c  e0 cos(T  \ 0 )  tgJ ( y  )cos(T  D ang  \ 0 )
2
where c is radius clearance, e0 and 0 represent eccentricity
vector of journal at mid-plane of bearing, ang is angle between
projection of journal rear centerline and eccentricity vector e0, 
is angle of journal misalignment.
 is the change of oil film thickness caused by elastic
deformation of bush surface of bearing under oil film pressure.
CALCULATION OF ELASTIC DEFORMATION OF BUSH
SURFACE OF BEARING
Fig. 1 Finite element model of connecting-rod bearing
The elastic deformations of all nodes on bush surface
under oil film pressure are calculated by deformation matrix
method.
FORMULA OF DEFORMATION MATRIX METHOD
G=K˜p (2)
where G is radial deformation matrix of all nodes on bearing
surface under oil film pressure, K is compliance matrix
which is gained by finite element analysis of bearing, and p
is oil film pressure matrix of all nodes on bearing surface.
FINITE ELEMENT MODEL OF BEARING
(1) Connecting-rod bearing
Generally combined together by bolts, bush, cap
and body of connecting-rod can be considered as a whole
body in analysis. When dividing model into element, bush is
divided by hexahedron element and other parts of
connecting-rod are divided by tetrahedron element. The element
division on bush surface is controlled specially to make nodes
Fig. 2 Finite element model of main bearing
on bush surface correspond with nodes of difference grid used
to calculate oil film pressure of bearing and assure oil film
where,
pressure of bearing can be applied correspondingly on bush h
³ K dz
surface. Finite element model of connecting-rod bearing is 1
F0
shown in Fig. 1, which consists of 6625 elements and 12988 0
nodes. h š
³ K dz
z
(2) Main bearing F1 z F0
0
Finite element model of main bearing is shown in Fig. 2, š F1
which is composed of bush, main bearing cap and top-half part z
of main bearing housing in cylinder block. Bush is divided by F0
h Uz š
³
hexahedron element and other parts of main bearing housing are
F2 ( z  z )dz
divided by tetrahedron element. Model of main bearing consists 0 K
of 13877 elements and 4568 nodes. p is oil film pressure, U j is velocity of journal surface and U j
ESTABLISHMENT OF COMPLIANCE MATRIX =R j  j, R j is journal radius,  j is angular velocity of journal,
The deformations of all nodes on bush surface are U b is velocity of bearing surface and U b =R b  b , R b is
calculated when unit oil film pressure is acted on each node bearing radius and  b is angular velocity of bearing,  is
according to given sequence of nodes on bush surface. The density of lubricant, K is viscosity of lubricant.
elements of a certain row of compliance matrix consist of radial Eq. (3) is solved by finite difference method.
deformation of a certain node when unit oil film pressure is ENERGY EQUATION
acted individually on all nodes of bush surface. The elements of
wT wT wT w 2T wu wv
a certain column of compliance matrix are composed of radial Ucp (u v  ) K 2  K[( ) 2  ( ) 2 ] (4)
deformations of all nodes on bush surface when unit oil film Rb wT wy wt wz wz wz
pressure is acted on a certain node. The number of rows and where T is temperature of oil film, u and v are axial and
columns of formed compliance matrix is equal to the number of radial velocity of oil respectively, c p is specific thermal
nodes on bush surface. In this paper, the number of nodes on capacity of oil, and K is heat conduction ratio.
bush surface of connecting-rod bearing and main bearing is 468 EQUATION OF SOLID HEAT CONDUCTION
and 396 respectively, thus the number of row and column of w 2Tb 1 wTb w 2Tb 1 w 2Tb Uc wT
compliance matrix for connecting-rod bearing and main bearing    (5)
is 468 and 396 respectively. wr 2 r wr wy 2 r 2 wT 2 K wt
REYNOLDS EQUATION
where T b is temperature of bearing.
w wp w wp
( F2 ) ( F2 ) RELATION OF OIL VISCOSITY-TEMPERATURE
Rb wT Rb wT wy wy The CD30 diesel oil was used and Vogel expression about
F (3) oil viscosity-temperature relation was adopted in analysis.
w ( Uh  U 1 )
F0 w F wh K 0.5076 u 10 3 exp[3434.6 /(T  22.29)] (6)
Uj  Ub ( 1) U
Rb wT Rb wT F0 wt LOAD EQUILIBRIUM EQUATION
If the effect of oil film inertia is not considered, the

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

motion of journal axis of bearing conforms to Newton

second law, that is
dv
P  F mj (7)
dt
where P is bearing load, F is resultant oil film force of
bearing, m j is equivalent mass of journal and v is velocity
of journal axis.
RESULTANT OIL FILM FORCE OF BEARING
Components of oil film force at x and z coordinate are
found from
L T2
Fx 
³ ³T
0 1
pRb sin TdTdy
(a) Front-end plane
L T2
Fz 
³ ³T 0 1
pRb cos TdTdy (8)

Resultant oil film force F is then as follows:

F Fx 2  Fz 2 (9)
END LEAKAGE FLOW-RATE
The oil flow-rate Q1 from front-end plane of bearing and
the oil flow-rate Q2 from rear-end plane of bearing are given by
2S h 3 wp
Q1 
³
0
˜
12K wy y 0
˜ Rb dT

2S h 3 wp
Q2 
³0
˜
12K wy y L
˜ Rb dT (10) (b) Mid-plane

The total end leakage flow-rate of lubricant is then given

by
Q | Q1 |  | Q2 | (11)
FRICTION COEFFICIENT
The friction force on journal surface can be calculated
from
L 2S § h wp U jK ·
Fj
³³ ¨
¨
0 0 © 2 Rb w T

h ¸¹
¸ Rb dTdy (12)

The friction coefficient on journal surface is then given by

Fj
Pj (13)
F
RESULTS AND DISCUSSIONS
Thermoelastohydrodynamic lubrications of crankshaft
bearings considering crankshaft deformation under load in rated
condition of engine were analyzed based on above equations
and calculating methods.
As an example of results, the axis orbits on front-end
plane, mid-plane and rear-end plane of No. 4 main bearing
considering and not considering thermal effects is shown in
Fig. 3. The axis orbit of bearing considering thermal effects
alters in the same tendency with the one that not considered
thermal effects. Compared with the one not considered, the
eccentricity ratio of bearing has some difference when
thermal effects is considered duo to different temperature
existing at different point in bearing.
The maximum oil film pressure of No. 4 main bearing
in an engine working cycle considering and not considering
thermal effects is shown in Fig. 4. The maximum oil film
pressure of bearing increases remarkably when thermal
effects are considered.
(c) Rear-end plane
consideing thermaleffects
 not consideing thermal effects
Fig. 3 Axis orbit of No. 4 main bearing
The minimum oil film thickness of No. 4 main
bearing in an engine working cycle considering and not
considering thermal effects is shown in Fig. 5. Thermal
effects have obvious influence on the minimum oil film
thickness of bearing. The minimum oil film thickness of
bearing reduces evidently when thermal effects are
considered.
The end leakage flow-rate of No. 4 main bearing in an
engine working cycle considering and not considering
thermal effects is shown in Fig. 6. Thermal effects have
little influence on the end leakage flow-rate of bearing in
most time of an engine working cycle. Only in part time of
an engine working cycle, thermal effects have some
influence on the end leakage flow-rate of bearing.
The friction coefficient of journal of No. 4 main
bearing in an engine working cycle considering and not
considering thermal effects is shown in Fig. 7. As shown in
the figure, thermal effects have little influence on the
friction coefficient of bearing.

114
 Thermoelastohydrodynamic Lubrication Analysis of Crankshaft Bearing Considering Crankshaft Deformation under Load

consideing thermaleffects
 not consideing thermal effects
Fig. 4 Maximum oil film pressure pmax of No. 4 main bearing
against crankshaft angle CA in an engine working cycle
consideing thermaleffects
 not consideing thermal effects
Fig. 6 End leakage flow-rate Q of No. 4 main bearing against
crankshaft angle CA in an engine working cycle

consideing thermaleffects consideing thermaleffects

 not consideing thermal effects  not consideing thermal effects
Fig. 5 Minimum oil film thickness hmin of No. 4 main bearing
against crankshaft angle CA in an engine working cycle
CONCLUSIONS
(1) When deformation of crankshaft under load is
considered, thermal effects have obvious influence on
axis orbit of crankshaft bearing. The eccentricity ratio of
bearing changes some when thermal effects are
considered.
(2) When thermal effects are considered, the
maximum oil film pressures of misaligned crankshaft
bearing increases remarkably, and the minimum oil film
thicknesses of misaligned crankshaft bearing reduces
evidently.
(3) The thermal effects have some influence on the
end leakage flow-rate of misaligned crankshaft bearing in
part time of an engine working cycle, and have little
influence on the friction coefficients of journal of
misaligned crankshaft bearing.
ACKNOWLEDGEMENTS
Authors would like to express their gratitude to the
Committee of National Natural Science Foundation of China
for the financial support of research (50175023, 50575065)
and the permission to publish this paper.
REFERENCES
[1] Maspeyrot, P., 1988, “Shape defects and misalignment
effects in connecting-rod bearings,” 15th Leeds-Lyon
Symposium on Tribology, Leeds.
115
Fig. 7 Friction coefficient of journal j of No. 4 main bearing
against crankshaft angle CA in an engine working cycle
[2] Maspeyrot, P., 1990, “Comparison between aligned and
misaligned bearings under dynamic loading in both
quasi-static and dynamic misalignment,” 17th
Leeds-Lyon Symposium on Tribology, Leeds.
[3] Garnier, T., 1999, “Three-dimensional EHD behavior of
the engine block/crankshaft assembly for a four
cylinder inline automotive engine,” Journal of
Tribology(Transaction of the ASME) , 121(4),
pp.721-730.
[4] Lahmar, M., 2000, “Comparison of the dynamic
behaviour of two misaligned crankshaft bearings,”
Proceedings of the Institute of Mechanical Engineers,
Part D: Journal of Automobile Engineering, 214(8),
pp.991-997.
[5] Lahmar, M., 2002, “The effect of misalignment on
performance characteristics of engine main crankshaft
bearings,” European Journal of Mechanics A/Solids,
21(4), pp.703-714.
[6] Sun, J., 2005, Coupling Research on Tribology, Stiffness
and Strength of Crankshaft-bearing System, Dissertation for
Doctor Degree, Hefei University (Chinese).
[7] Sun, J., Gui, C. L., 2007, “Effect of lubrication status of
bearing on crankshaft strength,” Journal of
Tribology(Transaction of the ASME), 129(4),
pp.887-894.
[8] Sun, J., Gui, C. L., 2004, “Hydrodynamic lubrication
analysis of journal bearing considering misalignment
caused by shaft deformation,” Tribology International,
37(10), pp.841-848.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Transient Behavior of Elasto-Metal-Plastic Journal Bearing during the Stage of Stop

Jian Jin, Guoxian Zhang, Xiaojing Wang

Department of Mechanical Automation, Shanghai University, 200072, China

ABSTRACT H 1  H cos( )  T )  E def  Tdef (1)

The different characteristics under a steady load between
The 3D velocity equations are:
babbitted journal bearing and elasto-metal-plastic (EMP)
w p y y  ym 1 y dy
w) ³0 P ³
journal bearing during the stage of stop are discussed. u H2 dy 1 (2)
F0 0
P
Transient thermoelastohydrodynamic (TEHD) model is
established. Bearing performances are analyzed in terms of cH y § wu D w w ·
transient temperature, thermo-elastic deformations. Results
v 
R ³
0
¨¨  ¸¸d y
© w) L w z ¹
(3)
show that elastic deformations on EMP bush surface are more w p D y y  ym
w z L ³0 P
visible than babbitted bush. A cavity with some lubricant sealed w H2 dy (4)
in it is formed on EMP bush surface during stopping, while the While the boundary conditions are:
shaft is still supported by lubricant. Full contact of the rotor and
­° y 0, u 1 , v w 0
the bush surface is avoided. ® (5)
Keywords: Journal bearing, EMP bush, Oil slip, Transient °̄ y 1, u v s , v w 0
TEHD The pressure is determined by the modified Reynolds
equation:
w § wp · § D· w § wp· w § F ·
2
wH wH
¸¸ 1  v 
INTRODUCTION ¨¨ H F
3
¸¸  ¨ ¸ ¨¨ H F ¨¨ H ¸¸  v
3
 (6) s
1
s
w) © w) ¹ © L ¹ w z © w) © w)
2 2
wz ¹ F0 ¹ wt
Babbitt is a conventional lining material in the pads of
The classical Reynolds boundary conditions are associated
hydrodynamic bearings. However, a temperature limit is
with Reynolds equation. The inlet groove is located on the load
imposed to keep bearing operation safe. At elevated
line in the maximum film thickness zone.
temperatures, babbitt loses its strength and starts to creep. To
The temperature in the film is obtained by solving the
sustain increased specific loads, new materials for bearing
transient energy equation:
lining are required. One attracting material is
wT wT R wT D wT
polytetrafluoroethylene (PTFE). Sheet PTFE is applied under u  v  w
wt w) cH w r L w z
high pressure to a cushion of bronze wire mesh so that the
PTFE flows into gaps in the wire mesh [1]. Then the pure kF § w 2 T § R ·2 w 2 T 2
R wT § D · w 2 T ·
¨ ¨ ¸  ¨ ¸ ¸¸
PTFE is attached to the steel backing with bronze wire U F cF Z0 R 2 ¨© w) 2 © cH ¹ wr
2
cH wr © ¹ w z
L 2
¹
interface. P0Z0 R 2 P ª§ wu · § w w · º
2 2

This kind of EMP pads has already been successfully used  «

2 ¨ ¸  ¨ ¸ » (7)
U F cF T0 c H «¨© w r ¸¹ ¨© w r ¸¹ »
2

in hydropower station of the former Soviet Union since 1970s’. ¬ ¼

Later, it was adopted in China. This is due to its outstanding The temperature in bush is defined as:
Ub cbZ0 R 2 wTb
2
properties: low coefficient of friction, broad temperature range, 1 w 2 Tb 1 wTb w 2 Tb § D · w 2 Tb
  ¨ ¸ (8)
wt rb w) rb w rb w rb 2 © L ¹ w z 2
2 2
excellent anti-seizure properties, superior resistance to kb
chemical attack and moisture. And this material can reduce In the inlet zone across the film, the inlet film temperature
oil-film temperature and power loss. The surface energy is low is calculated from conservation equation by the following
and it is difficult for the fluid to conglutinate. According to the relation:
theoretical and experimental results [2,3], oil slip exists on the Qr T r Ql T0
film-pad interface. The TEHD study of static characteristics in Ti (9)
Qr  Ql
EMP thrust bearings and journal bearings were performed where:
[4-8]. A great deal of attention has been devoted to the
c2
transient behavior of hydrodynamic journal bearings [9, 10]. H h/c , y y/h , z z /( L / 2) , P P / P0 , t Z0 t , p p ,
P 0 Z0 R 2
The transient TEHD phenomena that take place in the bearing
u v w vs
, F0 ³0 d y , F1 ³0 yd y ,
1 1
could lead to seizure, which practically means the destruction u ,v ,w , vs ,T T / T0
Z0 R Z0 R Z0 R Z0 R P P
of the bearing surfaces. There are still some other aspects of
EMP journal bearing operation, such as transient behavior F1
, F2 ³0 y( y  ym )d y
1
ym
during stopping, which are not fully understood. A further F0 P
study is presented in this paper. The viscosity is given with a satisfactory accuracy by the
exponential law:
ANALYSIS P (T ) P 0 exp[ E (T  T0 )] (10)
To predict the transient behavior of EMP journal bearing, a The equations of motion of the journal with no rotating
3D TEHD theoretical model considering oil slip on the unbalance in dimensional form are:
film-bush interface should be created. Fh mx
(11)
The theoretical analysis was already presented in detail [11, Fv  W my
12]. Consequently, only the major governing equations and Due to the complexity of the problem, the only way to solve
boundary conditions are given here. It is appropriate to use the it is to use numerical methods. The finite difference method is
dimensionless form. used to solve the constitutive equations. The Gauss-Seidel
The film thickness is given by: iterative scheme with over-relaxation is employed. The thermal

116
 Transient Behavior of Elasto-Metal-Plastic Journal Bearing during the Stage of Stop

and elastic deformations of the bush are computed using the

finite element method. The numerical integration of Eq. (11) is
carried out by the fourth order Runge Kutta method with a bush
double precision arithmetic.

film
RESULTS AND DISCUSION
Simulations for both EMP journal bearings and babbitted
journal bearing are carried out. The geometrical characteristics
of the bearing and the operating conditions used for the
numerical simulation are presented in Table 1. The rotational
speed varies linearly from 1200 rpm to 0 in 10 s. The load is
fixed to 4000 N. The steady-state operating position is used as
the shaft initial position. The rotor doesn’t stop until it reaches
its static resting position in contact with the bearing.

Table 1 Data used in numerical simulations

Journal radius R (mm) 45
Bearing length L (mm) 65
Bush thickness B (mm) 12.5
Radial clearance c (mm) 0.11
Inlet lubricant temperature T0 (ć) 40
Ambient temperature Ta (ć) 25
EMP bush thermal kb (W.m-1.K-1) 2.05
Fig.1 Isotherms in film and bush (babbitted bearing)
conductivity
-1 -1
Lubricant thermal kF (W.m .K ) 0.13
conductivity
Bush specific heat cb (J/kggK) 1046
Lubricant specific heat cF (J/kggK) 1940
Bush density Ub (kg/m3) 2100
Lubricant density UF (kg/m3) 865
Coefficient of thermal Db (10-5K-1) 6.35
expansion
Dynamic viscosity at 40ć P0 (Pags) 0.0565
thermoviscosity coefficient E (1/K) 0.044
Poisson’s ratio Q ˉ 0.33

Fig.1 gives the isotherms in film and bush at two different

moments for babbitted journal bearing. The temperature
decreases along with time in the film and in the bush when the
heat provided by the shear stress decreases. After 5 seconds,
the maximum temperature decreases about 2.1ć. For the inner
bush surface, most of heat is evacuated by the oil flow. While
convective heat transfer is dominant for the outer bush surface.
So the temperature of the outer bush surface is higher than that
of the film-bush interface.
Fig.2 gives the isotherms in film and bush at two different
moments for EMP journal bearing. Firstly, the inlet film
Fig.2 Isotherms in film and bush (EMP journal bearing)
temperature decreases sharply. Later, it increases a little bit.
This is due to the decrease of the inlet flow. The thermal
conductivity of EMP is much smaller that of the babbitted one.
So, for the EMP journal bearing, the maximum temperature is The nondimensional maximum thermal and elastic
situated at the film-bush interface. It is quite different from the deformations of the babbitted bush at different moment is
babbitted journal bearing. Furthermore, it is obviously showed shown in Fig.3. The maximum elastic deformation resulted
that the temperature of EMP bearing is always lower than that of from the hydrodynamic pressure is much smaller than the
the babbitted one. This is certainly due to the oil slip on the EMP maximum thermal deformation. And the thermal deformation
bush surface. Much more heat is evacuated by the oil flow. decreases when temperature decreases.

117
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Nondimensional deformation

Nondimensional deformation
t (s) Bearing Circumferential angle
Fig.3 Nondimensional maximum thermal and elastic length
deformations of the babbitted bush (solid line---thermal
deformation, dashed line---elastic deformation) Fig.6 Coupled deformation of the EMP bush

Fig.4 gives the nondimensional maximum thermal and
elastic deformations of the EMP bush at different moment.
Thermal deformation is bigger than elastic deformation at the
beginning and the opposite result occurs at the end. This is
because the peak value of pressure increases greatly during
stopping period. Young’s modulus of EMP is much smaller than
that of Babbitt. The elastic deformation of EMP bush is much
bigger than that of the babbitted one.
Nondimensional deformation
During stopping, boundary lubrication dominating in the
bearing and significant heating can occur in the contact. So the
rotor is normally jacked up. But the EMP bush has an extremely
low coefficient of friction. It can avoid the friction problem
successfully. The EMP bearings have no requirement for a
jacking system during stopping. Furthermore, the coupled
thermo-elastic deformation of the EMP bush leads to an
increase in the radial bearing clearance. A cavity is formed on
the EMP bush surface. Some lubricant is sealed in it. Fully
contact of the rotor and bush surface is avoided.
The simulation results also show that the rotor stops at

9.421 s for the babbitted journal bearing while at 9.837 s for the
EMP journal bearing. This means the rotor speed of EMP
journal bearing is lower than that of the babbitted one when it
contacts the bearing. This also has a positive effect on bearing
operating characteristics.

CONCLUSIONS
For the oil slip on the film-bush interface, the temperature in
the film and in the EMP bush is about 3ć lower than the
t (s) babbitted bush journal bearing during stopping periods.
Fig.4 Nondimensional maximum thermal and elastic Deformations of the active surface due to pressure are quite
deformations of the EMP bush (solid line---thermal deformation, large and have to be taken into account. When the rotor stops,
dashed line---elastic deformation) large elastic deformation of the EMP bush results in a cavity on
the bush surface. The hydrodynamic film still separates the rotor
from bush surface. The feasibility of bearing damage decreases.
Fig.5 illustrates the coupled thermo-elastic deformation of Utilization of EMP bush prolongs bearing service life.
the babbitted bush. And Fig.6 gives the coupled thermo-elastic
deformation of the EMP bush. When the rotor ceases, the
coupled thermo-elastic deformation of the babbitted bush is so NOMENCLATURE
small that it has the same effect as roughness. Thus, the friction c = radial clearance (m)
area between bush and rotor is larger than the EMP one. cb = bush specific heat (J/kggK)
cF = lubricant specific heat (J/kggK)
Nondimensional deformation

e = eccentricity (m)
h = film thickness (m)
kb = EMP bush thermal conductivity (W.m-1.K-1)
kF = lubricant thermal conductivity (W.m-1.K-1)
m = journal mass (kg)
p = pressure (Pa)
t = time (s)
u , v, w = velocity components (m/s)
vs = slip velocity (m/s)
Bearing Circumferential angle x, y = Cartesian coordinate system
length B = bush thickness (m)
D = journal diameter (m)
Fig.5 Coupled deformation of the babbitted bush Edef = nondimensional elastic deformation

118
 Transient Behavior of Elasto-Metal-Plastic Journal Bearing during the Stage of Stop

Fh , Fv = instantaneous film force components (N) [4] Wu, B.L., Wang, J.Z., 1992, “The operation of the Soviet
L = bearing length (m) thrust bearing pads from spring metal-plastic,” Large
Ql = leaking flow (m3/s) Electric Machine and Hydraulic Turbine, 1, pp. 6-10.
[5] Jin, J., Zhang, G.X., 2000, “Thermo-elasto-hydrodynamic
Qr = recirculating flow (m3/s)
analysis of EMP radial sliding bearing considering the
R = journal radius (m) effects of boundary slip,” Journal of Machine Design, 9,
T0 pp.16-19.
= inlet lubricant temperature (ć)
Ta [6] Ma, Z.Y., Dong, Y.X.,2000, “Thermoelastohydrodynamic
= ambient temperature (ć)
lubrication of PTFE thrust bearing,” Journal of Dalian
Tb = bush temperature (ć) University of Technology, 12, pp. 90-94.
Tdef = nondimensional thermal deformation [7] Liu, J., Wu, H.J., Liu, Z.M., Wang, Z.M., 2004,
Tr = temperature of the recirculating fluid (ć) “Characteristics of lubricating mechanism of elastic
Db metal-plastics bearing and its improvement,” Water
= coefficient of thermal expansion (10-5K-1) Power, 11, pp. 68-72.
E = thermoviscosity coefficient (1/K) [8] Gao, R., Wang, X.J., Pan, J.J., Xie, M.C., 2006, “The
H = eccentricity ratio, H e / c experimental research of the Elasto-Metal-Plastic thrust
P = dynamic viscosity (Pags) bearing during its start-up,” Lubrication Engineering, 7,
P0 = initial dynamic viscosity (Pags) pp. 100-101, 104.
Q [9] Malik, M.M., Bhargava, S.K., Sinhasan, R., 1989, “The
= Poisson’s ratio transient response of a journal in plane hydrodynamic
T , r, z = cylindrical coordinate system bearing during acceleration and deceleration periods,”
Ub = bush density (kg/m3) SILE Trib Trans, 32(1), pp.61-69.
UF = lubricant density (kg/m3) [10] Jain, S.C., Sinhasan, R., Pilli, S.C., 1990, “Transient
Z0 = angular speed (rad/s) response of a journal supported on elastic bearing,”
Tribology International, 23(3), pp.201-209.
[11] Khonsari, M.M., Wang, S.H., 1992, “Notes on transient
REFERENCES
THD effects in a lubricating film,” Tribology
[1] Glavatskih, S. B., 2003, “Evaluating thermal Transactions, 35(1), pp. 177-183.
performance of a PTFE-Faced tilting pad thrust bearing,” [12] Monmousseau, P., Fillon, M., Frêne, J., 1997, “Transient
J. Tribol., 125, pp. 319-324. thermoelastohydrodynamic study of tilting-pad journal
[2] Wang, X.J., Zhang, G.X., Zhang, Z.M., 1997, “Slip study bearings—comparison between experimental data and
of the plastic thrust bearing,” Lubrication Engineering, 4, theoretical results,” J. Tribol., 119, pp. 401-407.
pp. 19-22, 35.
[3] Jin, J., Zhang, G.X., Wang, X.J., 2004, “Experiment and
simulations on lubrication performance of EMP journal
bearing,” Journal of Shanghai University, 2, pp.85-89.

119
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Analyses on the Splashing Parameters of High-Speed Oil

Impacted a Wall in Jet Lubrications

Le Gu/Harbin Institute of Technology,gule@hit.edu.cn Zhenhuan Ye/ Harbin Institute of Technology

Liqin Wang/ Harbin Institute of Technology Dezhi Zheng/ Harbin Institute of Technology
Box 424, Harbin Institute of Technology, No. 92, Xidazhi Street, Harbin, 150001, China

(Extended Abstract)
ABSTRACT
A new model for the free jet breakup is derived from the Ekp + Esp + Eε p = Esc (2)
TAB theory to determine the size of breakup in the energy
conservation law. In addition, the splash behavior of droplets It is believed that speed of droplets will not changed great
after impingement is determined by the newly proposed model, before and after breakup of droplets, so the kinetic energy of
which incorporates both the size and the number models based both sides are equation and could elimination. The surface
on Wu Ziniu’s phenomenological theory. The numerical energy, vibration and deformation energy of "Father" droplet
calculations for several experimental conditions are carried out can be expressed as: Esp = 4π r 2σ ; E = 1 kx 2 = 2 π C 2 ρ r 5ω 2 y 2 ;
kp b
for impinging sprays on a static flat wall. The results indicate 2 3
that the splash ratio increases along with the jet velocity and 1 2 dy Where x = Cb ry m = 4 ρπ r 3
Eε p = mv 2 = π Cb 2 ρ r 5 ( 0 ) 2 ω=
k
the nozzle’s diameter probably as the exponential curve growth 2 3 dt m 3
tendency. The new model generally predicts the splash Combine with mass conservation principle before and after
behavior better than the previous models, and it performs for breakup:
prediction of spattering ratio effectively. The model is useful in 4 3 4 (3)
π r ρ = n1 π r323 ρ
further calculation on the two-phase flow air volume fraction 3 3
in the high-speed jet lubrications. It can be solved as a nonlinear equation:
Keywords: Spray; Free jet breakup; Collision; Spattering ratio db (4)
d32 =
4Cb 2 Kyb 2 Cb 2 K ρl db 3 dy0 2
INTRODUCTION 1+ + ( )
3 48σ dt
Generally, the whole process of jet collision is divided into Where, d32 is the sauter mean diameter after breakup.
two phases: free jet breakup and colliding with walls. Reitz
had raised fluctuations breakup (WAVE) model [1] in 1987, Consider the initialization of equation (1) and derivative
believes that jet droplets broken is caused by the rapid growth equation from equation (1):
of Kelvin-Helmholtz’s instability SAW. This model identifies y0 = y (0) = 0 ; yb =y(t= tb )=1; dyb = dy = 0
the relationship between size of droplet and wavelength of the dt dt t =tb
SAW. Then, numerical Solution is got by iteration.
O'Rourke and Amsden [2] raised the TAB model based on 2. Spattering Models
the Taylor’s match. This way comes from Taylor’s analogy
between the quality system in the spring and the droplet According to Wu Ziniu’s phenomenological theory, diameter
deformation. of droplets which splashed out for impingement can be
About the second phase, spray impingement phenomena is expressed as:
analyzed by most experiments to describe the interaction We
A2 + 8 BWel +A
between droplets and the wall. Mundo et al. [3] pointed out d a = Bs Re d (5)
b
that phenomena of the interaction between droplets and the 2B
wall consists of three representative regimes such as rebound, However, this model is only fit for single droplet.
deposition and spatter. The regime transition criterion between Considering the free jet breakup, we developed a new model
deposition and spatter is determined by the empirical for multi-droplets based on Wu Ziniu’s phenomenological
correlation and represented as a function of Reynolds number theory.
and Ohnesorge number of the droplet. We db 2
But very few people directly analysis diameter and number A2 + 8 BWel ( )+A
Re d32 2 (6)
of the spattering droplets from theory. Wu Ziniu [4] was first d a = Bs d32
2B
time developed the relationship of diameters before and after
Where, A = Wel (Wel + 4) ˗ B = Wel (We + 12) ˗ We= ub ρl db ˗
2
impingement from the theory without any experiment
parameters. σ
This paper deals with the development of a new spray/wall ub ρl d b ˗ We Wel is 2, Bs is 4.23.
Re= l
impingement model, which is based on the energy μ
conservation law. Based on the new size model, consider energy conservation
before and after the collision while stability. For a static wall,
THEORY MODELS energy conservation can be expressed as:
1. Jet breakup Model
According to TAB theory [2]:
Ek + Es = Ek' + Es' + Ed' (7)
1 dy0 y0 − Wec (1) Where Ek , Es and Ed represent kinetic energy, surface
y (t ) = Wec + e − (t / td ) [( y0 − Wec ) cos(ωt ) + ( + ) sin(ωt )]
ω dt td energy and dissipated energy, respectively. Parameters of after
Use energy conservation principle, the energy of "Father" the collision are expressed as relevant letters with the
droplet should equal to that of "son" droplets. superscript. All parameters can be expressed as:

120
 Analyses on the Splashing Parameters of High-Speed Oil Impacted a Wall in Jet Lubrications

1 ; Es = π db 2σ ; 1 ;
Ek = ρl ub 2π db 3 Ek ' = ρl ua 2π d a 3n Figure 3 shows that spattering ratio is monotonous increase
12 12
with the increase of jet speed, but the spattering state will
Es ' = Sσ + nπ d a 2σ present saturation and the spattering ratio will no longer
Where n is the number of spattering droplets after the collision; increase sharply when jet speed arrive a certain ratio.
S is the droplet’s surface area for the deposition, details later.
Dissipation can be used a simple model developed by 0.9

Chandra and Avedisian in 1991: 0.8

Ed' = t0e V ΦdVdt ≈ ΦVte ∫ ∫ (8) 0.7

spattering ratio
0.6
O˖1.2mm
For isotropic wall, spreading droplets are evenly spread on 0.5
Ƹ˖0.6mm
the wall and final form a hemispherical, see Figure 1. 0.4

Therefore, according to formula of the ball volume and 0.3

acreage: V = π h 2 ( R − 1 h) ; S = 2π Rh 0.2

3 0.1

0
0 20 40 60 80 100 120 140
spray jet speed(m/s)
Fig. 3 Effect of jet speed on spattering ratio

Comparing Figure 2 and 3, it can be concluded that the

spray jet speed plays more important roles in influencing
Fig. 1 Droplet Spreading on the wall spatter than spray nozzle’s diameter in that.
Combined with the quality of conservation:
1 1 δ 1 CONCLUSIONS
ρlπ db 3 = n ρlπ d a 3 + ρlπδ 2 ( − δ) (9)
6 6 1 − cos θ 3 Through the numerical calculations using the new spattering
With the droplets spattering speed ua = 1.068ub [5], we can model, it is concluded nozzle’s diameter and jet speed both are
main parameters to influent the spattering ratio, but nozzle’s
construct a number model. Simplification and use the Cardan diameter has a greater impact on spattering ratio than jet speed
formula, we can get: on that. This conclusion matches well with the Mundo’s model
3 c + 3 c −
b which represented as a function of Reynolds number and
db 3 1 2
3a )3 (10) Ohnesorge number of the droplet.
n = ( ) −(
da da Compare with the results of this new model and Mundo’s
2 model, it can be found that there is a critical beginning number
Where q q p ˗ q q p ˗ c b ˗
c1 = − − ( ) 2 + ( )3 c2 = − + ( ) 2 + ( )3 p = − 2 on calculation of spattering ratio by Mundo’s model. But it can
2 2 3 2 2 3 a 3a
be concluded that splashing will not happen by results of new
2b3 bc d ˗ a = Wea + 12 ˗ 24d a ˗
c = −2 A
We ˗
q= − + b=− d32 d a model when the results equal to zero. In addition, the
27a3 3a 2 a σΔ Re
spattering ratio begins to more than 100% if calculated by
d ; ρu 2 d ; ρu 2d ;
d = db 2 (d aWeb − dbWea ) + 12db 3 ( a − 1) Web = b b Wea = a a Mundo’s model when the nozzle’s diameter or jet speed
d32 σ σ
increased to a certain value. But the results of new model are
Δ = 3 4(1 − cos θ )(2 + cos θ ) 2 ˗ A = Δ ˗ never arrived to 100%.
1 − cos θ
Finally, spattering ratio can be represented by diameter and ACKNOWLEDGEMENTS
number of spattering after impingement:
d Project Supported by 973 Program (No. 2007CB607602),
η spl = n( a )3 (11)
and NSFC (No. 50605014).
db
REFERENCES
RESULTS AND DISCUSSION
[1] Reitz, R. D., 1987, “Modeling atomization processes in
Figure 2 shows that the spattering ratio increased by high-pressure vaporizing Sprays,” Atomization and Spray
monotonous trend along with the increase in diameter of Technology, 3, pp. 309-337
nozzle, more and more lubricant are spattered out from the [2] O'Rourke, P. J., Amsden A. A., 1987, “The TAB method
wall. But the ratio will present saturation when the diameter for numerical calculation of spray droplet breakup,” SAE
reaches a certain scale and the state no longer keens to Technical Paper 872089, SAE.
increase. [3] Mundo, C., Sommerfeld M., Tropea C., 1995,
0.9 “Droplet-wall collisions: experimental studies of the
0.8 deformation and breakup process,” Int. J. Multiphase Flow,
0.7 21(2), pp.151-173
spattering ratio

0.6 [4] Zi-Niu Wu, 2003, “Prediction of the size distribution of

0.5 O˖40m/s secondary ejected droplets by crown splashing of droplets
0.4
Ƹ˖20m/s impinging on a solid wall,” Probabilistic Engineering
0.3 Mechanics, 18, pp. 241-249
0.2 [5] Ji’an Wan, Ronghua Huang, Xiaobei Cheng, 2004,
0.1 “Numerical simulation of gasoline engine spray-wall
0
0 20 40 60 80 100 120 140 interaction,” Design and Manufacture of Diesel Engine,
spray nozzle’s diameter(×10-3mm)
4, pp. 1- 4 (in Chinese)
Fig. 2 Effect of nozzle’s diameter on Spattering ratio

121
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Interferometry Measurement of Spinning Effect on Sliding EHL
F. Guo*, X.M Li, B. Fan
School of Mechanical Engineering, Qingdao Technological University, 11 Fushun Road,
Qingdao 266033, P.R. China
ABSTRACT
This paper describes some interferometry measurements of
the film profiles of sliding elastohydrodynamic lubrication
(EHL) contacts with spinning in an updated ball-on-disc
optical apparatus. Different levels of spinning were introduced
by varying the distance between the ball-on-disc contact center
and the disc rotation axis. Experimental results show that with
increasing spinning the film thickness decreases, and the film
shape becomes un-symmetrical. When wall slippage is present
in the EHL contact, the induced inlet dimple is also obviously
influenced by the spinning. Effects of entrainment speeds and
loads on film thickness are different for different spinning
ratios. Some theoretical discussions have been given to explain
the experimental observations.
Keywords: Elastohydrodynamic lubrication, Spinning,
Interferometry, Point contact
1 INTRODUCTION
Elastohydrodynamic lubrication (EHL) can be easily
found in the lubrication of machine components of
highly-stressed contacts, for example, those in bearings and
cam-tappets. For decades, large amounts of work have been
carried out to investigate the mechanism and characteristics of
EHL theoretically and experimentally, and some of the
fundamentals of EHL are well established. In most cases,
presented studies are concentrated on lubricated surfaces
which are under conditions of pure rolling or relative sliding in
the entrainment directions. However, in some practical
applications, for example, angular contact bearings and
continuously variable transmissions, lubricated surfaces run
with a spinning imposed on the rolling or sliding motions. It
has been demonstrated that the spinning is of some tribological
significance and is responsible for the lubrication failure and
unefficiency in power transmission.
Some work on the spinning effect in EHL began in the
1960s. In a spinning friction tester Parker et al.[1] and Dietrich
et al. [2] experimentally showed that the friction coefficient in
pure spinning EHL is larger than those in pure rolling or
sliding EHL, and heavily depends on the contact conformity. It
is suggested that the spinning in a point contact with large
conformity can induce some EHL effect, and some simple
model was proposed to account for the experimental
observations. Other different test apparatus were also
developed to incorporate the spinning motion in EHL contacts,
and results were presented to demonstrate the spinning effect
on the traction behaviours, for example, the spinning motion
can be induced by twin discs whose axes are tilted [3], or by a
3-disc configuration [4], or by a tilted ball axis [5].
To identify the lubricating film build-up by the
spinning motion, numerical analyses were carried out.
Snidle and Archard [6] were among the first to presented
analytical analysis about the film profiles and pressure
distribution. In their work, the solid surface elastic
deformation was not included and only the half
summerfield conditions used. Their results showed that
*To whom all correspondence should be addressed:
meguof@yahoo.com.cn
122
the boundary conditions from the spinning motion have
significant influence on the lubrication characteristics.
Numerical simulations of spinning EHL were first
presented by Down and colleagues [7]. In their studies,
it was revealed that the elastic deflection is negative to
the film generation under pure spinning, and under
combined spinning-rolling conditions, there will be a
marked film thickness decrease with increasing spinning.
Recently, some refined numerical analyses were also
reported, including thermal influences and some
transient effect [8, 9].
Interferometry has proven to be an efficient way for the
EHL film profile measurements since its application in a
ball-on-disc contact in the 1960s, and large amounts of results
have been presented under pure rolling or sliding conditions.
Few data are available to evaluate the film shape and thickness
when spinning motion present. In the present paper, an
interferometry EHL test rig was upgraded to employ a simple
method to superimpose spinning motion to a sliding EHL
contacts and film profiles under different spinning were
studied. 
2 EXPERIMENT APPARATUS AND CONDITIONS
Figure 1 gives the schematic of the test rig used in the
experiments. The glass plate ķ can rotate around its axis O3O33,
and steel ball ĸ, loaded against the glass plate at an
eccentricity r, which can be accurately adjusted by the X-Y
table.In the experiments, the glass plate ķ is driven by the
synchronous pulley at an angular speed 4 and the steel ball ĸ
is stationary. It can be easily got that on the glass plate the
movement of any point can be decomposed into two
components: translation at a constant velocity u1 in the y
direction, and rotation around the Hertzian contact center O at
velocity u2. u1 and u2 are given by
7u1 9 r 8 4 (1)
6
5u2 9 r2 8 4
u1 is the sliding speed for lubricant entrainment, and the
entrainment speed ue = u1/2. Velocity u2 superimposes the
spinning motion. Since EHL behaviours occur mainly in the
Hertzian contact region, spin-slide ratio Ssp, defined as the ratio
of the translation velocity u2 to the rotation velocity u1 at the
Hertzian contact radius, is used to represent the spinning level
in the sliding EHL,
S 9u u 9 a r (2)
sp 2 1 r 9a
2
where a is the radius of the Hertzian contact. It can be seen that
when Ssp= 0, no spinning is present, and Ssp= :, pure spinning.
Experiments were performed at temperature 20±1ºC.The
steel ball used is 25.4mm in diameter and its surface roughness
is Ra = 10;m. The loaded side of the glass plate is coated with
a thin Cr film with surface roughness of Ra = 5nm. The
reflectance of the Cr film is around 20% for interferometry
measurement of the film profiles between the steel ball and the
glass plate. Two oils, PB680 and PB1300, were employed and
their properties are listed in Table 1. With PB1300, significant
 Interferometry Measurement of Spinning Effect on Sliding EHL

wall slippage effect can be induced under sliding EHL

contacts.
Table 1 Properties of the oils in the experiment
Density, kg/m3 Dynamic viscosity,
Refractive index
@20<C Pa s , @100<C 
PB680 896 0.070 1.487 Fig. 3 Influence of spin-slide ratio Ssp on the film shapes,
PB1300 874 0.577 1.497 PB680, w = 16N㧘ue = 1.76mm/s

(a) Interferograms
800

600

h(nm)
Ssp˙1.0
Ssp˙0.667
(a) Schematic illustration Ssp˙0.5
400 Ssp˙0.125
Ssp˙0
-100 0 100
x(μm)
(b) Film profiles along line BC
Fig.4 Film profiles at different spin-slide ratios, w = 16N, ue =
636μm/s, PB1300, w = 16N㧘uc = 0.636mm/s

Figure 5 gives the influence of the spinning on the film

thickness. It can be seen that hminO and hminL have more
dependence on spinning/sliding ratios than hminR. When the
(b) kinematics spinning/sliding ratio gets small, i.e., hminR and hminL
approaches the same value.
Fig.1 Experiment apparatus
180
3 RESULTS AND DISCUSSIONS hcen
150 hminL
PB680
Film thickness, nm

hminR
w = 16N
120
ue = 0.782mm/s
90

60

30
0.2 0.4 0.6 0.8 1.0
Ssp
Fig.5 Influence of spinning/sliding ratios on the film thickness,
Fig.2 Interference fringes of an EHL contact under
spinning-sliding conditions, PB680, w = 16N 㧘 ue = PB650, w = 16N, ue = 0.782mm/s
2.346mm/sSsp = 0.4 (r = 2.5a)
Figure 6 shows that the speed index is different for hminL
and hminR, and influenced significantly by spin-slide ratios.
Figure 2 is a typical interferogram of a sliding EHL with
spinning. It can be seen that due to the spinning motion, the
two side lobes, where the minimum film thickness occurs,
loses their symmetry about the central entrainment as in the
classical EHL conjunctions. There is more lubricant 100
h(nm)

entrainment in the right side of the Hertzian contact. Therefore Ssp = 1.0 hminL slope = 0.92
the minimum film thickness hminR (at B) in the right lobe is less Ssp = 1.0 hminR slope = 0.69
Ssp = 0.1 hminL slope = 0.75
than that hminL (at C) in the left lobe. Furthermore, the Fig. 2 Ssp = 0.1 hminR slope = 0.72
indicates that the spinning drags the cavitation region from the 10
exit to the entrance, and the unsymmetrical lubricant supply 100 1000
uc(μm/s)
also induce the unsymmetrical film shape.
Figures 3 and 4 present the films under different spinning Fig. 6 Influence of spin-slide ratios on the variation of hminL
motions, it can be seen that more spinning can induce lower and hminR with ue , PB1300, w = 16 N
film thickness and the interference fringes are more skewed.
Furthermore, in Fig.4 due to the wall slippage an inlet dimple ACKNOWLEDGEMENTS
also appears. This project is supported financially by the Program for

123
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
NCET, Ministry of Education of China (07-0474)
REFERENCES
[1] Parker, R.J., Zaretsky, E. V., Anderson, W. J., 1968,
“Spinning friction coefficients with three lubricants”,
Trans. ASME, Journal of Lubrication Technology, 90, pp.
330-332.
[2] Dietrich, N.W., Parker, R.J., Zaretsky, E.V., 1969,
“Contact conformity effects on spinning torque and
friction”, Trans. ASME, Journal of Lubrication
Technology, 91, pp. 308-313.
[3] Johnson, K.L., Tevaarwerk, J.L., 1977, “Shear behavior
of elastohydrodynamic oil films”, Proc R Soc Lond, 356,
pp. 215 -236.
[4] Jonathon, N, Adrian, L., 2004, “Measurement and
prediction of spin losses in the EHL point contacts of the
full toroidal variator,” Proceedings of the 30th
Leeds-Lyon Tribology conference, pp. 769-779.
124
[5] Wedeven, L. D., Wedeven, G..G, Krata, S.H., 2002,
“USCAR traction test for traction-CVT fluids”, SAE
Transactions, 111, pp.1676-1707.
[6] Snidle, R. W., Archard, J. F., 1969-1970, “Theory of
hydrodynamic lubrication for a spinning sphere,”
Proc. Instn. Mech. Engrs., 184, pp. 839-848.
[7] Dowson, D., Taylor, C.M., and Xu, H., 1993,
“Elastohydrodynamic lubrication of elliptical. contacts
with pure spin”, Proc. Instn. Mech. Engrs., Part C: J.
Mech. Engg. Science, 207, pp.83-92
[8] Yang, P. R., Cui, J. L., 2004, “The influence of spinning
on the performance of EHL in elliptical contacts,”
IUTAM Symposium on Elastohydrodrnamics and
Micro-elatohydrodynamiccs, 2, pp.81-92.
[9] Ehret, P., Dowson, D., Taylor, C.M, 1999, “Thermal
Effects in Elliptical Contacts with Spin Conditions,”
Proceedings of the 24th Leeds-Lyon Conference on
Tribology, pp. 685-703.
 Effect of Wide Dimples on Planar Contact Lubrication

Effect of Wide Dimples on Planar Contact Lubrication

Jiadao Wang*, Zhongling Han, Haosheng Chen, Darong Chen
State Key Laboratory of Tribology, Tsinghua University, Beijing 100084, P. R. China

Extended Abstract wide and 80 mm long was used as the upper surface for each
At different lubricant supplies, effect of dimples with a few lower sample and a microscope was employed. The contact
millimeters width on planar contact lubrication has been area was a square of 40 mm width. 150SN lubricant was used
investigated and discussed. At a small amount of lubricant in the experiments, and its viscosity was 0.062 mPas.
supply, the friction force was reduced obviously because of a The steps for the experiments were as follows: a definite
mixed film consisting of the lubricant and the gas. At a full volume of lubricant was placed on the middle of the sample
lubricant supply, the friction force was dominated by the and was covered with the glass; the normal force was loaded.
hydrodynamic lubrication. At different amounts of lubricant Run-in was carried out for four minutes and then stopped for a
supplies, an optimal dimple size existed. Additionally, surface ten-minute rest. Finally, the reciprocal motion was started
roughness, dimple shape and distribution were investigated. A again and friction force was sampled. In the experiments, 5 μL,
calculation and analysis were given and agreed with the 10 μL, 20 μL and 30 μL lubricant were applied.
experiment. 3 Experimental Results.
Keywords: Lubrication; Drag reduction; Dimple; Meniscus 3.1 Effect of dimple depth. In some of the experiments, gas
1 INTRODUCTION could be observed through the microscope. Table 2 shows
some typical results of the gas area percentage in the
Drag reduction is considered to be a necessary requirement experiment.
for energy efficiency and environmental protection. Effects of
textured surfaces on lubrication [1-2], friction [3] and wear [4]
have been investigated. For lubrication, the understanding of
the mechanisms involved in the tribology of textured surfaces
is mainly derived from elastohydrodynamic lubrication[2].
Dimpled surface is a typical artificial textured surface. In most
of studies on dimpled surfaces, dimple size was about tens or
hundreds of micrometers [2].
In the previous studies [5,6], bubbles were small and were
entrained in lubricant. If big bubbles can exist stably between
two surfaces, the pressure in the bubbles induced by the
surface tension of the bubbles can balance load and the drag
can be reduced obviously.
The goal of the ongoing study was to investigate the effect
of wide dimples on drag force at different lubricant supplies.
2 Experimental scheme
2.1 Samples. The samples were steel 45 with width of 40 mm
and length of 80 mm. A chemical corrosion method was
employed to produce dimples. All samples employed in the
experiment are shown in Table 1.
Table 1 Dimple size and distribution on the samples. x is dimple width
or diameter; y is unit cell width; rd is dimple area percentage; Ra is
average roughness excluding dimples; h0 is average central depth of
the dimples
Sample x(mm) y(mm) rd (%) Ra(μm) h0(μm) shape array
b0 4 8 25 0.17 0 square regular
b1 4 8 25 0.17 1.32 square regular
b3/w4×8/rs 4 8 25 0.17 3.21 square regular
b5 4 8 25 0.17 4.99 square regular
a0 4 8 25 0.33 0 square regular
a1 4 8 25 0.33 1.62 square regular
a3 4 8 25 0.33 3.19 square regular
a5 4 8 25 0.33 5.04 square regular
w4×6 4 6 44.4 0.17 2.97 square regular
w4×10 4 10 16 0.17 3.08 square regular
w3×6 3 6 25 0.17 3.12 square regular
w5×10 5 10 25 0.17 3.25 square regular
w6×12 6 12 25 0.17 3.19 square regular
hs 4 8 25 0.17 2.91 square hexagonal
rc 5.1 8 25 0.17 3.28 circle regular
Fig. 1 Effects of the dimple depth on friction coefficient and drag
2.2 Experimental procedures. A self-developing experimental reduction at (a) 5 μL, (b) 10 μL and (c) 20 μL lubricant supplies
system was employed and its principle is similar with a SRV
tester. The motion between upper and lower surfaces was The percentage of drag reduction is defined as the friction
reciprocal. The velocity at the stable duration was 0.1 m/s. To force of a sample without dimples minus the friction force of
observe the lubrication interface, a transparent glass 40 mm another sample with dimples and then divided by the friction
*email: jdwang@tsinghua.edu.cn force of the sample without dimples. Fig.1 shows the results at

125
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
different lubricant supplies. From the figure, with increase of
the lubricant supply the friction coefficient of every sample
initially decreased. However, after 20 μL, it became stable. For
different lubricant supplies, the drag reduction percentage of
sample b3 was the highest. At the smallest lubricant supply of
5 μL, the drag reduction was the most remarkable. When
lubricant supply reached 10 μL, the drag reduction induced by
dimples went down, However, after 20 μL, the drag reduction
went up again.
3.2 Effect of surface roughness. Fig. 2 shows the effect of
dimple depth of the samples with average roughness of 0.33μm
on lubrication. Compared with Fig. 1 (a), the friction force
coefficient here was more than the counterpart, i.e. the larger
the surface roughness, the larger the friction force coefficient.
However, the drag reduction percentage of each sample here
was larger.
Fig. 2 Effects of dimples of surfaces with average roughness of 0.33
μm on lubrication at 5 μL lubricant supply
3.3 Effect of dimple area percentage. In the samples covered
with dimples, dimple width was 4 mm and unit cell size
changed from 6 mm to 10 mm, corresponding dimple area
percentage from 44.4% to 16%. Fig. 3 shows the effect of
dimple area percentage on lubrication. From the figure, the
drag reduction of sample w4×8 with dimple area percentage of
25% was the highest at all lubricant supplies.
Fig. 3 Effects of dimple area percentage on lubrication at 5 μL
lubricant supply
3.4 Effect of unit size. In the samples, dimple area percentage
was kept as a constant of 25% and its width changed from 3
mm to 12 mm, corresponding unit cell width from 6 mm to 12
mm. Fig. 4 shows the effect of unit size on lubrication. From
the figure, the drag reduction of sample w4×8 was similar with
that of sample w5×10, and their drag reduction was the highest
at all lubricant supplies.
5 4 Effects of unit size on lubrication at 5 μL lubricant supply
Fig.
126
3.5 effect of dimple shape and distribution pattern. Fig. 5
hows the effects of dimple shape and distribution pattern at
different lubricant supplies. From the figure, the dimple shape
and its distribution pattern seldom affected the lubrication.
Fig. 5 Effects of dimple shape and distribution pattern on lubrication at
5 μL lubricant supply
4 Discussion
The full lubrication calculation is based on Navier-Stokes
equations and a finite volume method (FVM). Periodical
boundary condition is applied. When the maximum average
pressure is set as an optimal objective, the optimal dimple
depth as a directly proportional function of the distance
between upper and lower surfaces can be achieved and the
average slope is approximately 1. Average pressure as a
function of dimple area percentage shows that the average
pressure arrives at the maximum value when the dimple area
percentage is about 25%.
Based on liquid-gas interface and Laplace equation, the
increase of gas pressure enough to drive the gas out of the
dimple is proportional to the dimple depth and is inversely
related to the distance.
Summary
At different lubricant supplies, effect of wide dimples on
lubrication has been investigated and discussed. The effect was
determined by the gas in the dimples and the hydrodynamic
lubrication induced by the dimples. For different amounts of
lubricant supplies, in the planar contact lubrication, an optimal
dimple size existed. The gas in the dimples was a key inducing
drag reduction at a small amount of lubricant supply, while
hydrodynamic lubrication was a key at a full of lubricant
supply. An analysis was given and agreed with the experiment.
Acknowledgements
This work was supported by the National Natural Science
Foundation of China (NSFC) Project under grants number
50675112㧘50505020 and 50721004.
References
[1] Pettersson, U., Jacobson, S., 2007, “Textured surfaces for
improved lubrication at high pressure and low sliding
speed of roller/piston in hydraulic motors”, Tribol. Int, 40,
pp. 355-359.
[2] Costa, H.L., Hutchings, I.M., 2007, “Hydrodynamic
lubrication of textured steel surfaces under reciprocating
sliding conditions”, Tribol. Int., 40, pp.1227-1238.
[3] Becker, E.P., Ludema, K.C., 1999, “A qualitative empirical
model of cylinder bore wear”, Wear, 225-229, pp.387-404.
[4] Pettersson, U., Jacobson, S., 2004, “Friction and wear
properties of micro textured DLC coated surfaces in
boundary lubricated sliding”, Tribol Lett, 17(3), pp.553-9.
[5] Kicinski, J., 1983, “Effect of the aeration of a lubricating
oil film and its space and time-related compression on the
static and dynamic characteristics of journal bearings”,
Wear, 91, pp.65-87.
[6] Nikolajsen, J.L., 1999, “The effect of aerated oil on the
load capacity of a plain journal bearing”, Tribol. Trans., 42,
pp.58-62.
 Friction Properties and Microstructure of Al-Cu-Fe Nano Films

Friction Properties and Microstructure of Al-Cu-Fe Nano Films

Zhou Xi-ying 1, 2, *, Liu Yan-hui 1, Xu Zhou 2

1
Shanghai University of Engineering Science, Shanghai 201620, China
2
Shanghai Jiao Tong University, Shanghai 200030, China

ABSTRACT about 3 mm thickness and 60 mm diameter. The substrates

were Si wafer, which was approximately 10 mm × 10 mm × 0.5
The FJL560D2 type of high vacuum magnetron sputtering mm. All substrates were cleaned in acetone solution by means
apparatus was used to deposit simultaneously the nano films of of supersonics, washed in water, then in alcohol and dried prior
Al-Cu-Fe on Si wafer. The Argon pressure and the temperature to sputtering. The magnetron co-sputtering conditions were
of Si substrate were controlled to prepare the different shown in Table 1. The base vacuum in the chamber was 8×10-5
characterized films. X-ray Diffraction, Auger Electron Pa. The sputtering time was 8 min. Nano-indentation and
Spectrum and Hardness Measurement of Nano Press were used Nano-scratch tests were conducted using an MTS Nano
to study the microstructure and properties of the films. The Indenter XP with a Berkovich diamond tip. The X-ray
influences of the Argon pressure and the Si substrate diffraction (XRD) with Cu target (Rigaku D/max2550) was
temperature on the friction coefficient of films were studied. used to determine the structure of Al-Cu-Fe films. The
The results show that the thickness of the films with sputtering chemical composition of films was analyzed by AES. These
8 minutes was about 70 nm. The nanohardness and elastic thin films were studied using a Philip Tecnai-GF20 TEM.
modulus of films are 7.5-8.1 GPa and 150-160 GPa
respectively. When the sputtering power of Al target, Cu target Table 1 Deposition conditions by the magnetron co-sputtering
and Fe target were 120W, 60W and 60W, the microstructure of with Al, Cu and Fe targets
the film is the amorphous. With the increase of the temperature
of Si substrate, the bond strength between the films and Si Sputtering power /W Ar Substrate
Samples
wafer was enhanced, and the microstructure of the films pressure temperatur
No.
transformed from the amorphous and single phase to the multi Al Cu Fe /Pa e /ć
phases. The friction coefficient of films increases obviously
with the increase of the argon pressure. F1 120 60 60 0.5 200
Keywords: Friction, film, Al-Cu-Fe, sputtering F2 120 60 60 0.5 25
F3 120 60 60 2 25
INTRODUCTION
Magnetron sputter deposition is often used to prepare the RESULTS AND DISCUSSIONS
Al-Cu-Fe films with stable quasicrystalline films, and is also
used as one of the most powerful processes to produce films Fig. 1 shows the critical load and friction coefficient of
and coatings for increasing wear and corrosion resistance and Al-Cu-Fe films. It can be seen that the critical load of Al-Cu-Fe
other surface properties [1-2]. The quasicrystalline structure films with substrate temperature 200ć is the highest value of
exists in a narrow composition according to the Al-Cu-Fe phase 16.4 mN; the others are 4.8 mN and 2.9 mN respectively. With
diagram. Therefore, most of Al-Cu-Fe films fabricated by the increase of working pressure, the bond strength between the
magnetron sputtering and post-annealing have not the film and substrate decreases. It shows that the friction
quasicrystalline composition, whereas they are no more the coefficient of Al-Cu-Fe film with substrate temperature 200ć
quasicrystalline structure (I phase) than the approximate is the lowest, with the value of 0.075. The friction coefficients
quasicrystalline structure (for example,  phase or of Al-Cu-Fe film with high working pressure are higher than 0.10.
aluminum-rich Í phase) [3]. Chien and Lu [4] have prepared the
Al-Cu-Fe films with stable quasicrystalline films by magnetron
sputtering. The icosahedral phase is formed in the as-deposited 20 0.11
amorphous films on annealing 600 ć. However, the Al-Cu-Fe critial load Friction coefficient
Friction coefficient

films with the whole quasicrystalline phase or with the 16

Critial load /mN

approximate quasicrystalline phase are still considered to 0.10

improve their wear resistance. The Al-Cu-Fe films deposited by
12
magnetron co-puttering with Al, Cu and Fe independent targets
are studied. The characterization of Al-Cu-Fe films such as 0.09
critical load and friction efficient are studied in detail. The 8
acquired results and related discussions would be feasible for
their potential applications. 0.08
4

MATERIALS AND METHODS F1 F2 F3

All Al-Cu-Fe films were deposited with FJL560D2 Sample No.
magnetron co-sputtering system. The sputtering targets were
99.99% pure aluminum, copper and iron with same size disc of Fig. 1 Critical load and friction coefficient of films

*Corresponding author: zhouxiying@smmail.cn The critical load and the friction coefficient were

127
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

examined by the nano-scratch method at same time. The critical
load generally means the minimum load, which responds to the
cracking or delamination of a film. According to the Bull and
Rickerby model [5], the critical load is inversely proportional to
the friction coefficient of the film. When the friction coefficient
increases, the model thus predicts that the critical load
decreases. As the hardness of substrate (i.e. hard substrate)
increases, the critical load of the film also enhances because of
good matching between the substrate and film.
Fig. 2a and b show bright field image and the selected area
diffraction pattern (SADP) respectively, obtained from the thin
film of F3 sample, clearly showing the existence of amorphous
phase. For the thin film of F1 sample, there are obviously
differences. The bright field image and the selected area
diffraction pattern (SADP) are shown in Fig. 3a and b. The
microcrystal phase is formed in the thin film in the region A.

a) b)

Fig. 2 TEM morphology of Al-Cu-Fe film of F3 sample, a) bright field image and b) SADP pattern

a) b)

Fig. 3 TEM morphology of Al-Cu-Fe film of F1 sample, a) bright field image and b) SADP pattern

Fig. 4 indicates the XRD patterns of Al-Cu-Fe film on Si
wafer. It can be seen that the Al-Cu-Fe film are mainly
composed of amorphous phase and  phase. The -phase,
which is the CsCl cubic phase with a lattice parameter of
0.294nm, has the composition (at%) of Al50Fe50-xCux. When
the sputtering temperature is 200ć, the film exists more 
phase. Element distribution of Al-Cu-Fe film is shown in Fig. 5.
Under this composition condition, the film has been reported
that  phase in Al-Cu-Fe phase diagram has an approximate
composition [6]. The microstructure of the film is determined by
the chemical composition of Al-Cu-Fe film.

400 100

80
300

60 Fe
Intensity

Wt. /%

200 Al
200 ć 40 Cu
Si
100
20
25 ć
0 0
10 20 30 40 50 60 70 80 90 0 20 40 60 80 100 120 140 160

2T /Degree Distance from surface /nm

Fig. 4 XRD patterns of the Al-Cu-Fe film Fig. 5 Element distribution of films of F2 sample

128
 Friction Properties and Microstructure of Al-Cu-Fe Nano Films

The curves of the relationship between the load and
displacement are shown in Fig. 6. The nanohardness and elastic
modulus of the films are measured. The nanohardness and
elastic modulus of the films under F1 condition are 7.6 GPa
and 154.7 GPa respectively. With the increase of working
pressure, the nanohardness and elastic modulus of the films
under F2 condition increase to 8.1 GPa and 157.0 GPa. The
change of nanohardness and elastic modulus are related to the
formation and volume percent of  phases. Additionally, the
different substrate temperature and working pressure influence
the surface diffusion and bonding of atoms, maybe influence
the compaction of the films.
30
25 F1
F2
20 F3
Load /mN
increase of substrate temperature. The microstructure of films
is composed of amorphous phase and  phases.
ACKNOWLEDGEMENTS
The authors express their appreciation for the financial
support of Shanghai Education Commission Project (No:
07ZZ159) and Shanghai Leading Academic Discipline Project
(No: J51402).
REFERENCES
[1] Ding Y., Northwood D. O., Alpas A. T., 1997,
“Fabrication by magnetron sputtering of Al-Cu-Fe
quasicrystalline films for tribological applications”, Surf.
Coat. Technol. 96, pp.140-147.
[2] Kanjilal A., Tiwali U., Chatterjee R., 2002, “Preparation
of Al-Cu-Fe thin films by vapor deposition technique

from a single source,” Mater. Res. Bull., 37, pp.343-351.

15
[3] Sordelet D. J, Besser M. F., Logsdon J L., 1998,
10
“Abrasive wear behavior of Al-Cu-Fe quasicrystalline
composite coatings,” Mater Sci Eng., A255, pp.154-159.
5 [4] Chien C. L., Lu M., 1992, “Three states of Al65Cu20Fe15:
Amorphous, crystalline, and quasicrystalline,” Phys. Rev.
0 B, 45, pp.12793-12796.
0 50 100 150 200 250 300 350 400 [5] Bull S. J, Rickerby D. S, Matthews A., 1988, “Use of
Displacement /nm scratch adhesion testing for the determination of
interfacial adhesion: The importance of frictional drag,”
Fig. 6 Load-displacement curve of films Surf. Coat. Technol., 36, pp.503-517.
[6] Daniels M. J, King D, Fehrenbacher L., 2005, “Physical
vapor deposition route for production of Al-Cu-Fe-Cr and
CONCLUSION Al-Cu-Fe quasicrystalline and approximant coatings,”
The Al-Cu-Fe nano films were deposited by magnetron Surface & Coatings Technology, 191, pp.96-101.
co-sputtering method. The friction coefficient of films varies in
the sputtering processes. The critical load increases with the

129
 Technical Sessions — Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Tribological Properties of Ti6Al4V Alloy by FOTS Self-Assembled Monolayers Modification Treatment
Sun Changguo, Zhang Huichen
Department of Mechanical Engineering, Dalian Maritime University, Dalian 116026, China
ABSTRACT
The hydroxylated Ti6Al4V alloy was modified by
self-assembled method and the prepared samples were
irradiated by ultraviolet radiation/ozone photochemical process.
The surfaces of the samples were characerized by contact
angle measuring equipment and atomic force microscopy
(AFM). The tribological properties of Ti6Al4V alloy modified
by FOTS SAMs and the effect of ultraviolet radiation/ozone
photochemical process were explored by micro-tribometer.
The experimental results showed that combining Piranha
solution with ultraviolet radiation/ozone photochemical
process can improve the hydroxylation of Ti6Al4V surface.
Ti6Al4V alloy modified by FOTS SAMs showed a good
tribological property, in which the friction coefficient was
smaller than the Ti6Al4V alloy and the anti-wear property was
also improved. 5 min of UV radiation could improve friction
properties of FOTS SAMs modified Ti6Al4V alloy and retain
good anti-wear properties. The friction coefficient between
Si3N4 ball and modified Ti6Al4V alloy increased with load
increasing and sliding velocity increasing. The wear durability
decreased with load increasing and sliding velocity increasing.
Keywords:Self-assembled monolayers, Ultraviolet radiation,
Titanium alloy, Friction, Wear
INTRODUCTION
As a potential microelectromechanical systems (MEMS)
material for its physical, mechanical properties and
biocompatibility, titanium alloy will be applied in many MEMS
field [1, 2]. In above applications, lubrication is necessary to
reduce adhesion, friction and wear, which ensures the reliability
and durability of device.
Self-assembled monolayers (SAMs) can reduce adhesion,
stiction and control friction, wear in the contact interfaces, thus
a lot of attentions have been paid to study them [3, 4]. However,
the studies on the tribological properties of the self-assembled
monolayers mainly focus on the substrates such as silicon,
aluminium/aluminium oxide, gold, copper and steel [5, 6, 7],
little on the titanium and titanium alloy.
In this paper, the hydroxylation of Ti6Al4V alloy by different
methods was explored. The SAMs of 1H, 1H, 2H, and
2H-Perfluorooctyltrichlorosilane (FOTS) were prepared on
Ti6Al4V alloy by self-assembled method. The effects of load,
sliding velocity and ultraviolet radiation/ozone photochemical
process on tribological properties of modified Ti6Al4V alloy
were analyzed by micro-tribometer. The aim is to provide
technological supports for optimal applications of SAMs on
titanium alloy.
EXPERIMENTS
Ti6Al4V alloy in strip (10 h 10 h 2 mm) was initially
polished mechanically (sequentially with 3.5 and 1 μm
diamond paste) and sonicated with acetone, ethanol and
deionized water each for 15 min to remove all polishing debris.
The polished samples were treated by alkali solution
(Na3PO3g12H2O, NaOH and Na2SiO3gnH2O), Piranha solution
*To whom all correspondence should be addressed.
hczhang@newmail.dlmu.edu.cn
130
*
(98% H2SO4: H2O2=7:3, v:v) or UV radiation to get
hydroxylation. Then the samples were rinsed with adequate
deionized water, and finally dried in a stream of dry nitrogen
gas. After hydroxylation, the nitrogen dried Ti6Al4V alloy
were kept in a UV cleaning chamber for 30 min to burn off all
carbonaceous contaminations that block adsorption sites and
enhance the hydroxylation [8].
The well-cleaned Ti6Al4V alloy were immersed in the
freshly prepared 1h10-3 mol•L-1 FOTS-isooctane solution for
1 h, then withdrawn from the solution as quickly as possible.
After reaction, the modified Ti6Al4V alloy were rinsed with
acetone, ethanol and deionized water in turn to remove any
excess deposit, and then dried in nitrogen gas stream. The
modified samples were solidified and radiated by ultraviolet
radiation/ozone photochemical process for different times.
Water contact angles were measured by Easy-Drop contact
angle measurement (Germany) and surface energies were
calculated. The structures of modified Ti6Al4V alloy were
characterized in the contact mode by a Nanoscope IIIa AFM
(DI company). The AFM tip with spring constant 0.06 N•m-1
was made of Si3N4. Scan area was 5 μmh5 μm. Scan rate was
2 Hz and height resolution was 100 nm. The tribological
properties measurements were conducted in reciprocating
mode by CETR UMT-2 micro-tribometer, in which the sliding
distance was 5 mm and the friction pairs was Si3N4 ball with 3
mm diameter.
In this experiment, the FOTS were purchased from Fluka
Corp. and used as received without further treatment.
Deionized water was purified by Puric-Z equipment. Isooctane,
acetone, ethanol were all in analysis reagent grade.
RESULTS AND DISCUSSION
The contact angle and surface energy are important surface
state parameters. The well-hydroxylated sample will show low
contact angle and high surface energy, which means the SAMs
molecular can form a dense lubrication film on the hydroxylated
surface. The contact angle and surface energy of Ti6Al4V alloy
hydroxylated by different methods is shown in Table 1. It could
be seen that alkali solution hydroxylated Ti6Al4V alloy surface
has little change in contact angle and surface energy, which
indicates that the Ti6Al4V alloy can not be hydroxylated by
alkali solution because of its inactive chemical property. The
contact angle of sample decreases and surface energy of sample
increases with the hydroxylation time increasing when being
treated by Piranha solution, but the smooth surface is corroded
and destroyed after 5 minutes. UV radiation has a good
hydroxylation effect to substrate. There is no change in the
contact angle and surface energy after 15 minutes, which relates
to the radiation equipment. The best hydroxylation method is
combining Piranha solution and UV radiation, in which the
contact angle is 10.1¤.
The FOTS SAMs modified samples with different radiation
time process different contact angle and surface energy, which
is shown in Fig.1. The FOTS SAMs modified sample processes
hydrophobic property, in which the contact angle obviously
becomes large and surface energy becomes small. In the
beginning of radiation, the contact angle increases and surface
 Tribological Properties of Ti6Al4V Alloy by FOTS Self-Assembled Monolayers Modification Treatment

energy decreases as the radiation time increasing. When ozone and atomic oxygen may highly be generated [9].
reaching to 5 min, the modified sample processes the best O2  hv o 2O
(1)
hydrophobic property. Then the contact angle decreases and
O 2  O o O3
surface energy increases as the radiation time increasing. When (2)
reaching to 13 min, the modified Ti6Al4V alloy surface O3  hv o O  O 2 (3)
becomes hydrophilic, which indicates the lubrication film
O3  O o 2O2
formed by FOTS SAMs is destroyed. (4)
Then the oxygen atom reacts with trace amounts of water to
Table 1 Water contact angle and calculated surface energy for form a hydroxyl radical which also processes high oxidative
Ti6Al4V alloy surface hydroxylated by different methods property.
O + H 2O  2  OH (5)
Method Contact Angle Surface Energy
The hydroxyl radical is absorbed by titanium atom to form
/Deg /mN·m-1
Ti-OH bond. The chemical reactivity of metal hydroxide
depends mainly on the electronegaticity of the metal atom [10].
Titanium alloy
The FOTS headgroup of Si-Cl can easily form Si-OH bond in a
without hydroxylation 47.5 54.98
little water environment. The Si-O-Ti bond is formed by
Alkali solution(15 min) 44.5 56.90
condensation reaction between Ti-OH bond and Si-OH bond.
Piranha solution(1 min) 42.1 58.23
Meanwhile, the Si-O-Si band is formed between the hydrolytic
Piranha solution(5 min) 21.2 68.30
FOTS molecules. The formation mechanism is similar with the
Piranha solution(10 min) 11.4 71.41
OTS SAMs forming on silicon substrate [11].
UV(5 min) 41.6 58.50
The structure change of FOTS SAMs under UV radiation can
UV(12 min) 31.5 63.76
be described as follow: An initiation step is hydrogen
UV(15 min) 31.4 63.80
abstraction from alkyl chains by attacks of hydroxyl radical and
Piranha solution(3 min)
atomic oxygen, thereby forming alkyl radicals [12].
& UV(15 min) 10.1 71.70
 OH  CH 3 R o H 2 O   CH 2 R (6)
200 O  CH 3 R o H 2 O  CHR (7)
Modified Ti6Al4V The alkyl radicals further react to form alkoxy radicals, which
1 Ti6Al4V
can be oxidized to form carbonyls. The resulting carbonyls
2 Hydroxylated Ti6Al4V
Contact Angle / Deg

150 dissociate via direct photolysis or attack from radicals with loss
of carbon, thus reducing the length of alkyl chains [13].
The alkyl radical can also be degraded by -scission to form a
100 shorter radical chain and ethylene. This process continues until
the carbon chain is completely consumed [14]. The result is in
agreement with conclusion drawn from preparing OPA SAMs
47.5 Deg on titania surface [15].
50 1
 Si  Rn  CH 2  CH 2  E
scission
o
10.1 Deg  Si  Rn  2  CH 2  CH 2  CH 2 CH 2 (8)
2
0
0 3 6 9 12 15 18 C-F bands in FOTS possess high ionization potential. It can
Radiation Time / min be also photolyzed under low wavelength UV radiation to form
(a) Contact angle CF2O [16].
120  Si  Rn  CF2  CF2  O 
o  Si  Rn 1  CF2  CF2   CF2 O
Modified Ti6Al4V (9)
1 Ti6Al4V
-1

The AFM image of a well-cleaned Ti6Al4V alloy is shown in

Surface Energy / mNgm

2 Hydroxylated Ti6Al4V Fig. 2(a). The hydroxylated surface is uniform and relatively
90
g
72.5 mN m
-1 rough. The scratches that generated during the polishing process
2 can be obviously seen from the image. Fig. 2(b) shows the AFM
g
55.19 mN m
-1
image of FOTS SAMs modified sample. It can be seen that the
60
1 FOTS SAMs modified sample is smooth, compared with the
Ti6Al4V alloy. The scratches in Ti6Al4V alloy bulk can not be
30
seen, which indicates that the FOTS SAMs were formed on the
Ti6Al4V alloy. When ultraviolet radiation/ozone photochemical
process was performed for 5 min, it can be found that the
modified sample is the smoothest in Fig.2(c), which shows that
0
0 3 6 9 12 15 18 the 5 min UV radiation can enhance the FOTS SAMs
Radiation Time / min modification effect. The main reason is that the organic impurity
(b) Surface energy physically adsorbed on the SAMs surface is burned off by UV
Fig.1 Variation of contact angle and surface energy with radiation. It can be also proved by the surface roughness
radiation time parameters shown in Table 2. The Rq, Ra and Rmax value of
FOTS SAMs modified Ti6Al4V alloy is smaller than that of the
The formation mechanism of FOTS SAMs on Ti6Al4V alloy unmodified Ti6Al4V alloy. The values of 5 min UV radiated
can be described as follow: there is a basic photoreaction of modified Ti6Al4V alloy are the smallest.
oxygen under UV radiation, in which oxidative species such as

131
 Technical Sessions — Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

samples is shown in Fig.3(b). It can be seen that the friction

coefficient increases with the increasing of sliding velocity. This
is because the recovery time of compressed lubrication film
increases with sliding velocity increasing, which reduces the
lubrication effect. In the same time, the SAMs structure is
changed because of high temperature caused by sliding, which
makes true contact area increase. Both factors can redult in
friction coefficient increasing.
The friction coefficient of modified sample is much smaller
than that of Ti6Al4V alloy, which means that the FOTS SAMs
process a good lubrication property. The friction coefficient of 5
min UV radiated modified sample is smallest, which indicates
that the proper radiation can enhance the lubrication effect.
(a) Ti6Al4V
0.6
Ti6Al4V
FOTS modified Ti6Al4V
5 min UV radiated modified Ti6Al4V

Friction Coefficient
0.4

0.2

0.0
0 400 800 1200
(b) Modified Ti6Al4V Load/mN
(a) Load
0.6
Ti6Al4V
FOTS modified Ti6Al4V
5 min UV radiated modified Ti6Al4V
Friction Coefficient

0.4

0.2

(c) 5 min UV Radiated modified Ti6Al4V 0.0

Fig.2 AFM images of three samples 0 1 2 3
g s-1
Sliding Velocity / mm
Table 2 Surface roughness parameters of three samples (b) Sliding velocity
Fig.3 Variation of friction coefficient with (a) load and (b)
Sample Rq/nm Ra/nm Rmax/nm sliding velocity
Titanium Alloy 2.738 2.108 31.171
FOTS Modified The durability of friction pairs under different load and
Titanium Alloy 1.890 1.495 20.518 sliding velocity is shown in Fig.4. It can be found that the
UV Radiated FOTS anti-wear properties of modified samples under or no 5 min UV
modified Titanium Alloy 1.310 1.032 12.177 radiation will increase significantly compared to Ti6Al4V alloy.
The wear failure time of 5 min UV radiation modified sample is
little shorter than that of no radiated modified sample, because
The influence of load on friction coefficient of samples is the UV radiation can also make the lubrication film become thin
shown in Fig.3(a). It can be seen that the friction coefficient in the beginning and wear failure time decreases. However, the
increases with the increasing of load. The friction coefficient is decreasing phenomenon is not remarkable, so the result means
determined by true contact area between Si3N4 ball and sample that the short time (about 5 minutes) UV radiation can retain the
under boundary lubrication condition. As the load increases, the anti-wear properties of modified samples. The wear failure time
true contact area increases, which results in bigger friction of samples decreases with the load and sliding velocity
coefficient. It can be also found that the friction coefficient of increasing. The small load such as 50 mN and 400 mN has less
sample is changed little under the small load such as 50 mN and influence on anti-wear properties of modified samples under or
400 mN compared to big load such as 1000 mN. no 5 min UV radiation. The wear failure time decreases under
The influence of sliding velocities on friction coefficient of big load such as 1000 mN. The small sliding velocity such as

132
 Tribological Properties of Ti6Al4V Alloy by FOTS Self-Assembled Monolayers Modification Treatment

0.1 mm/s and 0.4 mm/s has less influence on anti-wear REFERENCES
properties of modified samples under or no 5 min UV radiation. [1] Modi, M., Sitaraman, S. K., 2004, “Interfacial fracture
The wear failure time decreases under big sliding velocity such toughness measurement of a Ti/Si interface,” Journal of
as 2.5 mm/s. Electronic Packaging, 126, pp.301-307.
[2] Aimi, M. F., Rao, M. P., Macdonald, N. C., Zuruzi, A. S.,
2000 Bothman, D. P., 2004, “High-aspect-ratio bulk
Ti6Al4V micromachining of titanium,” Nature Materials, 3,
FOTS modified Ti6Al4V pp.103-105.
1500 5 min UV radiated modified Ti6Al4V [3] Singh, R. A., Yoon, E. S., 2007, “Friction of chemically and
Wear failure time /s

topographically modified Si (1 0 0) surfaces,” Wear, 263,

pp.912-919.
1000 [4] Choo, J. H., Spikes, H. A., Ratoi, M., 2007, “Friction
reduction in low-load hydrodynamic lubrication with a
hydrophobic surface,” Tribology International, 40,
500 pp154-159.
[5] Tambe, N. S., Bhushan, B., 2005, “Nanotribological
characterization of self-assembled monolayers deposited
on silicon and aluminium substrates,” Nanotechnology,
0
0 400 800 1200 16, pp1549-1558.
Load/mN [6] Li, D. G., Yu, X. J., Dong, Y. H., 2007, “The different
(a)Load self-assembled way of n- and t-dodecyl mercaptan on the
surface of copper,” Applied Surface Science, 253,
2000 pp4182-4187.
Ti6Al4V [7] Meth, S., Sukenik, C. N., 2003, “Siloxane-anchored thin
FOTS modified Ti6Al4V films on silicon dioxide-modified stainless steel,” Thin
1500 5 min UV radiated modified Ti6Al4V Solid Films, 425, pp49-58.
Wear failure time /s

[8] Tosatti, S., Michel, R., Textor, M., Spencer, N. D. , 2002,

1000
500
0 B, 107, pp8997-9002.
0 1
Sliding Velocity / mmgs
(b) Sliding velocity
Fig.4 Variation of wear time with (a) load and (b) sliding
velocity
CONCLUSIONS
1. The Ti6Al4V alloy cannot be hydroxylated by alkali
solution. The Piranha solution hydroxylated Ti6Al4V alloy
surface is eroded and destroyed with the hydroxylated time
increasing. The UV radiation hydroxylated Ti6Al4V alloy
surface has no effect after 15 minutes. Combining 3 minutes
Piranha solution and 15 minutes UV radiation is the best
hydroxylation method.
2. The Ti6Al4V alloy modified with FOTS SAMs showed a
good tribological property. The friction coefficient increases
with load increasing and velocity increasing. The wear failure
time decreases with load increasing and velocity increasing.
3. 5 min UV radiation can improve friction properties of
Ti6Al4V alloy modification treated by FOTS SAMs and retain
good anti-wear properties.
ACKNOWLEDGEMENTS
This work is supported by the National Natural Science
Foundation of China under Grant No.50275015.
“Self-assembled monolayers of dodecyl and
hydroxy-dodecyl phosphates on both smooth and rough
titanium and titanium oxide surfaces,” Langmuir, 18,
pp3537-3548.
[9] Lee, J. P., Kim, H. K., Park, C. R., Park, G., Kwak, H. T.,
Koo, S. M., Sung, M. M., 2003. “Photocatalytic
decomposition of alkylsiloxane self-assembled monolayers
on titanium oxide surfaces”. Journal of Physical Chemistry
2 3 [10] Brinker, C. J., Scherer, G. W., 1990, Sol-Gel Science,
-1
Academic Press, New York.
[11] Yang, S. R., Ren, S. L., Zhang, J. Y., Zhang, X.S., 2001,
“Structure and self-assembly mechanism of self–assembled
monolayers,” Chemical Journal of Chinese Universities,
22, pp470-476.
[12] Brewer, N. J., Janusz, S., Critchley, K., Evans, S. D.,
Leggett, G. J. , 2005, “Photooxidation of self-assembled
monolayers by exposure to light of wavelength 254 nm: a
static SIMS study,” Journal of Physical Chemistry B, 109,
pp11247-11256.
[13] Roberson, S. V., Fahey, A. J., Sehgal, A., Karim, A., 2002,
“Multifunctional ToF-SIMS: combinatorial mapping of
gradient energy substrates,” Applied Surface Science,
200, pp150-164.
[14] Moser, A. E., Eckhardt, C. J., 2001, “A method for
reliable measurement of relative frictional properties of
different self-assembled monolayers using frictional force
microscopy,” Thin Solid Films, 382, pp202-213.
[15] Kanta, A., Sedev, R., Ralston, J., 2006, “The formation
and stability of self-assembled monolayers of
octadecylphosphonic acid on titania,” Colloids and
Surfaces A: Physicochem. Eng. Aspects, 291, pp51-58.
[16] Suong, J. Y., Carr, R. W., 1982, “The photo-oxidation of
1,3-dichlortetrafluoro-acetone: Mechanism of the reaction
of CF2Cl with Oxygen,” Journal of Photochemisity, 19,
pp295-302.

133
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Influence of Spinning Effect on the Rolling EHL Films

*
X.MˊLi, F. Guo , B. Fan

School of Mechanical Engineering, Qingdao Technological University, 11 Fushun Road, Qingdao 266033, P.R. China

Extended Abstract
Spinning can not be ignored in some
elastohydrodynamically lubricated contacts, and may have
important influences on component performance. In a
ball-on-disc test rig, spinning was incorporated by adjustment
of the contact center offset from the disc rotation axis.
Influences of spinning on elastohydrodynamic lubrication
(EHL) films were experimentally studied under rolling
conditions. Experimental results show that with increasing
spinning the film thickness decreases, and the symmetry of the
film shape about the central entrainment gets lost. The
variation of the central film thickness and the minimum film
thickness on the entrainment speeds and loads were
investigated under different spinning-rolling ratios. The results
showed that the central film thickness did not change much
with the spinning-rolling ratios. The minimum film thicknesses,
located respectively at the two side lobes, demonstrate an
obvious variation with the spinning-roll ratios. Some
numerical work has been carried out to further clarify the
experiment findings.
Keywords: Elastohydrodynamic lubrication, Spinning, Optical
interference, Point contact
O is the centre of the contact region, and r is the distance
between O and O'. The ball and the disc can rotate around their
own axes and in the experiments they are driven to run at the
same speed in the x direction at the contact center O. The
velocity distribution in the contact region along y axis is given
in Fig.2(a), which can be further decomposed into two types of
motion: pure rolling and pure spinning, where a is the
semi-contact width and the velocities u1and u2 are
7u1 9 4 (r ? a ) (1)
6
5u2 9 4 (r > a )
Therefore, the entraining velocity u in the x direction, the
pure rolling velocity ur and the spinning velocities us at the two
sides of the contact region are
u = ur = (u2+u1)/2 = r (2)
us = (u2-u1)/2 = a (3)
Here, a parameter that can be defined as spinning/rolling
ratio Ssp is introduced to represent the spinning level, which
can be expressed as
Ssp = us/ur = a/r (4)

INTRODUCTION
A great deal of research has been done in the area of
elastohydronamic lubrication (EHL), and most is concentrated
on the motion of pure rolling or rolling with sliding. In fact,
spinning also widely exists in lubricated pairs in practical
engineering. For instance, in an angular contact ball bearing,
some spinning motion occurs simultaneously with rolling due Fig.1 Schematic of the test principle
to the contact angle between balls and raceways. Bearings can
wear out due to the spinning moment [1,2]. In continuously
variable transmission (CVT), the axes of rolling elements are
not parallel for getting infinite variable speed, which causes a
different speed distribution at contact area and results in
spinning motion with the power loss [3].
Earlier experimental studies on spinning were mainly (a) spinning/rolling (b) pure rolling (c) pure spinning
restricted to the frictional torque. Paker et al. [4] and Ditrich et
al. [5] got high effective frictional coefficients by spinning, Fig.2 Kinematic analysis
indicating spinning motion might generate more power loss in
realistic machine elements, which attracted researchers’ Obviously, when the eccentricity r0, namely Ssp , the
attention on spinning from then on. Afterwards, researchers contact in under pure spinning. On the contrary, when r ,
designed different apparatus to get spinning component in the namely Sspψ0, the contact is under pure rolling. Different
tests and to analyze the influence of spinning on lubrication, spinning levels are obtained by adjusting the eccentricity r.
friction and transmission efficiency [6, 7]. Numerical
solutions have also been employed since Snidle and Archard 2 EXPERIMENTAL RESULTS AND DISCUSSION
[8] for the first time presented their theoretical results of the
spinning effect on lubrication. For example, Zou [9] analysed Fig.3 shows a representative interferogram under
the influence of spinning effect on film thickness and the film spinning/rolling conditions, in which there are four
trait with multilevel/ mutigrid techniques. In this paper, the characteristic positions A, B, C and O. At points B and C are
influence of spinning effect on film thickness and film shape is the minimum film thickness of the two side lobes, respectively
investigated through experiments and numerical calculations denoted as hminL and hminR. Point O is the contact center and
respectively. also the central film thickness hcen. Line OA is perpendicular to
line BC. At point A is the minimum film thickness hminO along
line OA. The present paper is mainly concerned with the
1 TEST PRINCIPLE
variation of hminL, hminR, hminR hminR with entrainment speeds,
As is shown in Fig.1, OÏ is the rotating centre of the disk, loads and spinning/rolling ratios
*To whom all correspondence should be addressed:
meguof@yahoo.com.cn

134
 Influence of Spinning Effect on the Rolling EHL Films

more understanding of the experiment results. Fig.7

shows calculated film thickness contour maps and
measured interferograms at three spinning/rolling ratios.
It can be seen that the numerical results and the
experiments are closely correlated.

Fig.3 Interferogram under spinning/rolling conditions ,w = 100

16N㧘u = 380μm/s㧘Ssp = 0.667

Film thickness,nm
90

80 hminL
Figure 4 illustrates the variation of the interferograms and
70 hminR
film profiles along the line BC at different speeds where the
load and the spinning/rolling ratio are fixed. At low speed, i.e., 60

when u = 58.5μm/s, the result show that the interference fringe 50

and the film profile are nearly symmetrical and the difference 0.2 0.4 0.6 0.8 1.0
Ssp
between hminL and hminR is small. However, with the increasing
speed the symmetry of interferograms and film profiles get lost Fig.6 Minimum thickness at different spinning/rolling ratio, w
and the difference values become large. The variation trend of = 16N, u = 87.7μm/
hminL, hminR and hcen can clearly be seen

600 600 600

Film thickness,nm

450 450 450

300 300 300

u = 58.5μm/s
u = 263.2μm/s u = 308.2μm/s
150 150 150 Ssp = 1.0 Ssp = 0.667 Ssp = 0.1
0
-200 -100 0 100
0
200 -200 -100 0 100
0
200 -200 -100 0 100 200
Fig.7 Contour maps of film thickness and interferograms at
Along the line BC,μm Along the line BC,μm
Along the line BC,μm
three spinning/rolling ratios u = 175.5μm/s, w = 16N
Fig.4 Interferograms and film profiles along the line BC at
different entrainment speed, w = 16N, Ssp = 0.4
ACKNOWLEDGEMENTS
Figure 5 shows interferograms and the This project is supported financially by the Program for
corresponding film profiles along the line BC at various NCET, Ministry of Education of China (07-0474)
loads when r = 528μm, u = 258μm/s. When the load
REFERENCES
increases, the film thickness decreases and the film
shape becomes asymmetrical obviously. [1] Xu, R.Y., 1994, “The method for the determination of
Ratio of revolution to rolling of angular contact ball
bearing ,” Bearing, 5, pp.2-4. (in Chinese)
[2] Xu, R .Y., 1994, “Calculation of the friction torque of
angular contact beaings,” Bearing, 6, pp. 2-5. (in Chinese)
400
[3] Zhu, Y.C., Ren, H.W., 1993,“A study of the power loss at
400 400
EHD contact area of continuously variable transmission,”
Film thickness,nm

300 300 300 Journal of Hebei institute of mechno-electric

200 w = 5.26N
-150 -75 0 75 150
Along the line BC,μm
Fig.5 Interferograms and film profiles along the line BC at
different load, r = 528μm, u = 258μm/s
Figure 6 shows the relation between the minimum
film thickness and the spinning/rolling ratio. It is found
that the minimum film thickness is significantly
affected by the spinning/rolling ratio. When the value of
the Ssp is small, the spinning effect are weak and the
difference between hminR and hminL is small. With
increasing Ssp, the film thickness hminR decreases
remarkably due to the decrease in the lubricant
entrainment.
3 NUMERICAL RESULTS AND DISCUSSION
Numerical work has also been carried out to get
engineering,10, pp.14-21. (in Chinese)
200 w = 19.28N 200 w = 28.04N
[4] Parker, R. J., Zaretsky, E. V., 1968, “Anderson W J.
-150 -75 0 75 150 -150 -75 0 75 150
Along the line BC,μm Along the line BC,μm Spinning friction coefficients with three lubricants,” Trans.
ASME J.Lubric Technol , 90, pp. 330-332.
[5] Dietrich, N. W., Parker, R. J., Zaretsky, E. V., Anderson, W,
J., 1969, “Contact conformity effects on spinning torque
and friction,” ASME J Lubr Technol, 68, pp. 308-313.
[6] Wedeven, L. D., Wedeven, G. G., Kratz, S. H.,2002,
“USCAR Traction test for Traction-CVT fluids,” Society of
Automtive Engineers,Inc. 2002-01-2820. pp.1-32.
[7] Jonathon, N. 㧘 Adrian, L.,2004, “Measurement and
prediction of spin losses in the EHL point contacts of the
full toroidal variator,” Transient Processes in Tribology, 43,
769-779.
[8] Snidle, R. W., Archard, J. F., 1969-1970, “Theory of
hydrodynamic lubrication for a spinning sphere,”
Proc.Instn.Mech.Engrs., 184, pp. 839-848.
[9] Zou, Q., Huang, C., Wen, S., 1999, “Elastohydrodynamic
film thickness in elliptical contacts with spinning and
rolling,” ASME J.Tribol, 121(4), pp.686-692.

135
 Technical Sessions — Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

A Study on Lubrication Characteristics

between Piston Ring and Cylinder Bore of Bent-Axis Type Piston Pump

*
Jae-Youn Jung1, Ihn-Sung Cho2, Il-Hyun Beak2, Hyun-Il Shin2, , Jae-Cheon Jo2, Lu Hong3

1
Department of Precision Mechanical Engineering and RCIT (Chonbuk National University)
2
Department of Precision Mechanical Engineering (Chonbuk National University)
3
School of Mechanical and Electronic Engineering (Wuhan University of Technology)

ABSTRACT System[1], Elasto-Hydrodynamic Lubrication[2], A study of

The bent-axis type piston pump which is driven by the the tribological behavior of piston ring/cylinder liner
piston rod works on the way that the piston rod drives the interaction in diesel engines using acoustic emission[3], and so
cylinder block, so the taper angle of the piston rod and the on.
swivel angle between the cylinder block and the shaft are very In this paper, EHL analysis of the film thickness, the
important design factors. If the above factors can not satisfy the pressure distribution and the friction force, have been studied in
conditions for optimum design, the friction loss between the the sliding part between the piston ring and the cylinder bore in
cylinder bore and the piston increases, and the pump could fail the bent-axis type piston pump.
to work under conditions of severe friction and wear. Since the
piston reciprocates in the cylinder bore with high velocity, and
at the same time it rotates on its own axis and revolves on the THEORETICAL ANALYSIS
center of the cylinder block, there is a decrease of the volume
efficiency generated on account of the leakage between the Fig.1 is the diagram of the bent-axial type piston pump. The
cylinder bore and the piston. Therefore, to prevent this case, the mechanism is very complex because the piston is tapered in the
piston ring is designed at the end of the piston, and the friction bent-axis type piston pump. Therefore, the mechanical analysis
characteristics between the piston ring and the cylinder bore are between piston ring and cylinder bore is accomplished using
in need of research due to its great influence on the this analysis, and then basic data for EHL is obtained.
performance of piston pump. Thus, in this paper, the
elastohydrodynamic lubrication(EHL) analysis of the film
thickness, the pressure distribution and the friction force, have
been studied between the piston ring and the cylinder bore in
the bent-axis type piston pump. The analyzed results show that
friction force is influenced by rotating speed and discharge
pressure.
Keywords: Oil Hydraulic Pump, EHL, Piston Ring, Friction
Force

INTRODUCTION
Recently, the oil hydraulic system used in large and heavy
equipment has been reinforced in restriction of performance,
environment, and noise. In order to solve these problems, a
variety of research as been carried out actively, such as the oil
hydraulic system’s compacted style, high speed and pressure,
electronic control, substitute oil, and noise decrease.
The bent-axis type oil hydraulic piston pump acted as the
core power source of the oil hydraulic system is no exception to
this technique tendency. And it is used as the main pumps in
heavy construction equipment due to its characteristics of high
speed and pressure, high total efficiency and distinguished
variable delivery.
Since the piston is tapered in a bent-axis type piston pump,
to prevent the leakage in the sliding part between the cylinder
bore and the piston, the piston ring is designed at the end of the
piston. Therefore, the friction and leakage characteristics in this
sliding part have influence on the performance of piston pump.
The research as mentioned above has been carried out, for
example, The Lubrication Characteristics of a Rotary
Compressor used for Refrigeration and Air-conditioning
Fig.1 The Diagram of the bent-axis type piston pump
Fig. 2 is the behavior of the piston and the piston ring in the
cylinder bore. The boundary condition is very complex because
the pressure is changed from suction pressure to discharge
pressure during one rotating speed.
It is necessary the access of EHL case for direct lubrication
analysis, because contact surface will occur to elastic
deformation at relative motion between cylinder bore and
piston ring.
Thus, in this paper, EHL analysis on the sliding part
between the cylinder bore and the piston ring. The analysis
model and the boundary condition of the sliding part is
expressed in Fig. 3.
Fig. 3 shows the model between the piston ring and the
cylinder bore. In this figure, the piston and the piston ring are
moved by the sliding velocity u1 on the fixed cylinder
bore( u2 =0). In this figure, R is the radius of the piston ring,
p is the fluid pressure, h is the film thickness, and w is
the load of the piston ring.

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 A Study on Lubrication Characteristics between Piston Ring and Cylinder Bore of Bent-Axis Type Piston Pump

piston ring.
The average velocity u is expressed by the following
equation.

u u1 / 2 Rd w sin D p sin T / 2 (2)

Here, p1 pd , p2 pa at u1 t 0 , and p1 pa ,
p2 ps at u1 ¢ 0 . p1 is the input pressure, p2 is the output
pressure, pd is the discharge pressure, pa is the atmospheric
pressure, ps is the suction pressure, T is the rotating angle
of shaft, w is the angular velocity of shaft, D p is the swivel
angle, and Rd is the pitch circle radius of the disk spherical
surface part.
The viscosity coefficient K is expressed by the following
equation.

Fig. 2 The behavior of the piston and the piston ring in the K K0 exp(D p ) (3)
cylinder bore
Here, K0 is the viscosity of the lubricant at the
The assumption for analysis is as follows: atmospheric pressure, and D is the pressure-viscosity
(1) The flow of y-direction of the lubricant is ignored
coefficient.
because the contact film thickness of the elastic body is very
The film thickness h and the elastic deformation v are as
small.
(2) The inertia of the lubrication fluid is ignored because it follows:
is very small.
(3) The deformation of the elastic body is a plane x2
h h0  v (4)
deformation condition of unlimited body. 2R
(4) The lubricant is the uncompressing characteristics. 2 xa
S E ' ³xb
(5) The viscosity of the lubricant is expressed as index v  p ( s )ln( x  s ) 2 ds  C0 (5)
coefficient of the pressure.
(6) The viscosity of the lubricant isn’t concerned with the
changed of the temperature. 1 1 1  V 12 1  V 2 2
Here, (  ) , h0 is the film thickness
E' 2 E1 E2
at x 0 , C0 is the integral calculus constant, E ' is the
equal elastic coefficient, V 1 , V 2 is the poisson ratio, and
E1 , E2 is the elastic coefficient.
The unit load w on the piston ring is expressed by the
following equation.

xb
w ³ xa
p ( x)dx (6)

Here, xa is the starting point of the analysis, and xb is the

ending point of the analysis. The boundary condition to solve
Eq. (1) is expressed by the following equation.
Fig. 3 The model between piston ring and cylinder bore
p p1 at x xa
Reynolds Equation in hydrodynamic lubrication is as
wp
follows: p p2 , 0 at x xb
wx
dp
h3 12uK ( h  hm )  12KV1 ( x  xm ) (1) The unit friction force is as follows :
dx
xb 1 wp xb u
In the equation, it shows that first term is the Wedge effect
and the second term is Squeeze effect.
f ³ xa 2 wx
dx  ³ 2K dx
xa h
(7)

Here, x is the coordinate of lubrication region, xm is the

ANALYSIS RESULT
x coordinate at the maximum pressure position( dp / dx 0 ),
hm is the film thickness at the maximum pressure The main parameters needed in the analysis of the sliding
position( dp / dx 0 ), and V1 is the y-direction speed of the part in bent-axis type piston pump are arranged in Table 1.

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 Technical Sessions — Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Table 1 The geometrical data and the operating conditions a swivel angle to shaft. The code expresses the direction
Item Values Unit because the higher rotating speed of the piston ring, the more or
less rotating speed.
Suction pressure 0.05 MPa
When the piston ring is located at 0 deg and 180 deg, it is
Discharge pressure 30,35,40 MPa TDC and BDC which the rotating speed of the piston ring is
Rotating speed 1500,1800,2100 rpm zero regardless of rotating speed. The velocity of the piston ring
Oil viscosity (at 40) 30 cP is higher when the rotating angle is lager. When the piston ring
Diameter of cylinder bore 25 mm is located at 90 deg and 270 deg, the rotating speed of the piston
Diameter of pitch circle ring is at maximum speed. The velocity of the piston ring is
75 mm proportionate to the rotating speed.
in piston head
Width of piston ring 3.2 mm Fig. 6 shows the pressure distribution in the discharge
Swivel angle 29 deg region(0~180 deg) of the piston pump. In this figure, the
discharge pressure at 0 deg and 180 deg are higher than at
90deg. The reason is that the velocity of the piston is zero at
TDC and BDC and the film thickness is close to zero. The
maximum pressure is higher than 200MPa. Therefore, EHL is
necessary for the analysis of the lubrication characteristics
between the piston ring and cylinder bore. In this paper, the
lubrication characteristic is studied to the discharge pressure
and rotating speed by the EHL.

Fig. 4 The normal force on the piston ring

Fig.4 is the normal force on the piston ring when the

rotating speed is 1800 rpm and the discharge pressure is
changed. The rotating angle from 0 deg to 180 deg is the
discharge region and the rotating angle from 180 deg to 360 deg
is the suction region. The normal force is 0 KN because the
suction pressure is the negative pressure in the suction region.
Over all, the more discharge pressure, the more normal force on
the piston ring. The normal force on the piston ring is Fig. 6 The pressure distribution between the piston ring and the
proportionate to the discharge pressure. cylinder bore(discharge region)

Fig. 7 shows the minimum film thickness in variation to the

discharge pressure. The minimum film thickness at discharge
region(0~180deg) is smaller than the suction region(180~
360deg) because the discharge pressure is action on the piston
ring at the delivery region. Then, when the rotating angle is 0
and 180deg, since the velocity of piston becomes zero, the
minimum film thickness is close to zero.

Fig. 5 The velocity of the piston ring

Fig. 5 is the velocity of the piston ring to the rotating speed

when the discharge pressure is 35 MPa. The rotating angle from
0 deg to 180 deg is the discharge region and the rotating angle
from 180 deg to 360 deg is the suction region. The piston has a
linear motion by rotating motion because the cylinder block has Fig. 7 The minimum film thickness to the discharge pressure

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 A Study on Lubrication Characteristics between Piston Ring and Cylinder Bore of Bent-Axis Type Piston Pump
Fig.8 shows the friction force in variation to the discharge
pressure. In Fig.8, since the normal force is proportionally
increased to the discharge pressure, the friction force is also
increased in the discharge region. The friction force is very
small in the suction region because the suction pressure is small
at 0.05MPa.
Fig. 8 The friction force to the discharge pressure
Fig. 9 shows the minimum film thickness in variation to the
rotating speed. The minimum film thickness is proportionally
increased to the rotating speed because the wedge effect affects
the film thickness.
Fig. 9 The minimum film thickness to the rotating speed
In Fig.10, since the normal force is proportionally increased
to the discharge pressure, friction force is also increased in
discharge region. The friction force is very small in the suction
region because the suction pressure is small at 0.05MPa.
139
Fig. 10 The friction force to the rotating speed
CONCLUSION
Based on the above theoretical analyses about lubrication
characteristics between a piston ring and a cylinder, the
following conclusion can be obtained:
1. When the rotating speed is higher, minimum film
thickness is increased. When discharge pressure is larger, it is
almost constant.
2. When the rotating speed or discharge pressure is higher
the friction force increase.
REFERENCES
[1] Jung J. Y, Cho I. S, Oh S. H, 1997, “The Lubrication
Characteristics of a Rotary Compressor used for
Refrigeration and Air-conditioning Systems, Part 2:
Analysis of Elastohydrodynamic Lubrication on Vane Tip”,
Journal of the KSTLE, Vol. 13, No. 1, pp.62-69.
[2] Dowson, D., Higginson, G. R., “Elasto-Hydrodynamic
Lubrication”, Pergamon, 1966.
[3] R.M. Douglas, J.A. Steel and R.L. Reuben, 2006, “A study
of the tribological behaviour of piston ring/cylinder liner
interaction in diesel engines using acoustic emission”,
Tribology International, Vol. 39, No 12, pp.1634-1642.
[4] John J. Truhan, Jun Qu and Peter J. Blau, “The effect of
lubricating oil condition on the friction and wear of piston
ring and cylinder liner materials in a reciprocating bench
test”, Wear, Volume 259, Issues 7-12, July-August 2005, pp.
1048-1055.
[5] Eric W. Schneider and Diniel H. Blossfeld, “Radiotracer
method for measuring real-time piston-ring and
cylinder-bore wear in sparking-ignition engines”, Nuclear
Instruments and Methods in Physics Research Section A:
Accelerators, Spectrometers, Detectors and Associated
Equipment, Volume 505, Issue 1-2, 1 June 2003, pp.
559-563.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

The Fabrication and Lubricant Performance of MoS2 Nanotubes Arrays

Caihong Sun1, Changsheng Li2, a

1
School of Mechanical Engineering, Jiangsu University, Zhenjiang, China.
2
School of Material Science and Engineering, Jiangsu University,Zhenjiang,China.

(Extended Abstract)

ABSTRACT
Transition metal dichalcogenides MoS2 nanotube is widely method. Before anodizing experiments were performed,

used as solid lubricant. In this paper,MoS2 nanotubes arrays pretreatment must be done to aluminum foils(99.99%

were prepared using a catalyzed thermal decomposition of purity).After pretreatment, the samples were anodized at 40V

(NH4)2MoS4 on anodic aluminum oxide (AAO) template. The direct current in 0.3M oxalic acid aqueous solution at room

morphology, microstructure and tribological of MoS2 temperature for 1 h and 3 h respectively.

nanotubes were investigated by FESEM,TEM and AFM.The Finally,pore-enlargement was performed in phosphoric acid at

results show that the MoS2 nanotubes have uniform diameters 50ć for 8 min and an AAO template with highly ordered pore

of about 100nm which corresponds closely to the pore diameters arrays was obtained.

of AAO templates. The result of AFM shows that MoS2 The thermal decomposition method[5] is used to produce

nanotubes have the lower frication coefficient than MoS2 powder. the fullerene-like MoS2.A 0.1 M solution of (NH4)2MoS4 in

Keywords: MoS2 nanotubes; AAO; friction and lubricant dimethyl sulfoxide (DMF) was used as a solution-phase
precursor,AAO templates as-prepared were dipped in the
INTRODUCTION precursor solution for a few minutes and then were dried in the
Transition metal dichalcogenides MX2 (M=Mo, W; X=S, oven at 70ć until the solvent was evaporated. Then the
Se, Nb) are well known for their excellent properties and templates were loaded into a quartz tube,an atmosphere of H2
promising applications[1-4].Especially MoS2 is widely used as was introduced into the tube while the reactor temperature was
solid lubricant.Compared with traditional 2H- MoS2,MoS2 heated to 450ć at a rate of 10ć/min,maintaining this
nanotubes with hollow fullerene-like structure eliminate the temperature for 1 h [7].Then the template was dissolved in o.1
fringe dangling bonds, which made MoS2 nanotubes nearly not M sodium hydroxide solution for 20 min and was carefully
to be oxidized in humid air and high temperature, their washed with distilled water several times.MoS2 nanotube
fullerene-like structure nearly not to be destroyed. therefore arrays were obtained.
they improve the chemical stability and property of friction and
wear. However, In reality, Experts in the field of mechanism
only pay attention to the applications of materials and experts
in the field of material only pay attention to academic
researchs.In this paper,MoS2 nanotubes were synthesized in the
porous of AAO templates by thermal decomposition[5].The
morphology and microstructure of MoS2 nanotubes were
investigated by FESEM and TEM. The tribological
performance of MoS2 nanotubes were studied also.
EXPERIMENTAL
In order to obtain well-aligned pore channels, the AAO Fig.1 SEM image of AAO template
fabrication was carried out with the two-step andization[6]
_________________________________________________________ RESULTS AND DISCUSSION
a
Corresponding author.Tel.:+86 51188790268 A typical morphology of the AAO template prepared by
E-mail address:lichangsheng@ujs.edu.cn

140
 The Fabrication and Lubricant Performance of MoS2 Nanotubes Arrays

two-step method is shown in Fig.1(a). The average pore morphology of MoS2 nanotube (Fig.4(a)) appears fine grain size,
diameter was about 100 nm.The geometry and size of these comparing with that of MoS2 powder (Fig.4(c)).It can be shown
pores determine directly the parameters to produce nanotubes. (a) (b)

(c)
(d)

Fig.4 3-D plots of surface topography and friction

the friction force for MoS2 nanotube (Fig.4(b)) is more

well-distributed than that of MoS2 powder (Fig.4(d)). And the
tribology capability in air is being studied.
ACKNOWLEDGEMENTS
This work was supported by the National Natural Science
Foundation of China(No.50372026).

REFERENCES
[1] Jamison.W.E.,Cosgrove.S.L.,1971, “Friction characteristics
of transition-metal disulfides and diselenides,”ASLE
Trans.,14,pp.62.
[2]Moshkovich.A.,Perfilyev.V.,Yutujyan.K.,Rapoport.L.,2007,
“ Friction and wear of solid lubricant films deposited by different
Fig.2(a) SEM image of portrait slice of MoS2 nanotubes arrays
types of burnishing,”Wear,263,pp.1324-1327.
in the AAO template. (b) SEM image of aligned MoS2
[3]Chen.J,Kuriyama.N.,Yuan.H.T.,Takeshita.H.T.,Sakai.T.,2001,
nanotubes arrays in AAO template
“ Electrochemical Hydrogen Storage in MoS2
Nanotubes,”J.Am.Chem.Soc.,123,pp.11813-11814.
[4]Kubart.T.,Polcar.T.,Kopecky.L.,Novak.R.,Novakova.D.,2005,
“ Temperature dependence of tribological properties of MoS2
and MoSe2 coatings,”Surface & Coatings
Technology,193,pp.230-233.
[5] Zelenski.C.M.,Dorhout.P.K.,1998, Template Synthesis of
Near-Monodisperse1 Microscale Nanofibers and Nanotubules
Fig.3 TEM micrograph of MoS2 nanotubes of MoS2,”J.Am.Chem.Soc.,120,pp.734-742.
[6] Masuda.H,Fukuda.P,1995,”Ordered metal nanohole arrays
A typical morphology of MoS2 nanotubes as prepared are
made by a two-step replication of honeycomb structures of
shown in Fig.2(a). It is visible that the direction of growth of
anodic alumina,”Science,268,pp.1466-1468.
MoS2 nanotubes are quite uniform with uniform diameter and
[7]Santiago.P.,Ascencio.J.A.,Mendoza.D.,2004, “ Synthesis and
length.
structural determination of twisted MoS2
TEM image of as-synthesis MoS2 nanotube is shown in
nanotubes,”Appl.phys.A,78,pp.513-518.
Fig.3.It shows hollow nature and samdwich of MoS2 nanotube.
The lateral force microscope (LFM) is used to evaluate the
specimen’s nanoscale friction behavior in Fig.4. The

141
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

The Research on the Lubricant Aging under Durability Test

of the Porous Sliding Bearings

Extended Abstract

142
The Research on the Lubricant Aging under Durability Test of the Porous Sliding Bearings

143
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Models for Predicting Friction Coefficient and

Parameters with Influence in Elastohydrodynamic Lubrication

P. Lafont Morgado, J. Echávarri Otero*, J.B. Sánchez-Peñuela Lejarraga, J.L. Muñoz Sanz,
A. Díaz Lantada, J. M. Muñoz-Guijosa, H. Lorenzo Yustos, P. Leal Wiña

Universidad Politécnica de Madrid. José Gutiérrez Abascal n.2, 28006. Madrid, Spain.

Extended Abstract
The main aim of this work is to compare the results of zone is taken into account in more mathematically complex
different friction models to the experimental data obtained with rheological models also shown in figure 1.
a Mini Traction Machine (MTM). This test system allows the
measurement of friction coefficient in point contacts (ball-disc)
under a wide range of parameters, such as temperature,
slide-roll ratio, lubricant, material, load or velocity.
Keywords: Elastohydrodynamic Lubrication, Friction, Rheology

INTRODUCTION
As a starting point, Newtonian Model for viscous fluids is
applied to describe the lubricant behaviour. For the calculation
of the shear stress the following hypotheses are made:
- The sliding component of the friction is taken into account.
- The velocity gradient is taken as linear [2].
- Film thickness is approached as constant in the whole of the
contact and equal to the central film thickness (hc) given by Fig. 1 Transition zones in the Limiting Shear Stress Model
Hamrock equation. [3].
- The increase in lubricant viscosity is given by Barus’ Law [4]. According to these considerations, the expression for the
- Circular point contact [2]. friction coefficient (μ) is obtained.
- Hertzian parabolic pressure distribution: contact radius a and @U exp(mCp0 )EmCp0 ? 1F > 1
maximum pressure p0 [5]. ; 9 3A0 8 > D ( 1 ? m3 ) (3)
hc C 2 p03
Thus, for Newtonian Model, shear stress (Ð) is expressed as:
@U
2

B 9 A 0 e Cp (1) where m depends on the radiuses a and b: m 9 1 ? LJ b IG .

hc KaH
where 0 is the viscosity at atmospheric pressure, is the
pressure-viscosity coefficient, p is the pressure and U is the CARREAU’S MODEL
sliding velocity between surfaces.
Another way to analyse lubricant rheology [7] is by
However, studies on the rheology of lubricants reveal the
assuming that actual viscosity in the contact is less than that
existence of a shear stress at which point Newton’s formulation
indicated by Barus’ Law. Therefore, generalised viscosity () is
is no longer valid [1]. Thus, lubricants in elastohydrodynamic
given by Carreau’s Equation [8] which, for this case, can be
contacts can be considered non-Newtonian fluids and two new
obtained from the relative-viscosity defined as:
models are used to calculate the friction coefficient. n ?1
R L Cp @U I
2
O 2
LIMITING SHEAR STRESS MODEL P J A0 e G M
A
9 P1 > J
hc G M (4)
This model considers a boundary value for the shear stress
A 0 e Cp P J G G M
[6]. This limit (L) can be expressed as: P J G M
B 9 B L 9 B 0 > Dp (2) Q K H N
The limiting shear stress at atmospheric pressure (0) and the Exponent n is specific to the lubricant and G is its shear
limiting shear stress-pressure parameter () are constants modulus [9]. These parameters are fitted in line with two
specific to each lubricant and incorporate the influence of the previous tests [10]. Once generalised viscosity is inserted into
temperature. Newton’s law, Carreau’s model leads to an accurate shear stress
The Limiting Shear Stress Model constitutes an approach [6], result and therefore avoids the overestimation in friction when
which consists in taking account of the Newtonian model until integrating shear stress in the contact area. Thus, dividing by the
limiting shear stress is reached. From then on, shear stress is load, the equation for the friction coefficient is found:
1 ? n exp( n C p 0 )Sn C p 0 ? 1 T > 1
n
considered to take on its boundary value. L @U I
; 9 3JA 0 G G (5)
Therefore, the contact area can be divided into two domains. K hc H ( nC )2 p0
3

The transition-points fulfill equations (1) and (2). By carrying

out an iteration, the values of the pressure (p) and contact radius
(b) where a change in oil behaviour is produced are found.
This model considers a simple transition between Newtonian
and non-Newtonian behaviour (straight lines E-F, Figure 1),
which produces an overestimation in shear stress. A transition
*To whom all correspondence should be addressed.
EXPERIMENTATION
Figure 2 shows the MTM, the test equipment used to obtain
the sliding component of the friction coefficient in lubricated
point-type contacts. The equipment comprises a ball and a disc

144
 Models for Predicting Friction Coefficient and Parameters wth Influence in Elastohydrodynamic Lubrication
in contact, moved by independent axes, submerged in a
reservoir full of lubricant at a controlled temperature. Therefore,
both ball and disc can rotate independently at different speeds,
that is different values can be chosen for the slide-roll ratio
SRR=100·U/U, which relates the sliding velocity (U) with
the average velocity (U).
Fig. 2 Photograph and diagram of the test zone in the MTM
The experimental stage includes a wide variation of the
operating conditions, by using different control parameters. The
range for each test parameter is as follows: Velocity
(10-3000mm/s), Temperature (30, 40, 60, 80, 100ºC), Load (14,
20, 28N), Materials (Steel-Steel, Steel-Copper), SRR (5%,
25 %) and Lubricants (PAO-6 and paraffinic oil).
RESULTS AND DISCUSSION
The non-Newtonian Models proposed allow the theoretical
prediction of the influence on friction of each parameter:
-Temperature and base of lubricant affect the viscosity,
pressure-viscosity coefficient and pressure-limiting shear stress
coefficient.
-The load applied and the elastic modulus of the test-specimens
materials modify the contact area and hertzian pressure.
-The slide-roll ratio (SRR) allows to distinguish between three
different regions of behaviour according to Johnson and
Tevaarwerk results [11].
As for the accuracy of the Limiting Shear Stress Model, by
way of example, figure 3 shows a comparison between the
predictions and the experimental results, concerning the friction
coefficient in steel-copper point contact lubricated with PAO-6
at 80ºC, 20N of load and SRR=25%. In these conditions,
lubrication regime can be taken as elastohydrodynamic for
velocities above approximately 2000mm/s.
An overestimation of the friction coefficient is observed due
to the shear stress overestimation commented previously.
Fig. 3 Comparison between Limiting Shear Stress Model
and experimental results obtained in the MTM
On the other hand, figure 4 shows a comparison between the
theoretical results obtained by applying Carreau’s model and
those obtained experimentally.
The results in all the tests performed with the polyalphaolefin
PAO-6, using different materials and working conditions, show
always deviations below 5% between predicted and
experimental data.
145
Fig. 4 Comparison between Carreau’s Model and
experimental results obtained in the MTM
CONCLUSIONS
The paper shows analytical methods for predicting shear
stress and friction coefficient in point contacts under
elastohydrodynamic lubrication. The test plan performed with
the MTM enables these models to be verified.
The Limiting Shear Stress Model degree of precision has
shown to be sufficient for explaining variations in friction
coefficient due to variations in velocity, temperature, load,
material, SRR and lubricant. The simplicity of this model is the
cause of misfits between the theoretical results and the
experimental measurements.
On the other hand, Carreau’s Model fits perfectly to the
experimental results obtained testing polyalphaolefins in all the
tests performed with different materials and working
conditions.
ACKNOWLEDGEMENTS
This work was carried out as part of a Project financed by the
REPSOL-YPF Foundation. The authors would like to thank
Jorge Insa and Luis Fernández their valuable collaboration.
REFERENCES
[1]Dowson D., 1995. “Elastohydrodynamic and micro-
elastohydrodynamic lubrication”. Wear 190 pp. 125-138.
[2]De Vicente J., Stokes J.R., Spikes H.A., 2005. “The frictional
properties of Newtonian fluids in rolling–sliding soft-EHL
contact”. Tribology Letters, Vol. 20.
[3]Hamrock B.J., 1994. “Fundamentals of Fluid Film
Lubrication”. McGraw-Hill, New York.
[4]Barus C., 1893. “Isotherms, isopiestics and isometrics
relative to viscosity”. Am. J. Sci. 45 87–96.
[5]Hertz H., 1896. Miscellaneous papers by H. Hertz. Jones &
Schort (eds), Macmillan, London.
[6]Ge P., Liu Z., 2002. “Experimental and computational
investigation of the traction coefficient of a ball traction
drive device”. Tribology International 35 pp. 219–224.
[7]Bair S., Winer W.O., 1982. “Some observations in high
pressure rheology of lubricants”. Trans. ASME, J. Lubr.
Technol. 104 357.
[8]Carreau P.J., 1972. “Rheological equations from molecular
network theories”. Trans Soc Rheol. 16(1): 99–127.
[9]Bair S., Vergne P., Querry M., 2004. “A Unified
Shear-Thinning Treatment of Both Film Thickness and
Traction in EHD”. Tribology Letters 18 pp.145-152.
[10]Bair S., 2006. “Reynolds-Ellis equation for line contacts
with shear-thinning”. Tribology International 39 pp.
310–316.
[11]Johnson K.L., Tevaarwerk J.L., 1977. “Shear behaviour of
elastohydrodynamic oil films”. Proc. R. Soc. London, Ser. A
356 pp. 215–236.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Elastohydrodynamic Film Thickness in Elliptical Contacts with Rolling and Spinning

*
Tae-Jo Park

School of Mechanical & Aerospace Engineering, ReCAPT, Gyeongsang National University, Jinju, Korea

ABSTRACT designing of toroidal-type traction drives, exact prediction of

In this paper, a finite difference method with non-uniform the central film thickness variations with spinning are required
grid systems and the Newton-Raphson method are applied to to estimate the traction coefficient and power loss [8].
solve the EHL of elliptical contacts with rolling and Therefore, more accurate numerical data for various operating
spinning. Pressure distributions, film contours and variations conditions are required to present exact EHL film thickness
of the minimum and central film thicknesses are compared with formula and traction characteristics under rolling and spinning.
various ellipticity ratios, dimensionless load and speed Park & Kim[9, 10] have successfully analyzed the EHL of
parameters. The results show that the spinning motion have elliptical contacts with pure rolling and a finite line contacts
significant influence on the film shapes. Reduction of the problems using a finite difference method and the
minimum film thickness with spinning is remarkable whereas Newton-Raphson method. Their numerical procedure was fully
the central film thickness is not. Especially variations of the systematic, and accurate results were obtained even using
minimum film thickness with dimensionless load parameter are small number of grid points. In this paper, the same numerical
considerably different from those of pure rolling/ methods and procedures proposed by author are applied in
sliding. Therefore the results can be used for presentation of analysis of the EHL of elliptical contacts with rolling and
new minimum and central film thickness expressions, and the spinning to obtain accurate numerical results.
present numerical scheme can be used in the analysis of general
elliptical contact EHL problems. 2. GOVERNING EQUATIONS
Keywords: EHL, Elliptical Contacts, Rolling/Spinning, 2.1 REYNOLDS EQUATION
Numerical Analysis, Minimum/Central Film Thickness Applying the general assumptions for hydrodynamic
lubrication problem, the EHL pressure distribution for
1. INTRODUCTION elliptical contacts with rolling and spinning can be written
In highly stressed machine elements such as angular following Reynolds equation [4]:
contact ball bearings and toroidal-type traction drives, there
will be spinning as well as rolling/sliding motion at the same w U H 3 wP 1 w U H 3 wP
( ) 2 ( )
time. And it is now well understood that the spinning motion wX K wX k wY K wY
produces higher effective frictional coefficients and results in (1)
increased power losses. b ª kbBY w ( U H ) bBX w ( U H ) º
12U «(1  )  »
Since the early 1970s, numerous studies on the Rx ¬ 2 Rx wX 2kRx wY ¼
elastohydrodynamic lubrication problems have been carried
out [1, 2]. However, only a little theoretical works have been Z is the spinning velocity that defined in Figure 1.
reported on the EHL of elliptical contacts with rolling and
spinning. Mostofi & Gohar[3] was the first one to analyze the
point contact EHL problems using relaxation method for the
case of high spin but very low rolling speed. Adopting
Vogelpohl substitution and Gauss-Seidel iterative solution
method, Dowson et al.[4] analyzed successively the EHL of
elliptical contacts with spinning and rolling. They revealed a
reduction in the minimum film thickness as the spin-roll ratio
was increased. Taniguchi et al.[5] have analyzed relatively
high loaded EHL problems using forward-inverse combined
technique. Their work showed that the spinning motion have
very small effect on central film thickness[4], but relatively
large influence on the reduction of the minimum film thickness
with load parameter. Zou et al.[6] have employed the Fig. 1 Hertzian contact ellipse and coordinate system
multilevel/multigrid techniques and considered arbitrary
lubricants entrainment. Based on a large number of numerical 2.2 PROPERTIES OF LUBRICANTS
results, they have presented new minimum and central film The density[1] and viscosity[2] of the lubricant are
thicknesses formulas which are similar expressions with represented as function of pressure as shown in equations (2)
Chittenden et al.[7]. However, in contrast with Refs.[4, 5], and (3):
their results showed that the central film thickness is
considerably reduced when spinning motion is imposed. § 0.58 u 109 p ·
Moreover, it is found that some of their numerical data were U U 0 ¨1  ¸ (2)
© 1  1.68 u 109 p ¹
not agree with film thickness expressions. Especially, in
*Corresponding author: School of Mechanical and Aerospace
Engineering, Gyeongsang National University, Jinju, 660-701, Korea,
e-mail: tjpark@gnu.ac.kr
146
K0 exp ª«{ln K0   9.67}{1  1  5.1 u 109 p  }º»
Z
K (3)
¬ ¼
Where pressure p and the viscosity at atmospheric pressure
 Elastohydrodynamic Film Thickness in Elliptical Contacts with Rolling and Spinning

K0 are in [Pa] and [Pas], respectively. Where d i , j , k ,l is an elastic influence coefficient which refers to
the elastic deformation at grid (i , j ) caused by unit pressure
2.3 FILM THICKNESS acting over the rectangular pressure element at grid (k , l ) .
The EHL film thickness for elliptical contact can be written Then substitution of equation (7) into equation (4) gives
as:
x2 y2
x2 y2 h( x, y ) ho    ¦¦ d i , j , k , l pk , l (8)
h ( x, y ) ho    hd ( x, y ) (4) 2 Rx 2 R y k l
2 Rx 2 R y

Where ho is a constant, the second and third terms of right 2.4 LOAD CONDITIONS
hand-side are the separation due to the geometry of ellipsoids in The EHL film thickness for elliptical contact can be written
their undeformed state, and hd ( x, y ) is the elastic as:
deformation.
w ³³ p( x, y)dxdy (9)

2.5 DIMENSIONLESS EQUATIONS

In order to solve the highly nonlinear system equations,
following dimensionless variables are introduced.

X =x / b, Y =y / a, H =h / Rx , P =p / E , U =U / U0 , K =K /K0 ,
(10)
k =a / b, G =D E , U =K0u / ERx , W =w / ERx2 , B =2Z Rx / u

Then dimensionless expression of the Reynolds equation (1) is

Fig. 2 Pressure element and local coordinates w U H 3 wP 1 w U H 3 wP

( ) 2 ( )
wX K wX k wY K wY
Assuming that the contacting ellipsoids behave as elastic half (11)
b ª kbBY w ( U H ) bBX w ( U H ) º
spaces, the elastic deformation of the bounding surfaces can be 12U « (1  )  »
analytically calculated. That is, the elastic deformation at Rx ¬ 2 Rx wX 2kRx wY ¼
( x , y ) owing to the pressure distributed over a rectangular
element, as shown in Figure 2, can be written as:
R / Rx 
2/3
Where k y (12)
2 a2 b2 p ( x1 , y1 ) dx1dy1
S E ³ a ³
G (x, y) (5) The dimensionless density and viscosity of the lubricants can
 b1
1
( x  x1 ) 2  ( y  y1 ) 2
be written as:

exp ª¬^ln(K0 )  9.67`^1  (1  5.1EP) Z `º¼

When the pressure acting over the element is uniform, then
above equation can be analytically integrated and expressed as K (13)
[9, 10]: 0.58EP
U 1 (14)
1  1.68EP
2p ª § y  a1  ( x  b1)  ( y  a1) ·
2 2
G (x, y) «( x  b1) ln ¨ ¸ Where the equivalent elastic modulus E is given in [GPa].
SE « ¨ y  a2  ( x  b1) 2  ( y  a 2) 2 ¸¹
¬ © The dimensionless form of equations (8) and (9) can be defined
§ y  a2  ( x  b 2) 2  ( y  a 2) 2 · as[9, 10]
 ( x  b 2) ln ¨ ¸
¨ y  a1  ( x  b 2) 2  ( y  a1) 2 ¸¹
© °­ 2 ½
b2 2 2 Rx °
¾  ¦¦ Di , j , k , l Pk , l
(6) Ho 
§ x  b1  ( x  b1)  ( y  a1) 2 2 ·
H ®X  k Y (15)
2R2 x ¯° R y °
¿ k l
 ( y  a1)ln ¨ ¸
¨ x  b 2  ( x  b 2 ) 2  ( y  a1) 2 ¸
© ¹ kb 2
Rx2 ³³
W PdXdY (16)
§ x  b 2  ( x  b 2) 2  ( y  a 2) 2 ·º
( y  a 2) ln ¨ ¸»
¨ x  b1  ( x  b1) 2  ( y  a 2) 2 ¸»
© ¹¼ 2.6 BOUNDARY CONDITIONS
The pressure is zero along the edge of the computation zone,
Using the superposition principle of the theory of linear and following Reynolds’ condition is applied where negative
elasticity, the elastic deformation caused by hydrodynamic pressures occur.
pressures acting over lubrication region can be written as[9, 10]:
wP wP
P 0 (17)
hd ( x, y ) ¦¦ d
k l
i , j , k ,l pk , l (7) wX wY

147
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

3. NUMERICAL METHODS and convergence enhancement are attained.

In the present analysis, a finite difference method and the
Newton-Raphson method are applied to solve the highly
nonlinear system equations accurately and reduce computation
times [9, 10].
Adopting non-uniform grids system, a finite difference
representation of equation (11) for grid (i, j ) becomes:

Ui 1/ 2, j H i31/ 2, j Ui 1/ 2, j H i31/ 2, j

fi , j ( Pi 1, j  Pi , j )  ( Pi , j  Pi 1, j )
'X iKi 1/ 2, j 'X i 1Ki 1/ 2, j

'X i 1  'X i ­° Ui , j 1/ 2 H i , j 1/ 2 Ui , j 1/ 2 H i3, j 1/ 2 ½°

3
 ® ( Pi , j 1  Pi , j )  ( Pi , j  Pi , j 1 ) ¾
k 2 ('Y j 1  'Y j ) ¯° 'Y jKi , j 1/ 2 'Y j 1Ki , j 1/ 2 ¿°

b ª§ kbBY j ·
 12U «¨1  ¸ ( Ui 1/ 2, j H i 1/ 2, j  Ui 1/ 2, j H i 1/ 2, j )
3 3
Rx «¬© 2 Rx ¹

'X i 1  'X i bBX i º Fig. 3 An example of computational boundaries and grid

 ( Ui , j 1/ 2 H i3, j 1/ 2  Ui , j 1/ 2 H i3, j 1/ 2 ) » 0 (18)
'Y j 1  'Y j 2kRx »¼ structures

(i, k 2,, M j , j, l 2,, N  1) 4. RESULTS AND DISCUSSIONS

In present numerical analysis, the dimensionless materials
where M j and N is the grid number in the X direction parameter, G=4522, is fixed. And adopting non-uniform grid
which satisfies Reynolds’ boundary condition at Y Y j and systems, change of the location of computational boundaries
number of grid used in the direction y, respectively [9, 10], and and number of grids are continued until the minimum and
central film thicknesses variations are very small.
'X i X i 1  X i , Figure 4 shows the influence of spinning motion on the
EHL pressure distribution and film contours with rolling. In
'Y j Y j 1  Y j , film counters, the + and * symbols indicate the center of
H i 1/ 2, j 0.5( H i 1, j  H i , j ), (19) Hertzian contact circle and the location of the minimum film
occur, respectively. In order to compare the results for various
Ui 1/ 2, j 0.5( Ui 1, j  Ui , j ),
EHL conditions, the largest dimensionless film thickness in
Ki 1/ 2, j 0.5(Ki 1, j  Ki , j ), ˜ ˜ ˜ film contour plots is fixed to H=1.5×10-5. It is clear that the
symmetry of pressure distributions and film contours with
Equation (16) can be expressed as; respect to rolling direction were lost under the superimposed
spinning motion. And the location of the minimum film
thickness occurs moved to upper side where the surface
kb2 Mj N 1
W ¦¦ Pi, j ('X i 1  'X i )('Yj 1  'Yj )
4Rx2 i 2 j 2
(20) velocities are reduced by spinning (See Figure 1).

Because the number of equations (equations (18) and (20)) and

the number of unknowns ( Pi , j and H o ) are equal, therefore,
the unknowns can be obtained easily. In this paper, to solve the
highly non-linear equation (18) systematically, the Newton-
Raphson methods are adopted and expressed for unknown
variables are as follows:

n n
(a) B=0
§ wfi , j · § wfi , j ·
¦¦ ¨¨
l © wPk , l
n 1
¸¸ ( Pk ,l Pk ,l )  ¨
n

wH
n 1
¸ ( H o  H o )  fi , j
n n
0 (21)
k ¹ © o¹
(i, k 2,, M j , j , l 2,, N  1)

where the superscript n denotes the number of iteration and the

expression for Jacobian factors are similarly as in Ref.[9].
In order to provide fully flooded conditions, the inlet boundary
is fixed at X=-5 but side boundaries are varied with spin to roll
ratio B whose maximum location is |Y|=5. Relatively fine grids (b) B=240
are located in the rolling direction exit and side regions where Fig. 4 Pressure distribution and film contours with different
the pressure spikes and the minimum film thickness occurs. spinning velocities: U=1.683×10-12, W=1.106×10-7, k=1.75
Figure 3 shows an example of the computational boundaries
and grid structures used in numerical analysis. The maximum Figure 5 shows the change of the EHL film shapes with the
numbers of grid used are 67×45, and the numerical procedures ellipticity ratio. For fixed spin to roll ratio, the asymmetry of
are the same as those used in Refs. [9, 10]. Using previously film contours in the rolling direction are increased as the
calculated results for similar conditions as initial values of the ellipticity increase. Variation of the central and minimum film
unknown variables, considerable savings in computation time thicknesses with the ellipticity ratio are plotted in Figure 6. The

148
 Elastohydrodynamic Film Thickness in Elliptical Contacts with Rolling and Spinning
central film thickness, Hc, changes very little, whereas the
minimum film thickness, Hm, is moderately reduced by
spinning motion as ellipticity ratio increase.
Figure 7 shows the influence of dimensionless load
parameter on the EHL pressure distribution and film contours.
Unlike the EHL results of pure rolling/sliding cases, the load
parameter changes the film contours considerably. Variation of
film thicknesses with dimensionless load parameter are
summarized in Figure 8. As the load parameter increase, the
spinning motion highly reduces the minimum film thickness
but negligibly small effect on the central film thickness such as
shown in Figure 6.
(a) k=1 (b) k=1.5 (c) k=2
Fig. 5 Film contours : U=1.683×10 , W=1.106×10-7, B=60
-12
Fig. 6 Variation of film thickness with ellipticity ratio:
U=1.683×10-12, W=1.106×10-7.
(a) W=0.72×10-7
(b) W=2.80×10-7
Fig. 7 Pressure distribution and film contours: U=2.262×10-12,
k=2, B=120
149
×
Fig. 8 Variation of film thickness with load parameter
×
Fig. 9 Variation of film thickness with speed parameter
Figure 9 shows variation of the EHL film thicknesses with
dimensionless speed parameter. Like the results shown in
Figures 6 and 8, the minimum film thickness is highly
influenced by spinning, but the central film thickness is not.
As mentioned previously, in order to provide fully flooded EHL
condition, the inlet and side boundaries should be located large
enough[2]. The pressure spikes and the minimum film
thickness are very sensitive to the local grid structures nearby,
therefore fine grids are required in these regions. In contrast
with present results and Refs.[4,5], however, the film thickness
formula presented by Zou et al.[6] showed the effect of
spinning on central film thickness is relatively large. It is
estimated that their computational boundaries are too short
or/and the number of grids used are not enough. Therefore, the
results presented can be use for presentation of new minimum
and central film thickness expressions.
5. CONCLUSIONS
In this paper, elastohydrodynamic lubrication of elliptical
contacts with rolling and spinning is studied. The highly
nonlinear system equations are analyzed successfully using a
finite difference method with non-uniform grid systems and the
Newton-Raphson method. 3-dimensional pressure
distributions, film contours and variations of the minimum and
central film thicknesses for various dimensionless parameters
are presented. The results show that the pressure distributions
and film shapes are highly affected by spinning
motion. Reduction of the minimum film thickness with
spinning is remarkable whereas the central film thickness is
not. Especially variations of the minimum film thickness with
dimensionless load parameter are considerably different from
those of pure rolling/sliding. Therefore the results can be used
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
for presentation of new minimum and central film thickness
expressions, and the present numerical scheme can be used in
the analysis of general elliptical contact EHL problems.
ACKNOWLEDGEMENTS
This research was supported by the Second Stage BK21
Project, NURI of Gyeongsang National University and by
grant No. RTI04-01-03 from Regional Technology Innovation
Program of the Ministry of Knowledge Economy.
REFERENCES
[1] Dowson, D., Higginson, G. R., 1977, Elastohydrodynamic
Lubrication, SI ed., Pergamon Press.
[2] Hamrock, B. J., 1994, Fundamentals of Fluid Film
Lubrication, McGraw-Hill.
[3] Mostofi, A., Gohar, R., 1982, “Oil Film Thickness and
Pressure Distribution in Elastohydrodynamic Point
Contacts,” J. of Mech. Eng. Sci., 24, pp.173-182.
[4] Dowson, D., Taylor, C. M., Xu, H., 1991, “Elastohydro-
dynamic Lubrication of Elliptical Contacts with Spin and
Rolling,” Proc. IMechE, J. of Mech. Eng. Sci., 205,
pp.165-174.
[5] Taniguchi, M., Dowson, D., Taylor, C. M., 1997, “The
Effect of Spin Motion upon Elastohydrodynamic Elliptical
Contacts,” Elastohydrodynamics, 32, pp.599-610.
[6] Zou, Q., Huang, C., Wen, S., 1999, “Elastohydrodynamic
Film Thick in Elliptical Contacts with Spinning and
Rolling,” Trans. ASME, J. of Tribology, 121, pp.686-692.
[7] Chittenden, R. J., Dowson, D., Taylor, C. M., 1986, Elasto-
hydrodynamic Film Thickness in Concentrated Contacts,”
Proc. of Instn. Mech. Engrs., 200, pp.207-226.
[8] Ehret, P., Chevalier, F., Dowson, D., Taylor, C. M.,
Okamura, H., Sano, T., 2000, “Traction in EHL Elliptical
Contacts with Spin Conditions,” Tribology Series, 38,
pp.71-83.
[9] Park, T. J., Kim, K. K., 1990, “A Numerical Analysis of the
Elastohydrodynamic Lubrication of Elliptical Contacts,”
Wear, 136, pp.299-312.
[10] Park, T. J., Kim, K. K., 1998, “Elastohydrodynamic
Lubrication of a Finite Line Contact,” Wear, 223,
pp.102-109.
150
NOTATION
a semimajor axis of Hertzian contact ellipse
b semiminor axis of Hertzian contact ellipse
B spin to roll ratio, 2Z Rx / u
equivalent elastic modulus, 2/E (1-v12 )/E1 +(1-v22 )/E2
E
G dimensionless materials parameter, D E
Di , j , k , l dimensionless elastic influence coefficient
h film thickness
ho constant used in defining film thickness
H dimensionless film thickness, h / Rx
Hc dimensionless central film thickness
Hm dimensionless minimum film thickness
Ho dimensionless film constant, ho / Rx
k ellipticity ratio of the contact, a / b
L, N number of grids in the x and y direction
Mj grid number in the X direction which satisfies
Reynolds’ boundary condition at Y Y j
p pressure
P dimensionless pressure, p / E
Rx , Ry equivalent radii of curvature in the x and y directions
u mean entraining velocity in the x direction
U dimensionless speed parameter, K0u / ERz
x, y Cartesian coordinates
X ,Y dimensionless Cartesian coordinates, x / b, y / a
w normal load
W dimensionless load parameter, w / ERx2
Z Roelands parameter of lubricant
D pressure-viscosity coefficient of lubricant
G elastic deformation caused by a rectangular pressure
element (Equation 5)
K lubricant viscosity
K dimensionless lubricant viscosity, K /K0
K0 lubricant viscosity at atmospheric pressure
U lubricant density
U dimensionless density, U / U 0
U0 density at atmospheric pressure
Z mean spinning velocity
superscript
n number of iteration
 Experimental Study on the Tribological Properties of Pure Powder Lubrication under Plane Contact
Experimental Study on the Tribological Properties of Pure Powder Lubrication under Plane Contact
Wang Wei / Hefei Unversity of Technology, China
Liu Kun / Hefei Unversity of Technology, China
(Extended Abstract)
ABSTRACT
The pure powder lubrication has been studied using plane
contact tribo-tester. Four kinds of powder, such as PTFE,
graphite, MoS2, copper, have been used during the experiments.
The results show that the powder can be introduced into
frictional clearance without any special method. The powder’s
physical properties have significant influence on the
tribological characteristics of power lubrication. The friction
coefficient and wear are obviously decreased while the
powders are PTFE, graphite and MoS2 which have good
exhibition in application of traditional solid lubrication. At the
lower load capacity㧘powder lubrication using ball-like copper
has certain antifriction effects㧘but it became worse rapidly
with the increasing of load capacity. The observation of
lubrication film with optical microscope shows that lubrication
film is dynamically formed on the rubbing surfaces in most
experiments.
Keywords: Powder lubrication; Plane contact; Powder
properties; Tribological characteristics
INTRODUCTION
Pure powder lubrication, which was employed to achieve
the lubrication with lower frictional coefficient, wide
temperature adaptation, long life and self-replenishment, is a
new solid lubrication method[1-4] 㧚 In the process of pure
powder lubrication, solid lubrication material in the state of dry
particles has been introduced directly into tribo-pairs, and the
clearance of frictional surfaces has been filled with flowing
solid particles.
There are multifarious powders which can be used in the
application of powder lubrication, and their properties are
different distinctly. Besides traditional thin-layer structural
solid lubricant materials such as MoS2[5], WS2[6], there are also
boron nitride and boric acid powders friendly to environment[7],
and even glass, metallic microspheres or multi-component
particles mixture. When different powders are applied to pure
powder lubrication, their physical properties have significant
influences on the lubrication characteristics. However, the
present researches focus on the powder lubrication effects in
particular mechanical parts utilizing specific kind of powder.
Consequently, the performances of the powder lubrication with
Liu Xiaojun / Hefei Unversity of Technology, China
Li Hongxian / Hefei Unversity of Technology, China
Additionally, force is loaded along axis㧚In order to prevent
scrape and serious wear as a result of direct contact between
top sample and bottom sample㧘some powder was put into
tribopair before the experiments, and then start the tribotester
under the condition of the existence of powder between two
rubbing surfaces㧚The friction coefficient and temperature can
be obtained in real time, and the friction surface of the sample
is observed and analyzed by the optical microscope after
experiments㧚
Fig.1 Sketch map of tribopair
RESULTS AND DISCUSSION
Possibility of the powder entering friction gap
Because there are no measures are taken to bond powder
and surface together in the process of powder lubrication,
whether the powder entered friction gap or not has become the
primary problem㧚In order to verify the possibility of the
powder entering tribopairs, the rubbing pairs has been loaded
together under the condition of no any powder in the friction
gap, and then the sealing cover has been filled with powder to
completely immerge the tribopair. If the powder can
dynamically enter friction clearance when the machine started,
the tribological characteristics should exhibit obvious
difference with dry friction. The load is 6 MPa, and the speed
of tribopair’s middle ring is 0.4 m/s. The experimental results
testified the assumption. Figure 2 illustrated that the friction
coefficient of dry friction is obviously higher than the others
which have been immerged in three kind of powder. It proved
that powder entered friction gap dynamically in the running
state of tribopair and made a good antifriction role.
0.36 Dry friction
Graphite powder4 μm
different powder properties have not been compared in same
0.30 PTFE powder4 μm
Friction Coefficient

experimental condition so far. This research utilizes four

MoS2 powder1.5 μm
typical powders with different physical properties to perform
0.24
powder lubrication experiments using the MQ-800 tribo-tester.
0.18
EXPERIMENTAL METHODS
Experiments were carried out using MQ-800 tribotester
0.12
which equipped with a plane contact rubbing pair as shown in
figure 1㧚An annular top sample, which outside diameter is 0 2 4 6 8 10
TimePLQ
24mm and inside diameter is 16mm , is made of 45# hardened
Fig.2 Possibility of the powder entry into tribopair
steel which hardness is HRC52. There are four notches along
the circle in order to facilitate powder entering tribopair㧚The Powder lubrication with different powders
bottom sample is a square sheet made of copper alloy with This part discussed the performance of the powder
dimension of 32 mm×32 mm×3 mm㧚During the experiments, lubrication with different kinds of powders which owns
the top sample is rotating and bottom sample is fixed㧚 different physical properties 㧚 The initial load of this

151
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
experiment is 6 MPa which will increase 3 MPa per five
minutes until 18 MPa㧘and the speed of friction ring is 0.4 m/s㧚
Four kinds of typical powders, which included ball-like copper
powder, PTFE powder, Graphite powder and MoS2 powder,
have been used to compare their different performance on
powder lubrication. Figure 3 shows that PTFE‫ޔ‬graphite and
MoS2 achieved good powder lubrication characteristics which
should owe to their special physical properties. Because PTFE
is a cylindrical string structure㧘and the graphite and MoS2 are
the layered structure㧘they have long been used as typical solid
lubricants for their structure features endowed themselves
excellent antifriction ability. Further more, the friction
coefficient of PTFE powder is better than graphite and MoS2
under relatively lower load, but it is worse under higher load.
Generally speaking, the ball-like copper powder has worse
powder lubrication characteristics compared to the other three
powders. While the load capacity bellows 12 MPa㧘copper
powder lubrication has lower friction coefficient㧘but it became
worse rapidly with the increasing of load capacity. That may
because the copper particles which classified as soft metal in
friction gap can create a rolling effect in light load. But while
the load became higher, the copper particles will be deformed
and embedded in the surface of the bottom sample which made
of copper alloy during friction contact. The serious adherence
between copper powder and the bottom sample deteriorated the
lubrication and led to the obvious increase of friction
coefficient㧚
0.5
smaller powders have stronger bonding force between
themselves which will concrete the cluster of granules and
have strong ability to anti-cutting. The effects of bonding
between larger powders are relatively weaker, and the slide
and shearing between larger powders are easier. Moreover, the
scale interaction between the roughness of the rubbing surfaces
and the particle size may be the other reason which induced the
difference of the lubrication performance with the various
powder sizes. The ability of the larger powder to avoid the
direct contact between rubbing surface is apparently stronger
than smaller powders.
CONCLUSIONS
1) The results from the experiments testified that powders
without any clinging method to the rubbing surface can also
enter the rubbing clearance dynamically, and realizes the good
lubrication effects. But the entering ability will significantly
influenced by the characteristic of powder, design of the
matching parts, the working conditions and so on.
2) When the load capacity is relatively small, four kinds of
powder have exhibited different lubrication ability. Moreover,
the graphite and MoS2 powder have excellent lubrication
characteristic under extreme pressure. So, it’s necessary to
select the material of powder depend on the working
conditions in powder lubrication.
3) The size of powder will strongly affect the
characteristics of pure powder lubrication. In this study, the
larger graphite powders have achieved better results to reduce
Copper powder 10 μm the friction. The bonding of powders and the scale interaction
PTFE powder 4 μm between powder size and surface roughness are the primary
0.4
Graphite powder 4 μm reason.
Friction Coefficient

MoS2 powder 1.5 μm
0.3
0.2
0.1
4 6 8 10 12 14
Load03D
Fig.3 Influence of different powders
Effect of powder size on lubricant characteristics
To explore the effect of powder size on lubrication
characteristics, four sizes of graphite powders have been used
in the experiments. The friction coefficient of every kind of
powder decreased when the load increases, this is because the
excellent lubrication capability of graphite material under
extreme pressure. The friction coefficient of powder with
larger size is obvious lower than the smaller one (fig.4). The
powder of 40 μm always has the lowest friction coefficient
with the increasing of the load capacity. It may because
ACKNOWLEDGEMENTS
The authors wish to thank the financial support from the
National Natural Science Foundation of China under Grant
no.50775060.
16 18 REFERENCES
[1] Iordanoff I, Khonsari M M. Granular Lubrication: Toward
an Understanding of the Transition between Kinetic and
Quasi-Fluid Regime[J].Journal of Tribology-Transactions
of the Asme㧘2004㧘126(1):137-145.
[2] Higgs C F, Wornyoh E X A. An in Situ Mechanism for
Self-Replenishing Powder Transfer Films: Experiments
and Modeling[J].Wear㧘2008㧘264:131-138.
[3] Elkholy K N, Khonsari M M. Experimental Investigation
on the Stick-Slip Phenomenon in Granular Collision
Lubrication[J].Journal of Tribology㧘2008㧘130(2):1-7.
[4] Wornyoh E Y A, Jasti V K, Higgs C F. A Review of Dry
Particulate Lubrication: Powder and Granular
Materials[J].Journal of Tribology㧘2007㧘129:438-449.
*UDSKLWHSRZGHU μ m 
0.25
[5] Heshmat H, Brewe D. Performance of Powder-Lubricated
*UDSKLWHSRZGHU μ m 
Journal Bearings with MoS2 Powder - Experimental-Study
)ULFWLRQ&RHIILFLHQW

*UDSKLWHSRZGHU μ m 
*UDSKLWHSRZGHU 0μ m  of Thermal Phenomena[J]. Journal of
0.20 Tribology-Transactions of the Asme㧘1995㧘117(3):506-512.
[6] Heshmat H, Brewe D E. Performance of a Powder
0.15 Lubricated Journal Bearing with WS2 Powder:
Experimental Study[J]. Journal of Tribology-Transactions
of the Asme㧘1996㧘118(3):484-491.
0.10
[7] Sawyer W G, Ziegert J C, Schmitz T L ,et al. In Situ
4 6 8 10 12 14 16 18
Lubrication with Boric Acid: Powder Delivery of an
/RDG03D
Environmentally Benign Solid Lubricant[J].Tribology
Fig.4 Influence of particle size Transactions㧘2006㧘49(2):284-290.

152
 Hydrodynamic Analysis and Experiment Verification of the High-Pressure Small-Flow Centrifugal Pump
Hydrodynamic Analysis and Experiment Verification of the
High-Pressure Small-Flow Centrifugal Pump
Li Bao-Liang, Jiang Qin-Yu, Pan Xing-He
Institute of mechanical engineering, Dalian Jiaotong University, Dalian 116028, China
(Extended Abstract)
ABSTRACT
The press distribution, temperature distribution and
cavitations in the inner fluid field of the high-pressure
small-flow centrifugal pump are simulated by using the
FLUENT software. The simulation is separately analyzed under
the experimental conditions at small flow, design flow, and large
flow according to SIMPLE algorithm, Ñ-Ò Turbulent-flow
Model and Mixture Multiphase Model. The simulation results
are nearly the same comparing to the experimental results. The
results show that the flow fields of high-pressure small-flow
centrifugal pump can be obtained according to the result of
hydrodynamic simulation, and a theoretical reference can be
provided for the further optimization of the high-pressure
small-flow centrifugal pumps.
Keywords: flow field; centrifugal pump; cavitations
The centrifugal pump is a power device which is widely
applied in hydraulic engineering ˈ chemical engineering,
aerospace engineering, energy engineering and vehicle
engineering. The water pump is also critical components for
the cooling water drain system of nuclear power station in
China, which relates to the safe operation of nuclear power
station. Therefore, the key is how to reduce the vibration and
enhance pressure bearing capacity during the pump design. It
is necessary to research on the dynamics of high-pressure
small-flow centrifugal pumps for the pump design. In the paper,
the interior flow field simulation and cavitations is studied for
the high-pressure small-flow centrifugal pump by use of the
software-FLUENT. The research can provide theoretical basis
and instruction for the optimization design of the high-pressure
small-flow centrifugal pump.
1 Geometric model and boundary condition
1.1 The model of the interior flow field of centrifugal pump
In this paper, the blade of centrifugal pump impeller is
straight, and the volute is ring. The 3D model of centrifugal
pump is established by using Pro/E. The modeling idea is as
follows. The first is to build the 3D model of the impeller. The
second is to build the model of the pump body which includes
inlet region of centrifugal pump, volute region and the outlet
region. The last is to process Boolean operation of pump body
model and impeller model, namely to subtract the impeller
model from the pump body model. Then the interior flow
model of centrifugal pump is established. The centrifugal
pump model has been reasonably simplified in modeling
process.
1.2 Mesh generation
The unstructured tetrahedron mesh is applied to the model
mesh generation by using the software-GAMBIT.
1.3 Boundary condition
153
The inlet boundary condition of centrifugal pump is
considered as pressure import, and the outlet boundary
condition is considered as exportation pressure. The wall
function method is adopted for dealing with the boundary
condition at the standing wall. Turbulence model is the
standard Ñ-Ò model, and solution algorithm is SIMPLE
algorithm. A Moving Reference Frame is applied to the
rotor-stator coupled area which includes impeller region and
volute region.
2 Calculation result and analysis
2.1 Calculation result
We obtain the pressure cloud picture and velocity cloud
picture by numerical analysis.
2.2 Pressure distribution
Under the condition of the low flow rate 0.68Q, design
flow rate 1.0Q and large flow rate 1.22Q, the static pressure
distribution and total pressure distribution are separately
analyzed on central plane. Pressure analysis showed that the
pressure is low at impeller inlet region, which easily produces
cavitations and cavitation erosion. Because the low area at
0.68Q flow rate is larger than design flow rate one, cavitations
and cavitation erosion easily occurred.
2.3 Velocity distribution
It is showed that the dead water part occurs at off design
flow, while the dead water part is not obvious at design flow.
The reason why the phenomena appears is that prototype pump
design is not quite reasonable besides flow instability at off
design flow. If the pump part which appears the dead water
part can be improved, the phenomena will disappear.
2.4 Performance evaluation curves
The flow field parameters of centrifugal pump can be
contained by post-processing in FLUENT, then performance
parameter can also be contained by calculation. The
performance evaluation curves including the flow-lift curve,
the flow power curve and the flow efficiency curve can be
contained by least square of curve fitting with Matlab.
3 Centrifugal pump test and validation
3.1 Centrifugal pump
In this paper, the centrifugal pump test is done on
open-type platform. The performance curves can be contained
by the test.
3.2 Verification analysis
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Through analyzing the contrast diagram of performance
evaluation curves and performance test curves, it can be
showed that the two curves trend is basically the same.
4 Conclusions
(1) In this paper, the centrifugal pump model has been
reasonably simplified in modeling process with Pro/E. The
results of numerical simulation show that the simplification is
reasonable.
(2) Through the numerical simulation of cavitations, it is
found that the number of cavitation bubble at impeller inlet
is more than other regions. It is also proved in the theory that
the impeller inlet is region generating cavitations for the
products.
(3) Through analyzing numerical simulation results at
off design flow, it is found that the dead water part occurs on
centrifugal pump outlet region, while the dead water part is not
obvious at design flow. Because of the existing of the dead
water part, the hydraulic loss of centrifugal pump is
increased, and the structure parameters on this part need to
be optimized.
(4) By comparing the performance evaluation curves to the
154
performance test curves, it can be seen that the performance
evaluation curves agree well with the performance test curves.
It is verified that the flow field forecast for centrifugal
pump in the research is reliable.
References
[1] Xu NaiXiang, Wu YuLin. Centrifugal Pump. BeiJing: China
Machine Press, 2003.
[2] Wang FuJun. Computational Fluid DynamicsˉCFD software
Principle and Application. BeiJing: Tsinghua Unversity
Press, 2007.
[3] Ren YuXin, Chen HaiXin. The Basis of Computational
Fluid Dynamics. BeiJing: Tsinghua Unversity Press, 2006.
[4] Wang JiaWen, WangHao, Liu Hai. MATLAB7.0
Programming Base. BeiJing: China Machine Press, 2005.
[5] Zhang ZhaoShun, Cui GuiXiangˈXu ChunXiao. Turbulence
Theory and Simulation. BeiJing: Tsinghua Unversity
Press, 2005.
(The whole paper will be supplied by the authors if the reader
needs it)
 Effect of Liquid Surface Tension and Viscosity on Micro-Bubble Induced by External Electric Field

Effect of Liquid Surface Tension and Viscosity on Micro-Bubble Induced by External Electric Field

Xie Guoxin∗ (State Key Laboratory of Tribology, Luo Jianbin (State Key Laboratory of Tribology,
Tsinghua University, Beijing 100084, China) Tsinghua University, Beijing 100084, China)

(Extended Abstract)
ABSTRACT
In present work, different liquids with various surface appropriate weight ratios. (2) glycerin/water mixtures with
tension and viscosities were chosen to study the micro-bubble various amount of sodium dodecyl sulfate (SDS) to vary the
emergence and bubble shape. Moreover, the bubbles’ moving liquid surface tension without changing other properties
characteristics was investigated, and the electric current in the significantly. Surface tension measurements were conducted
circuit was monitored. Different mechanisms of these using KrUss K12 Tensiometer. Viscosities and densities were
experimental phenomena will be discussed in the paper. measured with a controlled-strain-rate Hake RV20 rheometer
Keywords: Microbubble, electric field, viscosity, surface and a volumetric technique.
tension, cavitation erosion
RESULTS AND DISCUSSION
INTRODUCTION
Shaft voltage due to the asymmetric effect between the When an external electric field is applied onto a liquid film,
rotor and the stator frequently exists in rotating machineries, higher voltage potential and electric current are needed where
such as turbines and compressors, which absorbs much the micro-bubbles begin to emerge, which are defined as the
attention among researchers to the effect of external electric critical voltage potential and critical electric current [4]. The
field (EEF) on lubrication and wear properties [1-2]. Some gas data of the critical voltage potentials and electric currents at
micro-bubbles emerged due to nucleate boiling in thin liquid different viscosities are presented in Fig.1. As it is shown, at
films under an EEF was observed by an instrument for the intermediate range, the critical voltage potential is
measuring lubricant film thickness with a technique of the relatively lower with a value around 6 V, whereas the critical
relative optical interference intensity (ROII) [3-5], which a electric current decrease significantly as the viscosity increases,
new evidence can be added to understand the potential suggesting that the electrolysis effect gradually reduces as the
cavitation erosion problem in bearing applications when the weight fraction increases of G/W mixture and the effect of
shaft is charged. overheating on bubble emerging becomes dominant [5].
Cavitation behavior and its damage to material are
demonstrated to be affected by liquid properties such as
viscosity and surface tension [6]. Viscosity relates to stability
problem of bubble movement and explosion, e.g., larger
viscosity makes bubbles expand or contract more slowly, and
bubble life-time becomes larger [7]. Surface tension of the
liquid is one of the basic factors determining the rate and
nature of the collapse of cavitation bubbles, and hence the
operation of various cavitation processes such as the erosion of
solid surfaces, sonoluminescence, induced chemical reactions,
etc [8]. It was argued that the reduction of surface tension Fig. 1 Correlation between critical voltage potential, critical
promotes the instability of bubble growth and collapse, though electric current and viscosity
the surface tension only contributes almost a negligible portion
to the driving forces if compared with other terms, e.g. the
hydrodynamic-driving force [9].
Now that liquid viscosity and surface tension are closely
related to the cavitation erosion, do these have any influence in
the shape and behavior of the micro-bubbles generated under
EEF? It has been revealed that bubble size can limit the
bubbles collapse velocity and that smaller bubbles offer higher
energy conversion efficiencies with less or little erosive power.
Moreover, bubble velocity plays a role in the cavitation noise
[10]. Thus, the influences of viscosity and surface tension on Fig. 2 Interference patterns of microbubble emerging in
the formation of micro-bubble in terms of their size and the liquids with different viscosities
moving velocity show the importance to the potential
cavitation problems. Based on these considerations, a tentative
study was directed to investigate the roles of liquid viscosity
and surface tension on bubble size, shape and its moving
characteristics in order to provide some guidance to predict the
performance of cavitation erosion due to bubbles induced by
EEF in nanoscale liquid films.

EXPERIMENTAL SECTION
Two sets of liquids have been used in this study: (1)
different concentrations of glycerin/water (G/W) mixtures Fig.3 Bubble diameter v.s. viscosity both in the inner
were made by mixing distilled water and pure glycerin in region and the outer region
*To whom all correspondence should be addressed.

155
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Figure 2 and 3 show the results of the bubble size
measurements for aqueous glycerin of different viscosity
values in the inner and outer regions, respectively. As
shown, an increase by 13% in the bubble size when the
viscosity increases from 1.81 to 219 mPa•s at the inner
region, and a relatively large increase trend by 72% can
be observed at the outer region. This result suggests that
the bubble size at the outer region has a stronger
dependence on viscosity. Namely, larger bubbles would
exist when they move outwards with higher viscosity
values.
Fig.4 Bubble velocity v.s. viscosity both in the inner region
and outer region
Next, the dependence of bubble velocity on viscosity
will be examined [Fig.4]. As the viscosity is getting
larger, a progressive decrease in bubble velocity is
evident for the inner region from about 0.52 mm/s to
0.22 mm/s, while for the outer region, the variation trend
is not very certain with a slight decrease globally.
Fig. 5 Correlation between critical voltage potential, critical
electric current and surface tension
Figure 5 gives the critical voltage potential and
electric current for bubble emerging in liquids with
different surface tension. It can be seen that no
significant influence on both of the critical values, and
the two values correspond to each other relatively well,
as compared with variation trend in the liquids with
different viscosities as shown in Fig.1.
Fig.6 Bubble diameter v.s. surface tension both in the inner
region and the outer region
156
A clear comparison of bubble sizes for liquids with
different surface tension in the inner and outer regions is
shown in Fig. 6. For the inner region, an evident
increase trend in the bubble size can be seen as the
surface tension increase, while for the outer region, the
bubble size does not vary pronounced when the surface
tension is changed, suggesting the bubble size in the
inner region depends more directly on the surface
tension of the liquid.
ACKNOWLEDGEMENTS
The authors acknowledge the financial support from NSFC
(50605034 and 50390062) and 973 Project (2007CB607604).
REFERENCES
[1] Lavielle L., 1994, “Electric field effect on the friction of a
polyethylene-terpolymer film on a steel substrate,” Wear, 176,
pp.89-93.
[2] Chiou Y.C., Lee R.T., Lin C.M., 1999, “Formation criterion
and mechanism of electrical pitting on the lubricated surface
under AC electric field,” Wear, 236, pp. 62–72.
[3] Luo J. B., He Y., Zhong M., Jin Z. M., 2006, “Gas
micro-bubble phenomenon in nanoscale liquid film under
external electric field,” Applied Physics Letter, 89, pp.013104.
[4] Xie G. X., Luo J. B., Liu S. H., Zhang C. H., Lu X. C.,
“Micro-bubble phenomenon in nanoscale water-based
lubricating film induced by external electric field,” Tribology
Letters, 29, pp.169-176.
[5] Xie G. X., Luo J. B., Liu S. H., Zhang C. H., Lu X. C., Guo
D., 2008, “Effect of external electric field on liquid film
confined within nanogap,” Journal of Applied Physics, 103,
pp. 094306.
[6] Brennen C. E., 1995, Cavitation and bubble
dynamics, Oxford University Press, Oxford.
[7] Toegel R., Luther S., Lohse D., 2006, “Viscosity
destabilizes sonoluminescing bubbles,” Physical Review
Letters 96, pp. 114301.
[8] Kuvshinov G. I., 1991, “Effect of surface tension on
the collapse of a cavitation bubble,” Journal of
Engineering Physics, 60, pp.34-37.
[9] Iwai Y., Li S. C., 2003, “Cavitation erosion in waters
having different surface tensions,” Wear 254, pp.1-9.
[10] Hobbs J. M., Hickling R., Brunton J. H., Ellis A. T.,
Gadd G. E., Benjamin T. B., Silverleaf A., Smith A. V.,
Hammitt F. G., Shal'nev K. K., Tuffrey A., Heymann F.
J., Popple R. G., Broom T., Rasmussen R. E. H., Hobbs J.
M., Marriott J. B., Pearson D., Tabor D., Fyall A. A.,
Barnard B. J. S., Cooper G. A., 1966, “Practical aspects
of cavitation,” Philosophical Transactions of the Royal
Society of London. Series A, Mathematical and Physical
Sciences, 260, pp. 267-294.
 Study of Water Lubrication in Sliding Point Contact Friction Pairs with Hydrophobic Surfaces

Study of Water Lubrication in Sliding Point Contact Friction Pairs with Hydrophobic Surfaces

Zhizuo Ma* Chenhui Zhang

Shuhai Liu Wenshi Zhu
State Key Laboratory of Tribology, Tsinghua University, Beijing 100084, China

(Extended Abstract)

angle(θ)between water and the glass slide and the

ABSTRACT
In this paper, the friction coefficients of Si3N4 ball against
glass slides modified with hydrophobic
perfluorooctyltrichlorosilane self-assembly film were
investigated under water lubrication condition using a
ball-on-disk tribometer. The friction coefficients were
measured under dry friction condition, full immersion
condition and droplet lubricant condition. An interesting
phenomenon was observed. Results shown that lower friction
coefficient can be received under droplet lubrication due to
thin film of water formed in the contact zone effectively
separated the glass plates and steel ball.
Keywords: Hydrophobic surface, Water lubrication, Friction
coefficients, Water film
INTRODUCTION
Recently, water-based lubrication was paid more attention
than ever by scientists and engineers from all over the world
because the advantages such as environment friendly,
uninflammable and good cooling performance. At present time,
water mainly used as lubricants mostly for ceramic friction
pairs due to electrostatic double layer effect and tribochemistry
effect with silica[1-3], and also for polymer friction pairs due
to the their elastic deformation for forming lubricating
film[4,5].However, water itself did not attract much attention
as a lubricant in traditional metal friction pairs due to many
surfaces undergo corrosion in the presence of water and the
water may be squeezed out of the contact zone due to its very
low viscosity. If the film forming capability of water could be
solved slickly, the prospecting future of water lubrication will
attract more attention. Many surface modifying arts 㧔 for
example 㧘 coated with DLC, grafted with self-assembly
monolayer with different chemical groups, etc㧕are used to
change the interaction of water and friction pairs to improve
the applied possibility of water lubrication in many fields.
It seems surprising that the problem of friction of a thin
water layer between two substrates in moving contact has not
been explored in details until now. In this study, we
investigated the characteristics of water lubrication between
two hydrophobic surfaces under macro load conditions by
measuring the friction coefficients.
self-assembling layer were measured by an optical contact
angle meter (JC2000A, China). The average contact angle(θ)
of water on bare glass slide and glass slide modified with C8F
are 22°and 104°. Friction tests were performed on UMT-2
(CETR, USA) tribometer and the test mode was ball-on-disk.
The upper specimen was a Si3N4 ball and its diameter was
4mm. The rotary speed of the spindle 30rpm provides a linear
sliding speed 21.2mms−1 at the track diameter of 13.5 mm
when the steel ball loaded on the lower glass substrates or
self-assembling layers. In this work, dry friction, droplet
lubrication and water full immersion conditions were used. To
investigate the effect of amount of water on lubrication, the
volume of water droplet added to the contact zone varies from
5ul, 10ul, 20ul, 100ul, 200ul to 500ul. When the circular tank
used to amount the lower specimens were feed with water and
the level drown the whole spherical cap enough during the test,
we called this condition as full immersion. The schematic of
the three kinds friction conditions are shown in Fig.1.
Fig.1 Schematics of the three friction conditions (a) dry friction, (b)
droplet lubrication, (c) full water immersion
The XPS curves of some elements on the surface of bare
glass slide and glass slide modified with C8F indicates that
C8F layer has existed on the surface of galss. And the peaks of
oxygen and silica also hint that the bondage of Si-O-Si has
formed successfully in our work. So we think the C8F
self-assembling layer has been modified on the surface of the
hydroxylated galss.

EXPERIMENTAL
In this experiment, glass slides were used as the substrates
Fig. 2 AFM images of (a) the ball, (b)the bare glass, (c)C8F layer
for the growth of 1H,1H,2H,2H– Perfluorooctyltrichlorosilane
and (d)C8F s layer immersed in water after 30 minutes
(C8F) self-assembling layer. To characterize the linkage
between glass and C8F, XPS analysis was performed by a
PHE-5100X instrument. The morphology of glasses, The topography of the ball, bare glass and the surfaces
self-assembling layer and their triboligy counter part-silicon modified with self-assembling layer analyzed by atomic force
nitride ball were captured by digital Instrument Nanoscope IIIa microscopy (AFM) are shown in Fig.2. The root mean square
Multimode atomic force microscope. The surface characters of roughnesses of the specimens are 0.967nm, 0.329nm, 0.183nm
frictional pairs have important effects on the properties of and 0.802nm, respectively. From Fig.2(c), it can be seen that
lubricants, especially for water based. So the static contact the agglomeration of C8F molecules taken place and this
phenomena accordance with the research results that silicane
*To whom all correspondence should be addressed.
Zhizuo Ma,E-Mail :mazz06@mails.thu.edu.cn
157
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
could be hydrolyzed by water[6].So the test time of friction
was limited in 10 minutes in this experiment.
FRICTION RESULTS AND DISCUSSTION
The friction coefficients of the ball and bare glass slide
under dry friction and water full immersion conditions are 0.8
and these indicate that water could not play a role as a
lubricant due to its lower piezo-viscous effect and its
impossible tribochemistry effect with silicates in short time
scale.
Fig.5 Friction coefficients curves of (a)bare glass slide
against Si3N4 ball under dry friction and full water immersion,(b)
under dry friction and water droplet lubrication(volume,5ul,10ul),
(c)under water droplet lubrication (volume, 20ul, 30ul, 40ul, 50ul,
75ul, 100ul, 150ul,200ul) and (d) under water droplet
lubrication(volume, 250 ul, 300ul) and full immersion
The friction coefficients of C8F against Si3N4 ball under
dry friction and droplet lubrication when the volume are 5ul
and 10ul are shown in Fig.2b. Under dry friction, the friction
coefficient increased sharply to near 0.8 due to the weak
durability of C8F layer although this layer could last for about
ten seconds equivalent to 5 cycles. When the water droplets,
which volume are 5ul and 10ul, were placed on the top of
Si3N4 ball, the C8F layer can last for a more cycles than that
under dry friction. But the increasing coefficients and the final
friction coefficients close to 0.8 hint that the C8F layer had
been destroyed by the heavy contact stress 330MPa. So we
thought that little water could not enter into the contact zone
easily to lubricate the friction pairs between glass slides
modified with C8F layer and Si3N4 ball. When the water
volume varied from 20ul to 200ul the friction coefficients
remained in the lower level and not changed linearly with the
volume increased but fallen in the interval of 0.02 to 0.06.
Under these conditions, water film must be formed to lubricate
the friction pairs, otherwise the friction coefficients should not
be so lower than that under dry friction. However, when the
droplet volume increased, the friction coefficients increased to
a higher level though the Si3N4 ball was surrounded by water.
Wo consider that water could not form load bearing film in
contact zone to separate the two surfaces.
A simple model shown in Fig.3 attempted to illustrate the
mechanism of water film forming under droplet lubrication and
its failure under full immersion was built. Under droplet
lubrication, water film would be forming in the contact zone
due to the interaction among air, water, ball and the upper ball.
Under this condition, we thought the load capability of the
water come from the hydrophobicity of air and self-assembled
layer C8F. However, when the upper ball immersed in the
158
water, the above formula would not be satisfied and water may
lost its load carrying capability, so water was squeezed out of
the contact zone. And these consequences were also approved
by our test results. So we thought that water film could be
formed hardly to separate the two surfaces of the friction pairs
effectively. In other words, if a great amount of water encircled
the ball, the load carrying capability the water adjacent to the
contact zone would lost and then its lubricate action.
Fig.10 Mechanism of water film (a) forming under droplet
lubrication and (b) its failure under full immersion
SUBMISSION
In this work, results shown that the friction coefficients
were affected the state of water surrounding near the Si3N4 ball.
Under full immersion, water could be squeezed out from the
contact zone because of the attractive force between water
molecules was bigger, so the water film could not be formed
easily in the contact zone and the friction coefficients were
higher. However, lower friction coefficient can be received
under droplet lubrication due to thin film of water formed in
the contact zone effectively separated the glass plates and steel
ball under the interaction of air, water, hydrophobic layer C8F
and Si3N4 ball.
ACKNOWLEDGEMENTS
The work is financially supported by NSFC of China
(50605034 and 50721004) and 973 Project (2007CB607604).
REFERENCES
[1]H.Tomizawa, T.E. Fischer,1987, “Friction and wear of
silicon nitride and silicon carbide in water: hydrodynamic
lubrication at low sliding velocity obtained by
tribochemical wear,” STLE Trans, 30,pp. 41–46.
[2] F. Honda, T. Saito,1996,ĀTribochemical characterization of
the lubrication film at the Si3N4/Si3N4 interface sliding in
aqueous solutions” Applied Surface Science. 92,
pp.651-655.
[3] Junguo Xu, Koji Kato,2000, “Formation of tribochemical
layer of ceramics sliding in water and its role for low
friction,” Wear. 245 () 61-75.
[4]J.Q.Yao, TA Blanchet, DJ Murphy, 2003, “Effect of fluid
absorption on the wear resistance of UHMWPE orthopedic
bearing surfaces,” Wear, 255,pp1113-1120.
[5]De Vicente J, Stokes JR, Spikes HA, 2005,
“Lubrication properties of non-adsorbing polymer
solutions in soft elastohydrodynamic (EHD)
contacts,” Tribology International, 38, pp.515–526.
[6]Yi He, Shengfu Chen, Jason C. Hower, 2007, “Molecular
simulation studies of nanoscale friction between
phosphorylcholine self-assembled monolayer surfaces:
Correlation between surface hydration and friction,”
Journal of Chemical Physics,127, 084708 .
(The whole paper will be supplied by the authors if reader
needs it.)
 A Simplified Numerical Elastic-Plastic Contact Model for Rough Surfaces
A Simplified Numerical Elastic-Plastic Contact Model for Rough Surfaces
Zhanjiang Wang1, Wenzhong Wang2, Yuanzhong Hu1*, Hui Wang1
1
Tsinghua University, Beijing China
2
Beijing Institute of Technology, Beijing China
ABSTRACT
Elastic-plastic contacts have been analyzed by means of a
three-dimensional numerical model based on minimization of
complementary energy and the fast Fourier Transform (FFT).
The effect of plastic deformation is included in solutions by
superimposing the plastic residual displacement on the
geometry of contacting surface. A plastic factor, , is
introduced to address the effects of residual stress, and the
radial return method and J2 flow theory with isotropic
hardening law are used for determining plastic strain increment.
The results from the present numerical model are compared to
those from finite element method (FEM) for three typical
contacts: i.e., a smooth elastic ball in contact with a rigid body
of different geometry: a smooth plane, a plane superposed with
a single asperity, and a sinusoidal wave on the plane. The
comparisons show good agreements between our model and
FEM. Then, three-dimensional elastic-plastic contacts of real
engineering surfaces produced by grinding process are
analyzed. Due to roughness effect, the maximum von Mises
stress and plastic region are found at the locations closer to the
surface. In elastic-plastic contacts, the pressure decrease at the
peaks and increase at the valleys if compared to the results
from purely elastic model. Moreover, plastic flow makes the
roughness surface flatten.
Keywords: Elastic-plastic contact, residual displacement,
numerical analysis, rough surfaces
1. INTRODUCTION
Basically, there are two types of models, statistic and
deterministic models, to deal with elastic-plastic contacts
between rough surfaces. Statistical models [1-3] concentrate
mostly on the relationship among statistical parameters, such
as the root mean square of surface roughness, asperity height
distribution, mean pressure, fractal dimension, plasticity index,
ratio of real contact area, etc., but important information, such
as local distributions of pressure, the von Mises stress, and
equivalent plastic strain, has not been revealed. On the other
hand, the deterministic model has been developed over recent
years to predict local behaviors of contacting asperities.
Meanwhile, the FEM has become a commonly used approach
in contact analysis. For example, it was employed by Liu et al.
[4] to analyze the elastic-plastic contact of rough surfaces, but
the analysis was limited to line-contact problems. Furthermore,
using the FEM to solve contact of rough surfaces is a time
consuming process, especially in three-dimensional problems.
In fact, elastic contact problems can be solved more effectively
by minimizing the total complementary potential energy, as
presented by Kalker [5]. The Conjugate Gradient Method
(CGM) was applied to solve a set of linear equations for
unknown pressure [6-8], while the pressure-deformation
relation is determined through the fast Fourier Transform (FFT)
approach. Owing to the CGM and FFT techniques, the
computation time to solve the three-dimensional contact of
rough surfaces is reasonable. However, the studies were
*To whom all correspondence should be addressed.
Email: huyz@mail.tsinghua.edu.cn
159
limited to elastic contact, and the influence of plastic flow on
rough surfaces was not included. Some researchers [9-11]
evaluated plastic effects via a phenomenological relation by
assuming that the contact pressure should not exceed the
hardness of the softer material in perfectly plastic model, but
the evaluations are approximated since they do not result from
accurate solutions.
Recently, Jacq et al. [12] presented a semi-analytical
method to solve elastic-plastic contact problems. Boucly et al.
[13] studied rolling and sliding contacts between two asperities
in term of this method. Nelias et al.[14] proposed a wear model
based on analysis of elastic-plastic contacts, but aimed at
smooth surface or surfaces with simple regular asperities. In
analysis of contact on real rough surfaces, computing grids
should be dense enough to get accurate results, which will cost
great computing times to calculate residual stresses under
contact surfaces. To improve computational efficiency, we
proposed a simplified elastic-plastic contact model in this
paper. In our method, residual stresses are not calculated, but
their influence has been included through adding a modified
residual displacement to the contact surfaces. The modified
coefficient, which is called the plastic factor, is evaluated in
advance through FEM calculations. The advantage of the
simplified model is the effectiveness in solving a contact
problem for rough surfaces, but the disadvantage is that it will
not give a prediction of residual stresses under the contact
surfaces. The results from our simplified model were
compared to those from FEM analyses for three typical cases,
i.e., a smooth elastic ball in contact with a rigid body of
different geometry: a smooth plane, a plane superposed with a
single asperity, and a sinusoidal wave on the plane. Then the
contact between a real engineering rough surface prepared by
grinding and a rigid plane was analyzed.
2. THEORY AND DESCRIPTIONS
2.1 Purely elastic contact model. The contact model based
on minimizing the total complementary potential energy has
been adopted for years, which is more convenient to work with
in terms of fast solution of contact pressure by using the CGM
and FFT technique [6-8].
An elastic contact problem can be reduced to finding a
minimum value of the total complementary potential energy,
which can be written in form of a quadratic programming
problem:
1
  p + pT  k  p
Minimize F(p) = h (1)
2
Subject to p( i, j )  0, i = 1,2,", M , j = 1,2,", N (2)
where p is the pressure to be solved, p(i,j) denotes the discrete
pressure at node (i,j), k is an influence coefficient matrix that
 = h  δ is
relates pressure to surface displacement, and h o
a geometrical interference between two surfaces with h0 and
standing for the initial body separation and the approach
between two surfaces. In numerical practice, however,
equations (1) and (2) used to be transformed into an equivalent
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

problem that obeys the Kuhn-Tucker complementary algorithm. At the first step, one has to assume a certain part in
conditions: the computation domain as the area of contact in which Eq.(9)
p( i, j )  0 and g ( i, j ) = 0 in contact region, (3) is solved to get pressure. If the solution gives a negative
pressure at node (i, j), it will be set to zero. Next, the surface
or, displacement ue and gap g(i,j) over the entire domain are
p( i, j ) = 0 and g ( i, j )  0 out of contact region, (4) calculated in terms of Eqs. (7) and (5). The nodes where g(i,j)
< 0 are added to the contact area while the node where g(i,j) >
where g(i,j) denotes the surface gap which can be expressed as:
0 are set as non-contact area, and the next round of pressure
g ( i, j ) = h(i, j) + ue ( i, j ) (5) solution starts. The iteration proceeds until the complementary
conditions (3) and (4) are satisfied. More details for the
where h(i , j) is the discrete form of the interference in numerical procedure can be found in reference [8].
equation (1) and ue(i, j) is the normal surface displacement due
2.2 A simplified elastic-plastic contact model. In elastic-plastic
to elastic deformation. The deformation ue caused by a
contact problem, there will be a permanent surface
distributed normal pressure can be calculated in terms of the
deformation caused by plastic strain. A simplified
infinite half-space solution of Boussinesq’s integration,
elastic-plastic contact model can be developed by adding the
1 p(ξ , η)
πE 
ue ( x , y ) = dξdη (6) permanent deformation to the surface gap equation, so that Eq.
s (x  ξ )2 + ( y  η)2 (5) has to be modified as
where  + u + ur
g=h (10)
e p

1 1 v 1 v 2
1
2
2
r
where u denotes the permanent normal displacement due to
= + p
E E1 E2 plastic deformation, namely, the residual displacement. Eq.(10)
For numerical computations, equation (6) has to be is expressed in the array form and it has an new item u rp
rewritten in discrete form:
which does not exist in elastic model. Residual displacement at
1
πE  (k
ue (i, j) = k(i  k, j  l ) p(k, l ) (7) surface can be calculated from plastic strain, as did by Jacq et
, l )
Γ al. [12] who used Betti’s reciprocal theorem to deduce the
where k(i-k, j-l) is defined as the pressure-deformation expression of u rp . The plastic strain domain under surface is
influence coefficient, i.e., the element of matrix k shown in Eq. divided into small cubic elements in which the plastic strain is
(1). The influence coefficients have to be determined in considered constant. Assume that the plastic strain in each
advance, by using the Green’s Function or more accurate element would cause a certain amount of plastic deformation at
interpolations to the integrand in Eq. (6). The difficulty is that surface, the total displacement, u rp , can be obtained by adding
the surface elastic deformation has a singularity at the point
where the force is applied. To avoid the singularity, the the contributions from the every cubic element. Then, the
pressure-deformation influence coefficients were deduced by residual displacement at a surface point (i, j) can be written as:
applying uniform pressure to a small rectangular area, instead
of a force concentrated at a single point. The expression for
urp (i, j) =  D(i  k, j  l)ε
( k , l )
Ω
p (k, l ) (11)

elastic deformation caused by uniform pressure distributed on

where ε p (k , l ) is the plastic strain at point (k, l), Ô denotes the
a rectangular area was obtained by Love as early as 1929.
Based on his results, the pressure-deformation influence plastic domain, and D(i  k, j  l ) is defined as the plastic
coefficient k(i, j) can be written as follows, strain-deformation influence coefficient, corresponding to the
plastic normal deformation at point (i, j) due to a unit plastic
k(i, j) ym ln(xm  x  y )  xm ln(ym  x  y )
2
m
2
m
2
m
2
m strain at point (k, l). The explicit expression
 ym ln(x p  x 2p  ym2 )  x p ln( ym  x 2p  ym2 ) of D(i  k, j  l ) can be found in reference [12]. Note the
residual displacements in the x and y directions are small
enough comparing to those in the z direction, thus in this paper
 y p ln( xm  xm2  y 2p )  xm ln( y p  xm2  y 2p ) the residual displacement refers to the normal component only.
Since Eq. (11) can be considered as a discrete convolution
similar to that in Eq. (7), the FFT-based approach has been
 y p ln( x p  x 2p  y 2p )  x p ln( y p  x 2p  y 2p ) applied for fast calculation of the residual displacement.
The most critical part in calculation of u rp is to
(8)
where x m = xi + Δ x /2 , x p = xi  Δ x /2 , determine plastic strain ε p . The basic theory and the radical

ym = yi + Δ y /2 , y p = yi  Δ y /2 . return algorithm involved in this study can be found in the

book written by T. Belytschko et al. [15], to which readers are
Having the influence coefficients determined, the condition referred for more details.
g(i,j) = 0 can be rewritten as
The numerical model in the present study is based on the
1
k(i  k, j  l ) p(k, l) + h( i, j ) = 0
πE  (k
(9) following assumptions.
, l )
Γ 1) Materials are incompressible so that the stress tensor and
This is a set of linear equations for the unknown pressure strain tensor can be written in the same form as the
which can be solved efficiently by means of the CGM deviatoric tensor for the stress and strain.

160
 A Simplified Numerical Elastic-Plastic Contact Model for Rough Surfaces

2) The constitutive equations used in this study are derived f

: C : ε
from the small-strain hypothesis.
λ = σ (19)
3) The plastic flow obeys the J2 flow theory and the von f f
Mises yielding criterion.  h+ :C:r
q σ
4) Material properties in plastic deformation follow the
isotropic hardening law. The return mapping algorithm for rate-independent
plasticity [16, 17] is used to resolve the constitutive equations
The method for determining the plastic strain can be and calculate the plastic strain. For the special case of J2 flow
summarized as follows theory with isotropic hardening law, the only internal variable
(1) For elastic-plastic deformation and in condition of small is the accumulated plastic strain (equivalent plastic strain),
strains, the total rate of strain consists of two components: given as h=1, q = λ = ε . The general return mapping
ε = ε e + ε p (12) algorithm has been reduced to the radial return method
(2) The stress rate, σ is related to the elastic strain rate, ε , described as follows
through the following equation 1) Assign an initial value:
σ = C : ε e = C : (ε  ε p ) (13) Let k=0, ε(0)
p = εp
(n )
, ε (0) = ε (n) , Δλ(0) = 0 ,
where C is a matrix describing material response or elasticity. σ (0) = c : (ε(n+1)  ε(pn) ) . (20)
(3) Plastic strain rate can be derived from the plastic flow rule 2) Compute the yield function
as follows
f (k) = σ (k)  σY (ε (k) ) = (σ (0)  3GΔλ(k) ) σY (ε (k) ) , (21)
ε p = λ  r(σ , q) (14) (k )
and check if f < eps , the iteration stops, otherwise
where λ is a scale variable representing the rate of plastic proceed to step 3)
flow, the vector r denotes the flow direction, and q is a internal (σ (0)  3GΔλ(k ) )  σ Y ( ε ( k ) )
3) Calculate δλ( k ) , δλ( k ) = (22)
variable describing the parametric evolution during the process 3G + H (k )
of plastic flow. If the flow direction coincides with the normal 4) Update the plastic strain and middle variables
direction of yield surface, there will be r  f σ where f is
σ (0) 3
a yield function, so that Eq. (14) can be rewritten as nˆ = dev
, Δε(pk ) = δλ( k ) nˆ , Δ ε ( k ) = δλ( k )
(0)
σ dev 2
f (σ ij )
dεijp = dλ (15) ε (k +1) = ε ( k ) + δλ(k ) , Δλ( k +1) = Δλ( k ) + δλ( k )
σ ij
3
Under the von Mises yield criterion, the flow direction in ε(pk +1) = ε kp + Δε(pk ) , σ ( k +1) = σ ( k )  2Gδλ(k ) nˆ , go
2
above equation can be written as r = f σ = 3 2nˆ ,
to step 2) (23)
where n is a unit normal vector of the yield surface, so that Eq.
(15) becomes In this work, Linear hardening law as shown in Fig. 1 was
dεijp = 3 2nˆ  dλ (16) considered, and the plasticity modulus has the form of
ET
This is the equation actually employed in numerical procedure H= , where ET denotes tangential modulus. After
to determine plastic strain ε p . 1  ET / E
(4) Yield condition: the plastic strain ε p , equivalent plastic strain ε and new
modified stress σ were obtained through the above-mentioned
f = [σ  σ Y ( ε )] = 0 (17)
algorithm, the residual displacement, u rp , can be calculated by
The condition f = 0 defines a yield surface in stress space.
using Eq. (11).
(5) In loading-unloading process the following conditions have
to be satisfied:
λ  0 , f 0 , λ  f = 0 (18)

The physical meaning of the condition is that the stress has to

remain on the yield surface f = 0 for all the time during plastic
loading while in the process of unloading or elastic
deformation there will be no plastic flow, i.e., λ = 0 .
(6) Consistency condition:
It is obvious that in order to get the plastic strain, the
plastic flow rate, λ , has to be calculated first. This can be done Fig.1 Linear hardening law, E is Young’s modulus, ET is
by using following equation known as the consistency tangential modulus
condition:

161
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
In elastic-plastic contact problem, the analysis of
subsurface stresses has to include the effects of residual
stresses due to plastic strain. The calculation of residual
stresses is time consuming (see Tab. 1 in reference [12]).
However, its effect on subsurface stresses can be taken into
account by a modification of contact surfaces geometry. This is
the principal idea for the simplified model proposed in this
study. Assume that the change in subsurface stress caused by
residual stresses could be evaluated by adding a virtual
displacement to the surface. As a result, the total residual
displacement is modified as α u rp , where  (Õı1) denotes a
plastic factor. The plastic factor can be determined through
computational tests using the FEM software, as will be
discussed for a smooth contact problem in the next section.
After both elastic and plastic deformations are obtained,
the gap g can be calculated in terms of Eq. (10) and the
simplified elastic-plastic contact can be analyzed by solving
the following quadratic programming problem similar to that
in Eq. (1) and Eq. (2),
1
 + αu r )  p + pT  k  p
Minimize F(p) = (h p (24)
2
Subject to p( i, j )  0, i = 1,2,", M , j = 1,2,", N (25)
The method for determining the contact pressure p(i,j) is
similar to that described in section 2.1, and the numerical
procedure to solve the entire problem of elastic-plastic contact
can be summarized in a flow chart shown in Fig. 2. The
influence of residual displacement and residual stresses is
considered through adding D ˜ u rp to surfaces geometry.
Because the actual residual surface displacement should be
u rp rather than D ˜ u rp , the pressure distribution obtained from
Eq.(24) and (25) contains an additional term which does not
exist in reality but it can give a proper evaluation of the
residual stress below surface. To get accurate pressure
distribution, one has to set ǂ = 1 in Eq.(24) at the end of loop,
then solve contact problem via the CGM approach.
Fig.2 Flow chart for the calculation of elastic-plastic contact
model: (a) overall elastic-plastic contact loop, (b) plasticity loop
3 RESULTS AND DISCUSSION
3.1 Comparison of the simplified elastic-plastic contact model
with finite element method
The finite element method (FEM) was used to verify the
model proposed in this work. We employed the commercial
162
software ABAQUSTM to perform the FEM computations for
an elastic-plastic sphere with different hardening law in
frictionless contact with a rigid plane. The FEM model used
4-node bilinear axisymmetric quadrilateral with reduced
integration and hourglass control (type CAX4R) element to
mesh the hemisphere. The element mesh near the contact
region was refined. Fig. 3 shows the model of a quarter-circle
in contact with a rigid plane under a normal load. The nodes at
the base of the sphere have zero displacements in all directions.
The basic parameters of hemisphere are Young’s modulus
E=100 GPa, Poisson’s ratio Ö=0.3, and radius of the
hemisphere R=20 mm. Elastic-plastic calculations were
performed under a normal load of 800N, in which the yield
stress, ÊY=600 MPa, and two values of the tangential modulus
for linear hardening law, ET=0.8E and ET=0.5E, were
employed. The pressure, distance, and residual displacement
were normalized by using the maximum Hertzian pressure and
the contact radius from purely elastic model, i.e., ph=1671.92
MPa and a=0.47798 mm.
Fig.3 Axisymmetric hemispherical contact model of a
quarter-circle in contact with a rigid plane under a normal load
800 N
3.1.1 The influence of plastic coefficient 
A smooth elastic-plastic contact with linear hardening law,
ET=0.5E, was employed to investigate the influence of plastic
factor, . Fig. 4 shows the von Mises stress along the z
direction obtained from the present model for different values
of ǂ. The corresponding results for the equivalent plastic
strain are shown in Fig. 5. As can be seen from Fig. 4 and Fig.
5 that =2.0 is more accurate to match the FEM results for the
smooth contact, and greater or smaller values of  would result
in significant deviation from the FEM solutions. In the study
below, the plastic factor =2.0 will be used for the analysis of
elastic-plastic contact problems.
Fig. 4 Comparison of the von Mises stress along the z direction
for various plastic factors 
Fig. 5 Comparison of the equivalent plastic strain along the z
direction for various plastic factors 
 A Simplified Numerical Elastic-Plastic Contact Model for Rough Surfaces

3.1.2 The results for smooth contact Table 1 Comparison of our method and FEM results: Purely
Two types of linear hardening law, ET=0.8E and ET=0.5E, elastic
were considered for the plastic flow. The results for the Purely elastic Maximum von Mises Maximum Pressure
normalized contact pressure, p/ph, and the half width of contact stress (MPa) (MPa)
region, x/a, are compared in Fig. 6, showing that the pressure Our method 1036.6 1672.0
Abaqus 1030.0 1663.0
decreases as the material plasticity increases. The comparison Diff. 0.640% 0.541%
of the von Mises stress distributions along the contact axis is
given in Fig. 7, from which it can seen that the von Mises Table 2 Comparison of our method and FEM results: ET=0.8E
stresses decrease as plasticity become more and more Linear Maximum Maximum Maxim Maximum
significant. Comparing to purely elastic model, the maximum hardening von Mises equivalent um residual
von Mises stress decreases from 1036.6 MPa to 856 MPa. ET=0.8E stress plastic pressure displaceme
(Mpa) strain (MPa) nt (mm)
Our method 968.0 9.20E-4 1609 2.44E-4
Abaqus 966.4 9.16E-4 1594 2.54E-4
Diff. 0.166% 0.437% 0.94% 3.94%

Table 3 Comparison of our method and FEM results: (7=0.5E

Linear Max von Max Max Max
Fig.6 Comparison of the contact pressure distribution, in the hardening Mises equivalent pressure residual
plane y=0 ET=0.5E stress plastic (MPa) displaceme
(Mpa) strain nt (mm)
Our method 856.0 2.55E-3 1505 6.66E-4
Abaqus 855.7 2.56E-3 1477 7.09E-4
Diff. 0.035% 0.039% 1.90% 6.06%

3.1.3 The results for singer asperity contact

Fig.7 Comparison of the von Mises stress distribution along
the contact axis
The equivalent plastic strain along the contact axis and
the surface residual displacement in the plane y=0 are shown
in Fig. 8 and Fig. 9, respectively. In our method, residual
displacement around contact center is a little lower than the
results from the FEM, which corresponds to the fact that
pressure distribution is slightly higher in present model.
Despite some differences, good agreements between our
method and the FEM can be seen in Fig. 6-9, demonstrating
that the selected plastic factor =2.0 is reasonable for smooth
contact problem. Some important results from Fig. 6-9 are
listed in Tab.1-3.
To investigate the effect of surface asperity, the
elastic-plastic contact problem with a single asperity attached
to the rigid plane was analyzed, using linear hardening law,
ET=0.5E. The geometric shape of the asperity is described by
Eq. (26) and illustrated in Fig. 10 (a).
z(x, y) = 0.0008  exp(10  (x2 + y2 ))cos(2π x2 + y2 ) (26)
Fig. 10(b) shows pressure distributions along the x
direction. The asperity causes a much higher maximum
pressure near the contact center if compared to smooth contact.
In plastic-elastic contact, the pressure around the contact center
is lower than that of elastic contact, but the results are reverse
near the edge of the contact area. Fig. 10(c) gives the von
Mises stress distribution along the z direction, showing a
similar trend that plasticity reduces the maximum von Mises
stress. The good agreement with the results from the FEM
validates the simplified elastic-plastic contact model in
application to the case of single asperity, and again the selected
plastic factor =2.0 is proved to be good for single asperity
contact.

Fig.8 Comparison of the equivalent plastic strain, along the

contact axis

Fig. 10 Comparison of results for a singer asperity contact to

the FEM solutions: (a) the asperity profile along the x direction,
Fig.9 Comparison of the residual displacement, in the plane (b) pressure profiles in the x direction, (c) the von Mises stress
y=0 along the z axis

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

3.1.4 The results for sinusoidal wave contact

In the following, the analysis will be extended to the
contact when one surface is in shape of sinusoidal wave, to
provide a further demonstration for capabilities of the present
model and to show the interactions of multi-asperity contact. In
this case, a small patch of sinusoidal waviness is superposed
on the upper rigid plane, while the lower surface is assumed
smooth. The geometric shape of the sinusoidal wave is defined Fig.12 Surface geometry by superposing roughness to a ball: (a)
by Eq. (27). roughness geometry, (b) roughness profile in the plane y=0
z ( x , y ) = 0.0004  cos(2π x 2 + y 2 /0.75) (27)
Table 4 Parameters of rough surface contact
The linear hardening law, ET=0.5E was employed again
Features Surface 1 Surface 2
for investigating the influence of plastic flow. Fig. 11(b)
Geometry Ra=213.57nm, Rq=276.43nm, Smooth
presents the pressure profiles along the x axis for elastic and superposed spherical:R1=20mm Plane:R2=
elastic-plastic contacts. The peak pressure is lowed apparently Young’s Modulus E1=100 Gpa E2= Gpa
due to plastic flow while the pressure in the valleys remains
Poisson’s ration Ö1=0.3
largely unchanged. It is interesting to note that the plasticity
Initial yield stress ÊY1=1200 Mpa
makes the pressure around the edge of the contact area
Elastic-plastic tangential modulus ET1=0.5E1
somehow increased. The von Mises stress distributions along
Normal load W=800 N
the z direction in Fig. 11 (c) show a similar behavior with that
Computation Domain 1.5a×1.5a
in Fig. 10 (c). The simplified elastic-plastic contact model in
application to multi-asperity contacts and the selection of Hertz contact radius a= 0.48063 mm

plastic factor =2.0 are validated by comparing to the FEM Max Hertz contact pressure ph˙1653.5218 Mpa

solutions.
Fig. 13 compares pressure distributions from purely
elastic and elastic-plastic analyses. Results show that in
elastic-plastic analysis the pressure decreases at peaks but
increases at valleys, giving rise to a less fluctuated distribution.
The surface residual displacement in the z direction, reflecting
the changes of surface geometry after loading and unloading, is
shown in Fig. 14, where the positive or negative value of
displacement corresponds to a decrease or increase of
roughness height. The magnitude of positive displacement is
generally greater than that of negative, indicating that the
surface is largely flattened due to plastic deformation. The
changing and flattening of roughness profile after loading and
unloading can be seen in Fig. 15, by comparing to the original
roughness.

Fig. 11 Comparison of results for sinusoidal wave contact to

the FEM solutions: (a) the wave profile along the x axis, (b)
pressure distributions along the x axis, (c) the von Mises stress
along the z axis
3.2 Elastic-plastic contact of rough surfaces
In this section, the analysis will be extended to the contact Fig.13 Comparison of purely elastic pressure distribution
of real engineering surface produced by grinding process. The versus elastic-plastic pressure distribution, in the plane y=0: (a)
Ra and Rq value of the roughness are measured as 213.57 nm Regular view, (b) Zoom of (a)
and 276.43 nm, respectively. The computational domain is
specified as -1.5a<x<1.5a, -1.5a<y<1.5a, and 0<z<0.2a, with
grids number 256×256×50 covering the domain. Fig. 12 shows
the measured roughness profile and the surface geometry
obtained by superposing the roughness data to a ball whose
radius is 20 mm. The rough ball is pressed against a rigid plane
under a normal load, and J2 flow theory with isotropic linear
hardening law is adopted in this case. Detailed information on Fig.14 Distribution of residual displacement at z direction, in
this contact case is listed in Tab. 4. the plane y=0

164
 A Simplified Numerical Elastic-Plastic Contact Model for Rough Surfaces
Fig.15 The changing of roughness profile after unloading, in
the plane y=0: (a) Regular view, (b) Zoom of (a)
Fig. 16 shows the distributions of the von Mises stress in
elastic and elastic-plastic contact. Owning to roughness effect,
the maximum von Mises stress appears at the location closer to
surface than that in smooth contact. Plastic flow makes the von
Mises stress decrease when it exceeds initial yield stress. Fig.
17 shows the distribution of equivalent plastic strain and the
region where plastic deformation occurs. The plastic region
also appears closer to the surface than in the case of the smooth
contact. The maximum equivalent plastic strain occurs in the
place under surface where surface pressure is the highest.
Fig.16 Comparison of purely elastic von Mises stress
distribution versus elastic-plastic von Mises stress distribution,
in the plane y=0: (a) purely elastic model, (b) elastic-plastic
model
Fig.17 Distribution of equivalent plastic strain, in the plane
y=0
Contact ratio, defined as the ratio of real contact area to
nominal contact area, is shown in Fig. 18 for different linear
hardening behaviors. Owing to the plastic flow occurring
below surface, the surface contact areas increase. Contact ratio
grows from 0.54895 for elastic contact to 0.59367 for elastic
perfectly plastic contact.
The computation time when using the present model is
reasonable that it took about 30 minutes on a 2.8 GHz Personal
Computer to get the results shown in Fig. 12-18, but
computation for the FEM solutions on rough surface is beyond
the capability of the PC. The simplified model for numerical
analysis of elastic-plastic contacts can be extended easily to the
sliding contact problem, which is the task of an ongoing study
and will be discussed elsewhere.
165
Fig.18 Contact ratio in different linear hardening behavior
Conclusion
A three-dimensional elastic-plastic contact model, in which
the plastic strain increment is determined through the radial
return method and J2 flow theory with isotropic hardening law
and the CGM and FFT techniques are used for improving
computational efficiency, has been presented in this paper.
Having been validated by comparing with the FEM solutions
for three typical cases, the model has been applied for the
analysis of a three-dimension elastic-plastic contact on a real
engineering surface produced by grinding process. Based on
the results and discussions above, the following conclusions
can be drawn.
1. Surface roughness will influence the maximum von
Mises stress and plastic region, whose locations are closer to
the surface in comparison to the case of smooth contact.
2 Distributions of contact pressure will be changed if
plastic effect is included. In contrast to elastic contact, the
plastic-elastic pressures will decrease at peaks and grow in the
valleys, while those in the middle range remain unchanged.
3 The shape of surface roughness will be modified by
plastic deformation after loading and unloading. In
elastic-plastic contacts, asperity height and depth of valleys
become smaller as a result of residual displacement, and
roughness profile appears less fluctuating.
4 Real contact areas depend on the plasticity of materials.
For a fixed load, the contact ratio increases as the plastic
deformation becomes more significant, and it reaches the
maximized when the elastic-perfectly plastic law is employed.
ACKNOWLEDGEMENTS
The authors would like to thank the support of the National
Basic Research Program of China, under Grant
No.2006CB705403, and the National Science Foundation of
China under Grant Nos.50675111 and 50730007.
NOMENCLATURE
a = Hertzian contact radius, mm
A= pressure-stress influence coefficients
C = fourth-order tensor of elastic moduli, MPa
D = plastic strain-deformation influence coefficients,
mm
E = Young’s modulus, MPa
E* = effective Young’s modulus, MPa
ET = tangential modulus, MPa
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

eps = convergence value, MPa REFERENCES

f (σ , q) = yield function [1] Greenwood, J. A., and Williamson, J. B., 1966, “Contact of
g = surface gap, mm Nominally Flat Surfaces,” Proc. Roy. Soc. (London) A 295.
pp. 300–319.
G = shear modulus, MPa
[2] Onions, R. A., and Archard, J. F., 1973, “The Contact of
h(σ , q) = parameters in evolution equations Surfaces Having a Random Surface Structure,” Jour. of
h 0 = initial body separation between two surfaces, mm Phys. D, Appl. Phys., 6, pp 289-304.
[3] Majumdar, A., and Bhushan, B., 1991, “Fractal Model of
 = geometrical interference between two surfaces,
h Elastic–plastic Contact Between Rough Surfaces”, ASME J.
 = h  δ , mm
h Tribol., 113, pp. 1–11.
o
[4] Liu, G., Zhu, J., Yu, L., and Wang, Q., 2001, "Elasto-Plastic
dσ Y
H = plasticity modulus, H = , in linear hardening Contact of Rough Surfaces," STLE Tribol. Trans., 44, pp.
dε 437–443.
ET [5] Kalker, J. J., 1977, “Variational Principles in Contact
law H = , MPa
1  ET / E Elastostatics,” J. Inst. Math. Appl., 20, pp199-219.
[6] T. Nogi, and Kato, T., 1997, “Influence of a Hard Surface
J2 = the second invariant of the deviatoric stress Layer on the Limit of Elastic Contact,” Part I: Analysis using
1
tensor, J 2 = σ ij σ  , MPa a real surface model, ASME J. Tribol., 119, pp.493–500.
2 [7] Hu, Y. Z., Barber, G. C., and Zhu, D., 1999, “Numerical
k = the pressure-deformation influence coefficients analysis for the elastic contact of real rough surfaces,”
matrix, mm Tribol. Trans., 42, pp. 443–452.
M, N = grids numbers along x, y directions, respectively [8] Polonsky, I. A., and Keer, L. M., 1999, “A Numerical
p = pressures, MPa Method for Solving Rough Contact Problems Based on the
ph = maximum Hertzian contact pressure, MPa Multi-level Multi-summation and Conjugate Gradient
Techniques,” Wear, 231, pp. 206–219.
q = internal variables
[9] Tabor,D., 1951, The hardness of metals, Clarendon Press,
r(σ , q) = plastic flow direction Oxford, U. K.
R = radius of the ball, mm [10] Johnson, K. L., 1985, Contact Mechanics, Cambridge
Ra, Rq = average and root-mean-square roughness, nm University Press, Cambridge, UK.
u e = the surface displacement due to elastic effect, mm [11] Peng, W., and Bhushan. B., 2001, “A Numerical
Three-dimensional Model for the Contact of Layered
u rp = the permanent deformation due to plastic effect, Elastic/plastic Solids with Rough Surfaces by Variational
mm Principle,” ASME J. Tribol., 123, 330–342.
x, y, z = space coordinates, mm [12] Jacq, C., Nélias, D., Lormand, G., and Girodin, D., 2002,
“Development of a Three-Dimensional Semi-Analytical
α = plastic factor
Elastic-Plastic Contact Code,” ASME J. Tribol., 124, pp.
δ = the approach of two surfaces, mm 653–667.
ε = tensor of total strain [13] Boucly, V., Nélias, D., and Green. I., 2007, “Modeling of
εe = elastic strain tensor the Rolling and Sliding Contact Between Two Asperities,”
ASME J. Tribol., 129, pp. 235–245.
ε p = plastic strain tensor
[14] Nélias, D., Boucly, V., and Brunet, M., 2006,
ε = equivalently plastic strain, ε = 2ε p : ε p “Elastic-Plastic Contact between Rough Surfaces: Proposal
3 for a Wear or Running-in Model,” ASME J. Tribol., 128, pp.
λ = plastic parameter 236–244.
Ö = Poisson’s ratio [15] Belytschko,T., Liu, W. K., Moran, B., 2000, Nonlinear
σ = tensor of total stress MPa finite elements for continua and structures, Wiley, New York.
[16] Krieg, R. D., and Key, S. W., 1976, “Implementation of a
σ dev = deviatoric tensor of stress, MPa time dependent plasticity theory into structural computer
σ = equivalent stress, MPa programs, in constitutive equations in viscoplasticity,” In:
σ Y = yield strength, MPa Stricklin, J. A., Saczalski, K. J., editors. Constitutive
equations in viscoplasticity: Computational and Engineering
Ô = plastic domain
Aspects (AMD-20), ASME, New York. pp. 125–137.
[17] Simo, J. C., and Taylor, R. L., 1985, “Consistent tangent
SUBSCRIPTS operators for rate independent elastoplasticity,” Comput.
1,2 = lower and upper surfaces, respectively Meth. Appl. Mech. Eng., 48, pp. 101-119.

166
 Film Characteristics of Grease in Point Contact under Micro-Swaying Motion

Film Characteristics of Grease in Point Contact under Micro-Swaying Motion

Li Gang (State Key Laboratory of Tribology, Zhang Chenhui∗ (State Key Laboratory of Tribology,
Tsinghua University, Beijing 100084, China) Tsinghua University, Beijing 100084, China)
Luo Jianbin (State Key Laboratory of Tribology, Liu Shuhai (State Key Laboratory of Tribology,
Tsinghua University, Beijing 100084, China) Tsinghua University, Beijing 100084, China)
Lu Xinchun (State Key Laboratory of Tribology,
Tsinghua University, Beijing 100084, China)
(Extended Abstract)

ABSTRACT
Transient thin-film lubrication of the grease occurs in many
machine elements including bearings, gears and cams. It also
occurs in rolling-element bearings at the start or stop of motion.
Thus the lubricant supply and film formation are important in
ensuring the successful operation of a bearing.
This paper uses experiment to study the behavior of grease
films in swaying motion. The technique of Relative Optical
Interference Intensity is used to measure the film thickness and
the film profile through analysing the interference images
which are captured at a rate of 60 times per second. The
lubrication state is monitored during accelerated and
decelerated motion.
The experiment results show that the grease lubrication in
swaying motion is a complex problem. The minimum film
thickness does not occur at the theory position, but with a
certain time delay which is relative to the change of speed and
the rate of change motion direction.
Keywords: thin-film lubrication, micro-swaying motion,
grease, viscosity
acceleration/deceleration, stop/start and reciprocation.
In the experimental apparatus, the point contact is formed
between the flat surface of a coated glass disc and 7/8 int.
diameter steel ball.
A lubricated point contact is formed by loading and
rolling a highly polished, steel ball against the flat surface of a
glass disc, as shown in fig.1. The ball is driven by disc and the
disc is driven by NSK-YSB motor which can provide velocity
from 0.0001r/s to 3r/s and provide acceleration from 0.01r/s2
to 1280r/ s2.In tests the steel ball(AISI 52100 ) has 7/8 int.
diameter, which Ra roughness is 5nm,the glass disc has a
diameter of 140mm, which Ra roughness is 2nm. The two
bodies are loaded together with a force of 7N, which produced
a maximum Hertzian pressure of 0.423GPa.The lubrication
employed in these experiment was lithium grease.

INTRODUCTION
Elastohydrodynamic lubrication occurs in many important
mechanical components such as ball and roller bearings, gears
and cams. The elastic deformation of the bounding surfaces
and the viscosity rise of the oil due to the very high pressures,
lubricant is dragged into the contact by entraining motion and
forms a film thick enough to separate the contacting bodies. It
is easy to understand that the influence of combined entraining Fig.1 Schematic of the experimental apparatus
and normal squeeze motion is very important for highly
This study is concerned with film behavior under swaying
stressed machine elements. In practical terms, the grease is
motions with constant acceleration and constant deceleration.
used in many mechanical elements. The primary role of the
The tests are carried out in pure rolling.
grease lubricant is to provide a sufficient supply of oil to
maintain a separating lubricant film.. Although steady-state
lastohydrodynamic(EHD) lubrication is quite well understood RESULTS AND DISCUSSION
both from the theoretical and from the experimental view, it is Fig.2 shows a set of film thickness interference images
difficult, however, to predict the elastohydrodynamic (EHD) just before reversal. The arrowheads on the left of the
film hickness obtained with a grease[1~4].The liquid oil is interference pictures indicate the motion direction of the disc.
usually used in lubricant experiment by many peopleunder The motion is deceleration from the moment 0ms to 64ms. The
nonsteady state[5,6] , investigations of grease lubricant under zero entrainment moment just occurred after 64ms and a
“hump” film profile can be seen at round zero entrainment.
nonsteady-state are currently far less developed. This paper
After reversal from 64ms onward, the motion is acceleration
focuses on an experimental study on film characteristics of
and the hump can be seen to pass from left to right across the
grease in point constant under swaying motion.
contact.
EXPERIMENTAL SECTION
In this paper, the non-steady state film thickness
measurement system is shown in fig.1, which uses the
(a) (b) (d) (e) (f)
technique of relative optical interference intensity[7].The
technique can be used to determine film thickness in the
contact region down to 0.5nm in the vertical direction and
10μm in the horizontal direction. It also describe film (g) (h) (i) (j) (k)
thickness profiles across the contact, in either the transverse or
rolling direction. This measurement system can be used in Fig.2 Images of the point contact during reversal of
many kinds of non-steady state motions, including entrainment (2Hz)

167
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Figure 2 gives useful qualitative interference images but
does not provide quantitative data and does not give the profile
of the lubricant film. According as the relative optical
interference intensity, the film thickness and the film profile
corresponding interference image can be obtained. Figure 3
shows a succession of film profiles in rolling direction
corresponding interference image of fig.2.
Fig.3 Film profiles during reversal of entrainment(2Hz)
The inlet was initially on the right side of the contact.
Under deceleration, the film of the central contact forms a
hump, the central region film is thicker than its peripheries.
The film thickness of the outlet is thicker than that of the inlet
with the speed deceleration and the hump of lubricant shows a
higher thickness toward the outlet. This is because the thicker
film formed when the entrainment speed was higher has taken
a finite time to pass through the conjunction[6].
Entrainment resumes in Fig.3(g),which was the exit of the
contact on the left of the figure becomes the new inlet and the
hump here starts to travel across the contact, as is clearly seen
in figs.3(f)~(i),which correspond to figs2(f)~(i).
After resumes, the central film thickness dose not become
thicker with the speed increasing as prediction, but to diminish
until it reaches a minimum value at the moment when the
hump passes the central contact as seen in Fig.3(i). From the
minimum film thickness moment, the film thickness in the
central region of the contact increases as prediction.
The minimum film thickness is important parameter that
to evaluate lubrication state. As shown fig.3, it was found that
the central minimum film thickness occurs just after the
moment of zero entrainment and is located round of the contact
periphery. As shown in fig.4 and fig.5, in swaying motion with
a few kinds swaying frequencies, the minimum film
thicknesses are thicker than that of the initialize under the same
experimental conditions except swaying frequency.
Fig.4 Minimum film thickness Fig.5 Minimum film thickness
in transverse direction in rolling direction
As shown in fig.6, during the process of deceleration, the
film thickness of the inlet is decreasing more quickly than the
film thickness of the exit. At the same time, the film profile of
the contact area gradually tilts to the inlet. When near the zero
entrainment the contact area film profile like “hump” and the
thickest point is near exit.
As shown in fig.7, after reversal, what is the exit of the
contact on the left becomes the inlet, this process becomes
168
Fig.6 Film profiles during Fig.7 Film profiles during
deceleration acceleration
acceleration and the "hump" ± film starts to travel across the
contact. After this, the film of the contact area becomes
almost flat. With the entrainment speed increasing, the film
thickness of the central area is also increasing, while the film
thickness of the inlet is increasing quickly than that of exit. So
that the film profile of the contact area gradually tilts to the
exit.
CONCLUSION
During swaying motion, at the moment of zero
entrainment, the central film thickness is thicker than its
peripheries, and the value of the central film thickness
increases with rate of change of entrainment speed
(deceleration).The central film thickness of the contact has a
minimum value not at the moment of zero entrainment but
some time after this, the time lag depending on the acceleration
rate. The former exit of the contact shows relatively high film
thickness at the moment of zero entrainment speed. However,
this thickness falls sharply after the resumption of entrainment.
ACKNOWLEDGEMENTS
The authors acknowledge the financial support from 973
Project (2006CB705403੠2007CB607604).
REFERENCES
[1] P M Cannt and H A Spikes ,1992, “the behaviour of
greases in elastohydrodynamic contacts,” J. Phys. D
Appl. Phys.,25,pp. A124-AI32.
[2] Cann P M, Doner J P, Webster M N and Wikstrom V,
2001, “Grease degradation in rolling element bearings”
STLE Tribol. Trans., 44 ,pp.399-404.
[3]Cann,P.M.and H A Spikes, 1992, “Film thickness
measurements of greases under normally starved
conditions,” NLGl Spokesman, 56,pp 21-31.
[4]Zhu,W.S. and Neng, Y.T., 1988, “A theoretical and
experimental study of EHL lubricated with grease,”
ASME Trans., J. Rib., 110 ,PP.38-43.
[5] Glovnea, R.P. and Spikes,H.A.,2000,”The influence
of Lubricant Upon EHD Film Behavior During Sudden
Halting of Motion,”Trib. Trans.,43,4,pp 731-739.
[6] Romeo P Glovnea and H. A Spikes,2002, “Behavior
of EHD films during reversal of entrainment in
cyclically accelerate/deceleration motion” Trib. Trans.,
45, 2,pp.177-184
[7] Luo JB, Wen SZ, Huang P, 1996, “Thin film
lubrication.Part I. Study on the transitionbetween EHL
and thin film lubrication using a relative optical
interference intensity technique,”Wear,194, pp. 107-115.
 Effects of Solid Body Temperature on the Non-Newtonian Thermal EHL Behavior in Point Contacts
Effects of Solid Body Temperature on the Non-Newtonian Thermal EHL Behavior in Point Contacts
Xiaoling Liu* (School of Mechanical Engineering,
Qingdao Technological University,
Qingdao 266033, China)
(Extended Abstract)
ABSTRACT
In order to understand the influence of the body
temperature of contact solids on the lubrication performance
of machine components such as gears and roll-bearings, full
numerical solution for the non-Newtonian and thermal
elastohydrodynamic lubrication (EHL) problem in point
contacts has been achieved, assumed that the solid body
temperature is different from the temperature of the supplied
lubricating oil. The Ree-Eyring rheological model has been
used to describe the shear-thinning behavior of the lubricant.
The effects of the body temperature, the slide-roll ratio, and the
velocity parameter have been discussed. The solutions for the
body temperature being higher or lower than the temperature
of the supplied oil have been compared with that of the
conventional thermal EHL solution, where the temperature of
the contact bodies and the temperature of the supplied oil are
assumed to be the same. Results show that, if the entrainment
velocity is not very high, the solid body temperature plays a
dominant role in the EHL behavior, however, the influence of
the body temperature decreases as the entrainment velocity
increases. Comparisons between the non-Newtonian and
Newtonian results have been made under some operating
conditions. It has been shown that, comparing with the
Newtonian solution, the shear-thinning property of the
lubricant can always lead to lower frictional coefficient and
lower temperature, but has little effect on the film thickness, no
matter the temperature of the contact bodies is lower than,
equal to, or higher than that of the supplied oil.
Keywords: Solid body temperature, Non-Newtonian, Thermal
EHL, Point contacts
INTRODUCTION
The first numerical solution for point EHL contacts
considering both the thermal effect and the non-Newtonian
flow was carried out by Zhu [1] in 1984. Recent thermal
analyses for point EHL contacts considering non-Newtonian
flow included the works by Kim et al. [2], and Liu et al. [3].
For the lubrication of machine components such as
bearings, gears, etc., the temperature of the supplied oil
sometimes may higher than the body temperature of the
machine elements, such as in the process of starting up of an
outdoor equipment in a winter morning, and, sometimes the
former may lower than the later, such as in the case that cold
oil is sprayed to a pair of meshing gears when the running
machine has reached a thermal equilibrium state. Therefore, in
an thermal EHL analysis, the body temperature of the
contacting solids should be treated not to be the same as the
temperature of the supplied oil. However, in the previous
analyses for the Newtonian or non-Newtonian fluid thermal
EHL problems, the body temperature of the contacting solids
was usually assumed to be the same as the temperature of the
supplied oil. Although the present authors have investigated
the effect of the body temperature on the Newtonian EHL
contacts [4], it appears that the role of the body temperature on
the non-Newtonian EHL has never been investigated yet. The
*To whom all correspondence should be addressed.
* email: lxl@qtech.edu.cn
169
Peiran Yang (School of Mechanical Engineering,
Qingdao Technological University,
Qingdao 266033, China)
main goal of this study is to obtain the thermal solution of
non-Newtonian point EHL contacts at various operating
conditions by assuming that the body temperature is different
from the supplied oil temperature, so that to get a deeper
insight in the thermal and non-Newtonian EHL regime.
MATHEMATIC MODEL
The schematic of the thermal lubrication system
investigated in this paper is shown in Fig. 1. Solids a and b run
in the same direction with surface velocities ua and ub,
respectively. The inlet is on the left-hand side. Assumed that
the body temperatures of solids a and b are the same. At the
left edge (where x = xin) of the temperature computational
region, the boundary temperatures of solids a and b are given
by ts, while the boundary temperature of the oil film excluding
the region of reverse flow is given by t0, which denotes the
temperature of the supplied oil.
Fig. 1 Boundary temperatures of both solids and the oil film
As shown in Fig. 1, the boundary condition of the oil film
energy equation is
t ( xin , y, z ) = t0 (if uin ≥ 0). (1)
The boundary conditions of the energy equations of both
solids are
⎧t ( xin , y, za ) = t s , t ( x, y,− d ) = t s , (2)
⎨
⎩t ( xin , y, zb ) = t s , t ( x, y , d + h ) = t s .
All other equations such as the generalized Reynolds
equation, the film thickness equation, the load balance equation
and the viscosity and density relationships for the current
problem are the same as those in Ref. [3].
RESULTS
Numerical solutions were obtained for both the
Newtonian fluid and the Ree-Eyring fluid (assumed that τ0 =
10 MPa) with various body temperatures for a steel-steel
circular contact with Rx = Ry = 0.02 m. The dimensionless
domain for pressure is Xin = xin/bH = −4.5, Xout = xout/bH = 1.5,
and Yout = yout/bH = 1.8. Although the absolute temperature
with unit K was used in the numerical procedure, the
temperatures of the numerical results will be presented with
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
the Celsius degree (°C). For all results, the temperature of the
supplied oil was assumed to be t0 = 303 K (30 °C). The body
temperatures in figures will be represented by the
dimensionless value Ts: Ts = 0.95 means ts = 0.95×t0 = 287.85
K (14.85 °C), similarly, Ts = 1.0 means ts = t0 = 303 K (30 °C),
and so on.
For the dimensionless parameters ξ = 1.0, Ue = 1.0×10−11,
G = 5000, and W = 1.74×10−6 (pH = 1.0 GPa, and bH = 0.275
mm), distributions of the film thicknesses, pressures and film
temperatures on the plane of Y = 0 for the Ree-Eyring fluid are
illustrated in Fig. 2. It can be seen from Fig. 2(a) that, as the
body temperature increases, the film thickness decreases
significantly, however, Fig. 2(b) indicates that the body
temperature has little effect on the pressure distribution. The
temperature curves shown in Fig. 2(c) suggest that, the
supplied oil can be cooled or heated very rapidly in the inlet
region by the cool or hot solids. From the dotted curve for Ts =
0.95 and the dashed curve for Ts = 1.05 shown in Fig. 2(c), it
can be seen that, after the oil molecules pass the distance from
X = −4.5 to X = −3.0, i.e., a distance of 1.5bH, the supplied oil
has already been cooled or heated completely, that is, the
temperature of the oil has already become the same as the body
temperature of the contacting solids. It is well known that, for
the same entrainment velocity, the EHL film thickness mainly
depends on the inlet viscosity of the lubricant, that is, the oil
viscosity at the position a little before the point of X = −1.0.
From the temperature curves shown in Fig. 2(c), it can be
roughly assumed that, for the three cases, at a point before X =
−1.0 the pressure is close to zero and the temperature is about
0.95×t0, t0, and 1.05×t0, respectively, and the corresponding
viscosities at this point should be applied to estimate the film
thicknesses if the famous Hamrock-Dowson formulae are
employed.
1.0
a)
0.8
0.6
h (μm)
0.4
Ts = 0.95
Ts = 1.0
0.2
Ts = 1.05
0.0
1.2
b)
0.9
p (GPa)
0.6
0.3
0.0
120
c)
90
t ( C)
60
o
30
0
-4.5 -3.0 -1.5 0.0
X
Fig. 2 Distributions of the film thicknesses, pressures and film
temperatures on the plane of Y = 0 forτ0 = 10 MPa, ξ = 1.0, Ue
= 1.0×10−11, G = 5000, and W = 1.74×10−6
Figure 3 shows comparisons of the predicted frictional
coefficients between the Newtonian and Ree-Eyring solutions.
It can be seen that the difference between the corresponding
frictional coefficients is remarkable, especially when the
slide-roll ratio is small.
0.5 0.5
Newtonian
ξ = 1.0
ξ = 0.1
0.4 Ree-Eyring 0.4
frictional coefficient
frictional coefficient
0.3 0.3
0.2 0.2
0.1 0.1
0.0 0.0
0.95 1.00 1.05 1.10 1.14 0.95 1.00 1.05 1.10 1.14
Ta Ts
Fig. 3 Variations in the frictional coefficients versus the body
temperatures for the Newtonian and Ree-Eyring fluids. Ue =
1.0×10−11, G = 5000, and W = 1.74×10−6
Numerical solutions with various entrainment velocities
have been obtained. The results indicate that the effect of the
body temperature decreases as the entrainment velocity
increases, because the higher the speed, the shorter the time for
the oil to reach the contact.
CONCLUSIONS
No matter for Newtonian or Ree-Eyring fluid, the EHL
behavior of a point contact is dominated by the body
temperature when the entrainment velocity is low enough. The
effect of the body temperature becomes weaker with the
increase in the velocity parameter, and becomes negligibly
small when the entrainment velocity becomes extremely high.
When the EHL behavior is dominated by the body temperature,
the film thickness in the contact is controlled by the effective
ambient viscosity of the lubricant. Through the whole range of
the body temperature investigated in this study, comparing
with the Newtonian solution, the non-Newtonian solution
always predicts smaller frictional coefficient and lower film
temperature. However, the shear-thinning property of the
lubricant has little effect on the predicted film thickness.

ACKNOWLEDGEMENTS
This work was supported financially by the National
Natural Science Foundation of China through grant 50575108,
and by the Natural Science Foundation of Qingdao City, China
through grant 05-1-JC-94.
REFERENCES
 [1] Zhu, D., 1984, “A Thermal analysis of the
elastohydrodynamic lubrication in elliptical contacts,” Ph.
D. thesis, Tsinghua University, Beijing, China (in Chinese).
[2] Kim, H. J., Ehret, P., Dowson, D., and Taylor, C. M., 2001,
“Thermal elastohydrodynamic analysis of circular contacts,
Part 2: non-Newtonian model,” Proc. Inst. Mech. Eng.,
Part J: J. Eng. Tribol., 215, pp. 353-362.
1.5
[3] Liu, X., Jiang, M., Yang, P., and Kaneta, M., 2005,
 “Non-Newtonian thermal analyses of point EHL contacts
using the Eyring model,” ASME J. Tribol., 127, pp. 70-81.
[4] Liu, X., and Yang, P., 2008, “Influence of solid body
temperature on thermal EHL behavior in circular contacts,”
ASME J. Tribol., 130, pp. 014501-1~014501-4.
170
 Numerical Analysis on Dynamic Characteristics of Flying Magnetic Head with Ultra Thin Spacing
Numerical Analysis on Dynamic Characteristics of Flying Magnetic Head
with Ultra Thin Spacing
Yao Hua-pingˈHuang Ping
(School of Mechanical and Automotive Engineering, South China University of Technology,
Guangzhou 510640, China)
ABSTRACT
This paper presents numerical analysis of the dynamic
characteristics of an air bearing system of a magnetic head with
ultra-thin spacing. The dynamic response of the air film is
analyzed with the momentum equations and the time-dependent
modified Reynolds equation based on the FK-Boltzmann
modified model. The static pressure distribution is numerically
calculated firstly by using an up-wind scheme for a very large
bearing number and a harmonic average method is used for
calculating the flux factor of film thickness with abrupt steps.
Then, the dynamic characteristics are analyzed in frequency
domain with the perturbation method as well as the finite
difference method. The variation tendencies of the stiffness and
damping coefficient with the frequency in the translation, pitch
and rolling directions and the minimum film thickness are
obtained and studied.
Keywords: Dynamic characteristic, Ultra-thin spacing,
Frequency domain, Magnetic head
INTRODUCTION
The computer memory technology is developing toward
large memory capacity, high speed of data processing and high
stability. With the increasing demand of the data storage
capacity of computer disk drivers, the spacing between the
slider and the disk has been rapidly dropped to 10 nm or less as
well. When the storage density achieves 1 Gbit/in2, the spacing
may drop to 3.5 nm or even less, which is much less than one
tenth of the mean free path of gas molecules. Since dynamic
behaviors greatly affect the systematic stability of a hard disk,
it is of significant importance to study the dynamic
characteristics and flying stability of a magnetic head.
The detailed theoretical work on dynamic behavior of a
magnetic head as a slider has been performed since 1970’s.
Tang made a numerical simulation of an air bearing system in
the time domain, solving the equation of motion of the slider
simultaneously with the time-dependent Reynolds equation for
three degrees of freedom in 1971 [1]. Ono analyzed the
stability and dynamic response of an air-lubricated slider
bearing and he calculated the dynamic pressure distribution of
response of a Guppy slider to external disturbances in time
domain with a flying height of 50nm. In 2004, Fukui, Matsui
and et al. employed the cubic interpolated propagation method
for dynamic analyze of ultra thin gas film lubrication by using
the molecular gas-film lubrication equation [6].
The analysis in the frequency domain is effective for
obtaining general insights into the dynamic characteristics of
the slider. In this paper, the perturbation method with finite
difference method is applied to analyze the dynamic
characteristics of a magnetic slider in frequency domain. First,
a new numerical scheme is used to calculate the static pressure
distribution of the flying head slider by using the modified
Reynolds equation based on the FK-Boltzmann modeling,
which is taking the Couette flow as the dominating term to
discrete the equation and introducing harmonic flow factor to
solve the abrupt change of film thickness. Then, the varying
curves of the air film stiffness and damping coefficient with
frequency are analyzed in detail. The minimum film thickness
and the frequency response of a slider is obtained and studied
by combining the modified Reynolds equation with the
momentum equations.
1. Mathematic Model
1.1 The FK-Boltzmann Modified Reynolds Equation
The governing equations for the dynamics of the slider
bearing system are the momentum equations of the slider and
the time-dependent Reynolds equation. The dimensionless form
of the modified Reynolds equation based on the FK-Boltzmann
modified modeling is as Eq.1.
w wP w wP w ( PH ) w ( PH ) w ( PH ) (1)
( PH 3Q ) ( PH 3Q ) /X  /y V
wX wX wY wY wX wY wT
where, P=p/pa is the dimensionless pressure; pa is atmospheric
pressure; H=h/h0is the dimensionless flight height or film
thickness; h0 is minimum gas film thickness; Q=Qp/Qcon is the
Poiseuille flow-rate coefficient; T =tÉ0is the dimensionless
time; 0 is characteristic frequency; X and Y are the
dimensionless coordinates, X=x/L and Y=y/B;(L is length of
slider; B is width of slider). The other quantities in Eq.1 are the
air film in frequency domain with small perturbation method bearing number, x(=6UL/Pa/h02)DQGy (=6VB/Pa/h02) in the
and finite difference method in 1975[2]. In earlier 1980’s, directions X and Y; is the squeezing number, =120L2/h02Pa;
White and Nigam used a factored implicit scheme to solve the  is the viscosity of gas; U is the velocity of disk in X direction;
Reynolds equation in time domain. They introduced a new V is the velocity of disk in Y direction V; Qcon is the continuous
variable Z=PH to replace the original pressure to solve the Poiseuille flow-rate coefficient, =D/6; D=D0PH is inverse
equation for a gas film thickness of 127nm [3]. In 1990,
Hayashi and Fukui analyzed the dynamic characteristics of a
gas-lubricated slider bearing under high Knudsen number
conditions (the spacing is less than 100 nm) by using a
generalized lubrication equation based on the Boltzmann
equation [4]. In 1995, Cha and Bogy [5] developed a numerical
scheme based on the finite difference technique and utilized
the control volume formulation and they used the alternating
direction implicit method to simulate the steady–state flying
conditions and dynamic response of subambient pressure
sliders with shaped rails. They also simulated the dynamic
171
Knudsen number, D0 (=pah0/((2RT0)1/2) is characteristic
Knudsen number; R is the gas constant, =287.03; T0=293K is
absolute ambient temperature, Qp is the Poiseuille flow-rate
coefficient and one more convenient form can be fitted as
follows [8].
D (2)
Qp  1.0162  0.40134 ln(1  1.2477 / D )
6
The pressure boundary condition for Eq.1 is that the
pressure is set to be the ambient pressure (pa) at the edge of the
slider.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

H H0 K
(6)
P P0  \
(7)
The small deviation of spacing Ø is given as:
K Z  4 ˜ ( X G  X )  ) ˜ Y  A sin( :T )
(8)
where, Z =z/h0; = l/h0, =B/h0 and Asin(T) are the
translation, pitch, roll and the motion of the recording surface,
Fig. 1 The three-DOF physical model of a slider respectively.
The dynamic pressure  for spacing Ø is expressed as
1.2 The Momentum Equation \ G1 ˜ Z  G 2 ˜ 4  G3 ˜ )  G 4 A sin( :T ) (9)
The dynamic characteristics of a slider are analyzed by
using the three degree freedom model as shown in Fig.1. where, Gi (i=1,2,3 or 4) is the complex stiffness. The real
The variations of the translation z, the pitch angle D and and imaginary parts of -G1, -G2, -G3 represent air film stiffness
and damping coefficient, respectively. G4 represents the
roll angle E of a slider are governed by the following equations.
coefficient of the external forces which vibrates the slider.
­ d 2z
°m dt 2  kz ³³ ( p  p0 )dxdy
From the definition of inverse Knudsen number D
° (=D0PH), flow rate of the Poiseuille flow, Q is described as
(3) wQ
° d 2D Q ( P0  \ , H 0  K ) Q ( P0 , H 0 )  D0 ˜ (\H 0  KP0 ) ˜  O (H 2 )
® I D 2  kD D ³³ ( p  p0 )( xc  x)dxdy wD
° dt (10)
° d 2E
°I E 2
 k  E ³³ ( p  p0 ) ydxdy Putting Eq.6 to Eq.9 into Eq.1 and neglecting terms of
¯ dt higher order than (Ò2).
where, m is the slider mass, I and I are the slider moment w ­ w\ wP wQ wP ½ w (\ H 0 ) w (K P0 )
3
®QH 0 ( P0  \ 0 )  D0 \ P0 H 04 0 ¾  / x  /x
of inertia around pitch axis and the slider moment of inertia wX ¯ wX wX wD wX ¿ wX wX
around rolling axis, respectively. k, k, and k are the suspension w ­ w\ wP0 wQ 4 wP0 ½ w (\ H 0 ) w (K P0 )
 3
®QH 0 ( P0 \ )  D0 \ P0 H 0 ¾ /y  /y
stiffnesses for translation, pitch and roll motions, and xG is the wY ¯ wY wY wD wY ¿ wY wY
center of gravity in the x direction. w ­ 2 wP0 wQ ½ w ­ 2 wP0 wQ ½
As the values of k is very large, k and k can be negligible  ® P0 H 0 (3Q  D0 P0 H 0 )K ¾  ® P0 H 0 (3Q  D0 P0 H 0 )K ¾
wX ¯ wX wD ¿ wY ¯ wY wD ¿
in comparison with the air film stiffness. Therefore, they are w (\ H 0 ) w (K P0 )
assumed to be zero in the paper. V V 0
wT wT
2 Methods of Solution (11)
To obtain the air film stiffness Kij and damping coefficient
2.1 The Static Pressure Distribution Cij, Laplace transformation is performed on Eq.8, Eq.9 and
The static pressure distribution is calculated numerically Eq.11. And, substitute Eq.6 and Eq.7 into Eq.9, the differential
by solving Eq.1 when t=0. As the bearing number / far exceeds equations of Gi as follows.
105 as h0 is below 10 nm, the Couette flow terms including / is w ­ wGi wP wQ wP ½
very larger than the others in Eq.1. Based on the fact that
3
®QH 0 ( P0  Gi 0 )  D0 P0 H 04 0 Gi  / x H 0Gi ¾
wX ¯ wX wX wD wX ¿
Couette flow terms include the variable pressure P, in the
discretizing procession upwind techniques is introduced to w ­ª 2 wP0 wQ º ½
 ® « P0 H 0 (3Q  D0 P0 H 0 ) Fi »  / x P0 Fi ¾
prevent the unphysical oscillations. Otherwise, a special wX ¯¬ wX wD ¼ ¿
treatment by using weighting flow factor qi+1/2,j is developed to
w ­ wGi wP wQ wP ½
solve the calculation overflow question caused by the high  3
®QH 0 ( P0  Gi 0 )  D0 P0 H 04 0 Gi  / y H 0Gi ¾
negative pressure in the region of abrupt height change. The wY ¯ wY wY wD wY ¿
calculation formula of qi+1/2,j is: w ­ª ½
2 wP0 wQ º
 ® P0 H 0 (3Q  D0 P0 H 0 ) Fi »  / y P0 Fi ¾
wY ¯ «¬
2qi 1, j qi , j
qi 1 / 2, j (4) wY wD ¼ ¿
qi 1, j  qi , j  j:V ( H 0Gi  P0 Fi ) 0
Where q=QH3 is evaluated at middle way between grid (12)
points. where, F1=1ˈF2=XG-XˈF3=YˈF4=-1.
The Eq.1 was discretized by using upwind finite difference Gas film stiffness matrix K and damping coefficient matrix
scheme for the Couette flow terms on the left. The difference C can be obtained from the following equation.
approximation can be written as: ª K11 K12 K13 º ª C11 C12 C13 º ª F1 º
«K K 23 »»  j: ««C21 C22 C23 »» ³ >G G3 @ «« F2 »» dXdY
1 1

« 21 K 22 ³ 1 G2
2/( Pi , j H i , j  Pi 1, j H i 1, j ) / 'X i  2/ ( Pi , j H i , j  Pi 1, j H i 1, j ) / 'Yi «¬ K 31 K 32 K 33 »¼ ¬«C31 C32 C33 ¼»
0 0
«¬ F3 »¼
qi 1/ 2, j ( Pi 21, j  Pi ,2j )  qi 1/ 2, j ( Pi ,2j  Pi 21, j ) / 'X i2  (13)
Put Eq.13 into Eq.12, the differential equations of Kij and
qi , j 1/ 2 ( P  P
2
i, j
2
i , j 1 )  qi , j 1/ 2 ( P  P
2
i, j
2
i , j 1 ) / 'Y j
2
Cij can be obtained so that the air film stiffness and damping
(5) coefficient can be calculated by the Eq.12. The frequency
2.2 Linear Analysis in Frequency Domain response of a slider can be calculated in combination with Eq.3.
Linear dynamic equations can be derived from Eq.1 by
3 Results and Discussions
dividing pressure P and spacing H into static and dynamic
components, respectively. 3.1 Static Pressure Distribution
Finite difference method and relaxation iteration are used

172
 Numerical Analysis on Dynamic Characteristics of Flying Magnetic Head with Ultra Thin Spacing

to calculate the pressure distribution for the given geometry

parameters and the bearing parameters shown in Tab.1. The
surface structure of the studied slider is shown in Fig.2 and the
pressure distribution is presented in Fig.3

Table 1 Parameters of the slider

Parameter Values
The minimum film thickness h0 10×10-9 m
Length of slider L 1.25×10-9m
Width of slider B 0.7×10-9m
Velocity of the slider U 25m/s
1.806×10-5Pa·S Fig.4 Air film stiffness of the slider via frequency
Gas viscosity 
Pitch angle  1.0×10-5rad
6.1465×10-6rad
Roll angle 
12°
Skew angle skew

Fig.5 Air film damping coefficient of the slider via frequency

Fig.2 Surface structure of the slider

Fig.6 Air film stiffness of the slider with

the minimum film thickness

Fig.3 Pressure distribution of the slider

3.2 Dynamic Characteristics of Gas Film in Frequency Domain

Gas film stiffness and damping coefficient determine the
fundamental dynamic characteristics of a slider. Fig.4 and Fig. 5
show the response curves of the gas film stiffness and the
damping coefficients in the translation direction, the pitch
direction and the rolling direction varying with frequency. As
shown in these two figures, for the frequency lower than 104 Hz,
the stiffness values are nearly invariable. And for the frequency
larger than 105 Hz, the stiffness values begin to converge while
the damping coefficient values begin to decrease. The stiffness
k22 and damping coefficient c22 values in the pitch direction Fig.7 Air film damping coefficient of the slider with
change larger than the other two directions. The minimum the minimum film thickness
stiffness k11 value is 5.27×106 N/m, but when the value is
converged, it is about 8.5 × 106 N/m, much larger than the Fig. 6 and Fig. 7 show the curves of the gas film stiffness
minimum one. The stiffness k33 and damping coefficient c33 and damping coefficients in the translation, the pitch and the
values in the rolling direction are the smallest. rolling directions varying with the minimum film thickness h0.
The results show that the stiffness and damping coefficient

173
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

values decrease with the increase of the minimum film ACKNOWLEDGEMENTS

thickness. The stiffness k11 and damping coefficient c11 values The project is financially supported by the State Key
change larger than the other two directions. Development Program for Basic Research of China (Grant No.
ª7.58 u106 7.11u106 5.98 u 106 º
« »
« 9.25 u10
3
k 0.892 0.725 »
« 5.21u103 0.493 0.417 »¼
¬
4 Conclusions
This paper presents numerical analysis of dynamic
characteristics of a slider with ultra-thin spacing. First, the static
pressure distribution is calculated by adopting the upwind finite
difference scheme to prevent the unphysical oscillations and
using weighting flow factor qi+1/2,j to solve the calculation
overflow question. Then, linear analysis of dynamic
characteristics of the slider in frequency domain is presented.
The following conclusions can be obtained.
a. The air film stiffness and damping coefficients of a
magnetic head are as a function of frequency. The results show
that for the frequency lower than 104 Hz, the stiffness values are
nearly invariable, and for the frequency larger than 105 Hz, the
stiffness values begin to converge, but the damping coefficient
values begin to decrease.
b. The stiffness and damping coefficient values in the pitch
direction change larger than other two directions. The stiffness
k33 and damping coefficient c33 values in the rolling direction
are the smallest;
c. With the increase of the minimum film thickness the
stiffness and damping coefficient values decrease gradually.
The stiffness k11 and damping coefficient c11 values change more
significant than those in the other two directions.
174
2003CB716205) and NSFCˉNSFGD (No. 8.
REFERENCES
[1] Tang, T., 1971, “Dynamics of air-lubricated slider bearings
for noncontact magnetic recording,” ASME Journal of
lubrication, 93(2), pp.272-278.
[2] Ono K., 1975, “Dynamic characteristics of air-lubricated
slider bearing for non-contact magnetic recording,” ASME
Journal of lubrication, 97, pp.250-260.
[3] White, J. W., and Nigam, A., 1980, “A factored implicit
scheme for the numerical solution of the Reynolds equation at
very low spacing,” ASME Journal of lubrication technology,
102, pp.80-85.
[4] Hayashi T., Fukui S., 1990, “Dynamic characteristics of
Gas-lubricated slider bearings under high Knudsen number
conditions,” ASME Journal of Tribology, 112, pp.111-118.
[5] Ellis Cha, Bogy D. B., 1995, “A numerical scheme for static
and dynamic simulation of subambient pressure shaped rail
sliders,” ASME journal of tribology, 117, pp.36-46.
[6] Fukui S., Mastsui H. et al., 2005, “Dynamic characteristics
of flying head slider with ultra thin spacing (CIP method and
linearized method)”, Microsystem Technology, 11, pp.812-818.
[7] Huang Ping, Niu RongJun, Howard H HU, 2008, “A new
numerical method to solve modified Reynolds equation for
magnetic head/disk working in ultra-thin gas films’, Science in
China, Series E: Technological Science, 51, pp.424-434.
[8] Huang Ping, Xu lan-gui, Meng Yong-gang.et al, 2007,
“Effective finite difference method to calculate lubricating
performances of ultra-thin gas film of magnetic head/disk”,
Chinese Journal of Mechanical Engineering, 43(7), pp.43-48.
 The Analysis of Higher Guide Bearing Pad Temperature and Its Fault Diagnosis

The Analysis of Higher Guide Bearing Pad Temperature and Its Fault Diagnosis

Mei Gui, Gao Zhi*, Liu Ying, Liu Xiangfeng

Department of Precision Instruments and Mechanology, Beijing, P R China

ABSTRACT E is pad distribution angle;

The higher pad temperature is a familiar fault in the guide cc
bearing of some hydraulic generator unit, which has seriously m is preload factor ( m 1  ˈ cc Ri  r ˈ c R  r ˈ Ri is
c
affected its normal operation. In order to find the reason for thatˈ
pads fulcrum circle radius, R is pads inscribed circle radius,
a mathematical model of computing the pad temperature rise
r is journal radius);
was established by considering some effect factors. A pad
G is pad pendulum angle;
temperature distribution chart and the relationship between
bearing preload factor and pad temperature rise were obtained G
Gc , which is dimensionless pendulum speed;
by simulation computation. With the extensive application of Z
computer, internet and database technology, new method of T
fault diagnosis in hydraulic generator unit appeared. Through Tc , which is dimensionless deviation angle variation ratio;
the analysis of a real problem, it was confirmed that the
Z
simulation computation was reasonable. In addition, such a H
Hc , which is dimensionless eccentricity variation ratio;
solution of bearing fault diagnosis is a certain degree of Z
significance and has been a trend. c Rr
Keywords: temperature, fault diagnosis \ , which is bearing clearance ratio.
R R
Film thickness equation:
INTRODUCTION d s in ( b  f )
H 1  m co s(b  f )  e co s( f  q )  (2)
Currently, the upper and lower guide bearings in y
large-scale hydraulic generator units are tilting-pad journal The equation of pad motion (relative to its fulcrum):
bearings. The actual fault detection indicates that the state of Ib 1
higher pad temperature often appears, such as Guangzhou M J G ³ ³ P sin(E  I )dI d O (3)
Pumped Storage Power Station No. 1 Unit. It has ever been in Ia 0
trouble with the phenomenon of higher pad temperature, which
affected the normal operation of the unit too much and may Where J is the dimensionless moment of inertia of a pad, G is
lead to serious pad damage. The anomaly of bearing pad dimensionless angular acceleration. When a bearing is in the
temperature is due to various reasons, including: state of stable operation, G 0
(a) improper bearing clearance; Equation (3) becomes:
(b) insulation damage, bearing current makes a rapid Ib 1

increase in temperature; ³ ³ P sin(E  I )dI d O 0 (4)

(c) adverse lubrication; Ia 0

(d) large shaft vibration, resulting in the instability of

lubricant film, exacerbated wear, and so on.
The higher pad temperature caused by improper bearing
clearance can easily be put into the bearing lubrication
computation model, thus it can provide a theoretical basis for
bearing temperature failure diagnosis. It is necessary for this
analysis.
BEARING PAD PRESSURE DISTRIBUTION SOLUTION
Equation (1) can be written as a different one:
Ai, jPi1, j Bi, jPi1, j Ci, jPi, j1 Di, jPi, j1 Ei, jPi, j Fi, j (5)
Using over-relaxation method to solve the problem, flow chart
is shown in Figure 1.

TILTING-PAD BEARING LUBRICATION MODEL BEARING PAD TEMPERATURE COMPUTATION

The unsteady dimensionless Reynolds equation of tilting The dimensionless film temperature distribution formula
-pad journal bearing can be written as: can be written as follows:
w H3 wP w H3 wP 1 H 2 wP wT 1 d 2 H 2 wP wT
( )  (d / B)2 ( ) (6HT c 3H)sin(I T) (1  )  ( )
wI K wI wO K wO 6 K wI wI 6 B K wO wO
(6)
6G c K H 4 wP 2 wP 2
(3m )sin(I  E) 3HcG sin(I T)cos(I  E) Tc 2 (1  (( )  ( ) ))
\ (1) H 12K 2 wI wO
3G T
 cos(I  E)  6Hc cos(I T)  3G c[1 cos(I  E)] Where T is dimensionless film temperature ( T , T is
\ T0
3G film temperature, T0 is the temperature of inlet oil); Tc is
[H sin(I T)  cos(I  E)  msin(I  E)]
\ 2KZ
energy coefficient ( Tc = , U is lubricant density, cv
Where U cvT0\ 2
K is lubricant viscosity; is lubricant specific heat).
* Tel.: (8610)62795122

175
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Fig. 4 The relationship between preload

factor and temperature rise
Fig. 1 Flow chart of bearing pad pressure
distribution computing The pad temperature begins to rise gradually from the inlet,
around which, the temperature rise slowly. From the curve in
NUMERICAL EXAMPLES AND RESULTS Fig. 3, it can be seen that the curvature of the temperature curve
is very small in the beginning. With the growing of film
The upper guide bearing of Guangzhou Pumped Storage pressure, pad temperature rises at an accelerated pace, and the
Power Station Unit 1: bearing type: tilting-pad bearing; number curvature also increases. When the film pressure begins to
of pads: 8; pad fulcrum distribution angle: 45; pad diameter: decrease from the largest, the rate of temperature rise gets to
1401 mm; support form: midpoint support; shaft speed: maximum, and then, though the temperature is still increasing,
500rpm; bearing clearance ratio: \ 0.002 ; lubricant specific the rate decreases. From Fig. 5 we can get some more
heat capacity: cv 1.87kJ / kg   C ; lubricant density: meaningful conclusion: the pad temperature increases with the
3 preload factor increasing. When the preload factor gets to more
893 kg / m ; lubricant dynamic viscosity: than 0.6, the rising trend of temperature becomes very obvious.
K 75.54 u 103 Pa s . This is consistent with the designed preload factor of 0.5. A
The dimensionless pressure distribution of the 4th pad is shown small preload factor would lead the bearing to static instability,
in Fig. 2. while too large may caused the temperature rise speeding up
because of the smaller bearing clearance and too much friction.

PAD TEMPERATURE RISE AND FAULT DIAGNOSIS

Fig. 2 The dimensionless pressure distribution
on the 4th pad
The dimensionless temperature rise distribution of the 4th pad:
Fig. 3 The dimensionless temperature rise
distribution on the 4th pad
Therefore the pad temperature rise can be obtained in different
preload factor m, as shown in Fig. 4:
As is previously mentioned, the reason for the anomaly of
bearing pad temperature is varied, how can we find out the real
reason of the most rapidly after monitoring the abnormal
temperature? First of all, the hydraulic generator unit must have
complete condition monitoring system; the real-time data is the
basis of fault diagnosis. With the help of computer hardware and
software, it is easy to make the monitoring of the status quo of
important components in the unit and the running trend visual
and vivid. And then a fault diagnosis system should be included.
This part often uses logic rules based on the knowledge base of
production rules, fuzzy clustering algorithm based on the
principle of fuzzy recognition, neural network diagnosis and
other methods to quickly identify the suspicious main fault. The
fault diagnosis of bearing pad temperature is usually as follows:
(a) to make sure the pad temperature signal is credible, which
can be done through testing and calibration;
(b) as far as possible, a detailed list of the reasons that would
lead to the abnormal temperature should be finished, such
as the previously mentioned;
(c) to rule out possible reasons with the actual monitoring
results, diagnosis results will be reduced to one or several
reasons.
Generally, a viable solution should be put forward after finding
out the fault reason. This process can be shown in Fig. 5.
The process of the guide bearing pad temperature fault
diagnosis in Guangzhou Pumped Storage Power Station Unit 1
is based on the above method. The unit is equipped with a
condition monitoring, analysis and diagnosis system, with the
help of which, it is confirmed that the reason is improper
bearing clearance. This has a certain extent verified correctness
of the theoretic analysis.

176
 The Analysis of Higher Guide Bearing Pad Temperature and Its Fault Diagnosis
Fig. 5 Fault diagnosis of bearing pad temperature
CONCLUSIONS
A theoretical analysis of the impact of bearing clearance on
bearing pad temperature is done first of all, which provides a
theoretical basis for temperature fault diagnosis. At the same
time, the computation result is significant to the installation of
guide bearing in a hydraulic generator unit. What is to be
improved is: the numerical computation of guide bearing pad
temperature was conducted by using some simplified means,
177
such as: having not considered the deformation of pad,
neglected the temperature viscosity effects, and considered only
one-dimensional temperature distribution.
REFERENCES
[1] Gao liang, Zhang Lida. Study on the expert system for
fault diagnosis of hydro-generator set. Water Power, 2006.
[2] Feng Fuzhou, Chu Fulei, Zhang Zhengsong, etc. The
Design Consideration on The Condition Monitoring
Analysis and Diagnosis System for Pumped Storage
Power Generator Units. Mechanical Science and
Technology, 2000.
[3] Feng Fuzhou, Chu Fulei, Zhang Zhengsong, etc. Bearing
pad temperature analysis using field measurements and
simulation. Journal of Tsinghua University, 2000.
[4] Liu Guanglin, Cheng Hongju. The Research of Neural
Network Method in the Faults Diagnosis of Large scale
Turbo Units. Journal of Hydroelectric Engineering, 2001.
[5] Bai Liang, Jia Rong, Luo Xingqi. Research on fault
diagnosis based on RBFNN for hydropower units.
Journal of Northwest Science and Technology University
of Agriculture and Forest, 2006.
[6] Liu Guanglin, Fu Xiangqian, Jiang Jin, etc. Condition
monitoring of large2scale hydrolectric generating set and
its fault diagnosis system. Journal of Huazhong
University of Science and Technology, 2006.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Pitting Life Prediction Based on a 3-D Line Contact Mixed EHL Analysis and Subsurface von Mises
Stress Calculation
Dong Zhu, Eaton Corporation
Southfield, Michigan, USA
Q. Jane Wang, Northwestern University
Evanston,, Illinois, USA
(Extended Abstract)
ABSTRACT
Surface pitting due to contact fatigue is a major
failure mode of many mechanical components, such as
various gears and rolling element bearings. Pitting life
prediction, therefore, is vital to design and
performance/reliability improvements. Conventional
prediction methods, commonly found in industrial
standards, are based on the Hertzian contact theory
under assumptions that surfaces are ideally smooth with
no lubrication. The present study aims to develop a von
Mises stress-based pitting life prediction approach based
on the 3-D line contact mixed elastohydrodynamic
lubrication (EHL) model recently developed for
analyzing various gears, roller/needle bearings, cams
and followers and other line-contact components. Pitting
life evaluation employs the fatigue life model developed
by Ioannides-Harris and Zaretsky et al, using the von
Mises stress field obtained. Sample cases are analyzed
for model validation, and the life prediction results are
compared with available transmission gear test data.
Keywords: Pitting, Contact fatigue, Failure Analysis, Life
Prediction, Mixed Lubrication, Elastohydrodynamic Lubrication
(EHL), Gear Failures, Gear Lubrication
INTRODUCTION
Surface pitting due to contact fatigue is a major
failure mode of many mechanical components, such as
various gears and rolling element bearings. Pitting life
prediction, therefore, is vital to design and
performance/reliability improvements. Conventional
prediction methods, commonly found in industrial
standards, are based on the Hertzian contact theory
under assumptions that surfaces are ideally smooth with
no lubrication. The effects of roughness and other
factors are considered through empirical parameters
[1-4]. Today the trend of high power density high
reliability compact design requires the life prediction to
consider severe operation conditions in mixed
lubrication and the effect of surface roughness and
topography. Also, it has been well known that ductile
material failures in concentrated contacts are better
correlated with the subsurface von Mises stress, rather
than the normal Hertzian pressure.
The present study aims to develop a von Mises
stress-based pitting life prediction approach based on the
3-D line contact mixed elastohydrodynamic lubrication
178
Ning Ren, Northwestern University
Evanston, Illinois, USA
(EHL) model recently developed for analyzing various
gears, roller / needle bearings, cams and followers and
some other line-contact components.
MODELING APPROACHES
The 3-D line contact mixed-EHL model has been
presented in detail in [5] and will be briefly described
below for clarity. This model is based on Zhu and Hu’s
unified mixed EHL model originally for point contacts
[6], recent improvements [7], and validation of the
transient effect of roughness motion [8], as well as the
mixed FFT-based deformation calculation formulated by
Chen et al [9]. In the solution domain, the pressure is
governed by the Reynolds equation The instantaneous
lubricant film thickness (or the gap between the two
rough surfaces), h, is calculated by the geometric
equation that considers the local radius of curvature
across the contact width (representing macro contact
geometry), the micro roughness amplitude of surfaces 1
and 2, respectively, and surface deformation. Either a
Newtonian or a Non-Newtonian lubricant model can be
used in association with the model. The unified
lubrication-contact approach uses the same equation
system consistently in both the hydrodynamic and
contact regions.
The stress-based contact fatigue life model proposed by
Ioannides and Harris [10] and modified by Zaretsky [11]
is used for life prediction. Here, roughness is treated
directly and subsurface stresses are calculated
deterministically based on the rough surface mixed-EHL
results,
RESULTS AND DISCUSSIONS
Cases for 15 sets of transmission gears are analyzed,
and life prediction results are compared with available
experimental data. Figure 1 below presents several
sample results for a line contact from one of the gear
sets analyzed under the SAP conditions (“SAP” is the
gear tooth contact location at the “start of involute
profile” below the pitch line, which is where most severe
pitting failure is often observed). Figure 2 shows some
sample results for von Mises stress fields from different
machined gear tooth surfaces. Figure 3 demonstrates live
prediction results in comparison with available
 Pitting Life Prediction Based on a 3-D Line Contact Mixed EHL Analysis and Subsurface von Mises Stress Calculation
durability test data. The results indicate that with
optimized material constants in the life model, predicted
pitting life results well agree with the test data. Also,
surface roughness and 3-D topography appears to have
great influence on the gear pitting life predicted
CONCLUSIONS
A pitting life prediction approach for gears, roller
bearings and some other line-contact components is
presented based on the newly developed 3-D
line-contact mixed-EHL analyses and subsurface von
Mises stress calculation, using digitized 3-D machined
surface topography as input data. Fifteen transmission
gear sets have been analyzed, and life prediction results
agree well with available experiments.
ACKNOWLEDGEMENTS
The authors would like to acknowledge the support
from U.S. Department of Energy. Professor Leon M.
Keer of Northwestern University and Mr. Michael
Bujold of Eaton Corporation are acknowledged for their
help and discussions during the research. The gear
durability test data were provided by Mr. Michael
Bujold and Mr. Roger Kamminga (deceased) of Eaton
Corporation.
Pressure Distributions
Film Thickness / Contact Patterns
Shaved vs. Shaved Ground vs. Ground
Fig. 1 Sample Results from the 3-D Line Contact
Mixed-EHL Model (PH =1.65 GPa, slide-to-roll
ratio=66.3%)
Shaved vs. Shaved (Set #12) Ground vs. Ground (Set #13)
Max. von Mises Stress 3.601*PH Max. von Mises Stress 3.303*PH
Fig. 2 Sample Results of von Mises Stress
Distributions PH=2.9 GPa, slide-to-roll ratio=114.3%)
179
Fig. 3 Pitting Life Prediction Results Showing
Good Correlation with Test Data
REFERENCES
[1] ANSI/AGMA 2001-C95:̌Fundamental Rating Factors and
Calculation Methods for Involute Spur and Helical Gear
Teeth,” American Gear Manufacturers Association,
January, 1995.
[2] ISO-6336: “Calculation of Load Capacity of Spur and
Helical Gears,” International Standards Organization
(ISO), 1997.
[3] DIN 3990-5-1987: “Calculation of Load Capacity of
Cylindrical Gears; Endurance Limits and Material
Qualities,” December, 1987.
[4] ISO 281: “Rolling Bearings – Dynamic Load Ratings and
Rating Life,” Second Edition, February15, 2007.
[5] Ren, N., Zhu, D., Chen, W., Liu, Y., and Wang, Q., “A
Three-Dimensional Deterministic Model for Rough Surface
Line-Contact EHL Problems,” to appear in J. Tribology.
[6] Hu, Y.Z., and Zhu, D., 2000, “A Full Numerical Solution
to the Mixed Lubrication in Point Contacts,” J. Tribology,
122, pp.1-9.
[7] Liu, Y., Wang, Q., Zhu, D., Wang, W., and Hu, Y., “Effect
of Differential Scheme and Viscosity Model on Rough
Surface Point Contact Isothermal EHL,” to appear in
ASME Journal of Tribology.
[8] Chen, W. W., Liu, S. B., and Wang, Q., 2008, “FFT-Based
Numerical Methods for Elasto-Plastic Contacts with
Nominally Flat Surface,” ASME J. Appl. Mech., 75(1),
011022-1-11.
[9] Ioannides, E . and Harris T. A., 1985, “A New Fatigue
Life Model for Rolling Bearings,” J. Tribology, 107, pp.
367-378.
[10] Zaretsky, E. V., 1987, “Fatigue Criterion to System
Design, Life and Reliability,” J. Propulsion and Power, 3
(1), pp. 76-83.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Numerical Lubrication Simulation of Metal-on-Metal Hip Joints: Ball-in-Socket Model and

Ball-on-Plane Model
Wenzhong Wang * / School of Mechanical and Vehicular Fengcai Wang / Department of Mechanical Engineering,
Engineering, Beijing Institute of Technology, Beijing University of Bath, Bath BA2 7AY, UK.
100081, P.R. China
Zhongmin Jin / School of Mechanical Engineering, The D. Dowson / School of Mechanical Engineering, The
University of Leeds, Leeds, LS2 9JT, U.K. University of Leeds, Leeds, LS2 9JT, U.K.
Yuanzhong Hu / State Key Laboratory of Tribology,
Tsinghua University, Beijing, 100084, China
(Extended Abstract)

Reynolds equation, the elasticity equation if

ABSTRACT
elastohydrodynamic lubrication prevails, and the force balance
Long-term successful function of artificial hip joint equation. These equations are common and can be found in the
replacements strongly depends on the design parameters of the literature related to lubrication analysis. The solution of this set
bearing such as the diameters of femoral head and acetabular of equations provides predictions of film thickness and
cup and the corresponding radial clearance, which determine pressure in lubricated contacts, which can be used in the design
the lubrication regime experienced in the prostheses. Generally, of artificial hip replacements. However, there have been only a
there are two types of numerical models for limited number of theoretical lubrication analyses reported in
elastohydrodynamic lubrication analysis of the bearing in the the literature for metal-on-metal replacements. Jin and Dowson
hip joint replacements: ball-in-socket model and effective [1] presented a full transient hydrodynamic lubrication analysis
ball-on-plane model. As the real hip joint is in ball-in-socket in which more realistic working conditions were considered.
configuration, the ball-in-socket lubrication model should be Wang et al [2] developed a general steady-state
the reasonable approximation to the real bearing. The elastohydrodynamic lubrication model for artificial hip joints,
ball-in-socket model solves a lubrication problem in spherical and investigated the effects of both the cup inclination angle
coordinates, which means all of governing equations, including and the combined flexion-extension and internal-external
Reynolds equation, film thickness and load balance equation, rotation on the lubrication.
should be written as the spherical coordinate forms. In addition, In this study, two lubrication models for artificial hip joint
the calculation of the elastic deformation of the bearing replacements were presented and systemically compared to
surfaces in artificial joints is not a trial problem. Complex show the performance of these two commonly used lubrication
spherical geometries in the joint bearing often require model.
employing the finite element method to determine/extract the
displacement influence coefficients at first, and then the 2 MODELING OF LUBRICATION OF HIP JOINT
deformation is evaluated through using an equivalent discrete REPLACEMENTS
spherical convolution model (EDSC). Fortunately, the
2.1 BALL-IN-SOCKET MODEL
FFT-based approach is recently developed to speed up the
In this model, the governing equations are in spherical
deformation calculation. In comparison with the ball-in-socket
coordinate as following,
model, the effective ball-on-plane model is simple and easy to ⎡ ∂h ⎤
⎢ ( −ωx sin φ + ω y cos φ )sin θ ⎥
conduct elastohydrodynamic lubrication analysis. The main sin θ
∂ 3
( h sin θ
∂p ∂ ∂p
) + ( h 3 ) = 6μ R22 sin θ ⎢
∂θ
⎥
characteristic of the effective ball-on-plane model is that the ∂θ ∂θ ∂φ ∂φ ⎢ +( −ω cos φ sin θ − ω sin φ cos θ + ω sin θ ) ∂h ⎥
⎣⎢ ∂φ ⎦⎥
x y z

elastic deformation was evaluated under an assumption of (1)

h = c(1 − ε x sin θ cos φ − ε y sin θ sin φ − ε z cos θ ) + δ
semi-infinite solid and certainly without the consideration of (2)
π π
the curvature effect associated with the ball-in-socket f x = Rc2 ∫ ∫ p sin θ cos φ sin θ dθ dφ = wx
configuration. In the present study, some typical cases of
0 0 (3)
π π
elastohydrodynamic lubrication analysis for hip joint f y = Rc2 ∫ ∫ p sin θ sin φ sin θ dθ d φ = w y
0 0 (4)
replacements were conducted to systematically demonstrate π π
the capability of these two models. It was found that the two fz = R 2
c ∫ ∫ 0 0
p cos θ sin θ dθ dφ = wz
(5)
models were able to provide quite close results in most
situations, and the difference may only take place when the
2.2 EQUIVALENT BALL-ON-PLANE MODEL
head is positioned near the edge of the cup bearing surface. A typical artificial hip joint is in the form of a ball-in-socket.
However, this model is relatively complex for numerical
Keywords: Artificial Hip Joint, Elastohydrodynamical Lubri-
solutions as the governing equations and computational
cation, Ball-in-socket Model, Ball-on-Plane Model, FFT domain should be formulated in spherical coordinates.
Through elastic and geometrical approximations, the
INTRODUCTION ball-in-socket model can be simplified into an equivalent
The lubrication analysis plays an important role in the design ball-on-plane model which is commonly used in
of artificial hip joint replacements as any improvement in elastohydrodynamic lubrication analysis. In this model, the
lubrication can markedly reduce the severity of asperity governing equations are in Cartesianism coordinate and can be
contact and lead to a significant reduction in the wear volume found in any related publications.
and the number of wear particles. However, the lubrication
modelling of artificial hip joint replacements is very complex. 3 NUMERICAL APPROACH
When isothermal conditions are considered, the lubrication For ball-in-socket model, the finite element method was
problem can be formulated by three basic equations: the employed firstly to obtain the displacement coefficients. The
*Wen-zhong Wang, Wangwzhong@bit.edu.cn,
Tel: 68911404

180
 Numerical Lubrication Simulation of Metal-on-Metal Hip Joints: Ball-in-Socket Model and Ball-on-Plane Model

displacement coefficients were subsequently used to obtain the near the edge of cup.
elastic deformation using the FFT technique [2]. The numerical 50
(a) Load:1500N, Viscosity; 0.001Pa.s, Inclination angle: 45deg
100
Ball-in-socket model
solution to the present lubrication problems were based on a Ball-on-plane model

Film thickness [nm]

40 80
modified Newton-Raphson method.

Pressure [MPa]
30 60
For effective ball-on-plane model, a unified Reynolds equation
system [3] and numerical procedure was used to solve both 20 40

surface contact and hydrodynamic lubrication problems over 10 20

the entire solution domain. This unified approach is capable of

0 0
simulating the entire transition from full film to mixed EHL, -20 -10
Angular coordinate [degree]
0 10 20

and all the way down to boundary lubrication and dry contact. 40

Central film thickness [nm]

The present work employs the second-order central differential
(b)
scheme for the Poiseuille flows and the first-order backward 35
1500N, 0.001Pa.s
Ball-in-socket model
differential scheme for the shear flow terms. Meanwhile, the 30
Ball-on-plane model

DC-FFT approach is utilized for the calculation of surface

deformation. It has been proven that this DC-FFT approach 25

can significantly increase the computational speed, in

20
comparison with the multi-level integration, without 0 10 20 30 40 50 60 70 80 90
Inclination Angle [Deg]
sacrificing numerical accuracy (see [4] for details). Load:2500N, Viscosity; 0.001Pa.s, Inclination angle: 45deg
50 120

(c)
100

Film thickness [nm]

40 Ball-in-socket model
4 RESULTS Ball-on-plane model

Pressure [MPa]
80
30
This section shows the effect of model geometry by comparing 60
the result from these two models for the same lubrication 20
40
problems of an artificial hip joint. The solution domain in the 10
20
spherical coordinates was divided into 256 ×256 uniform 0 0
divisions in the flexion/extension and the medial-lateral -30 -20 -10
Angular coordinate [degree]
0 10 20 30

directions respectively. The convergence criteria for the 30

hydrodynamic pressure and the load were kept to 10-5 and 10-2
Central film thickness [nm]

28
respectively. Similarly, the solution domain was covered by a
26
uniform grid 257×257 for ball-on-plane model.
A metal-metal hip joint was considered with the following 24
(d)
parameters: Femoral head radius (Rb) of 14mm, Cup radius (Rc) 22
2500N, 0.001Pa.s
Ball-in-socket model
Ball-on-plane model
of 14.03mm, Elastic modulus of 200GPa, Poisson ratio of 0.3.
20
In effective ball-on-plane model, the inlet distance is different 0 10 20 30 40 50 60 70 80 90
Inclination Angle [Deg]
in every case to represent the inclination of cup in Fig. 1 lubrication analysis comparison between ball-in-
ball-in-socket model. The inlet distance x0 can be determined socket model and ball-on-plane model with load 1500N and
by x0=Rb(π/2-). When the inclination angle of cup becomes 2500N respectively
large, the head will approach the edge of cup, subsequently, the
inlet in ball-on-plane model will become small, which will
influence the lubricant supply. ACKNOWLEDGEMENTS
Fig. 1 shows two cases of artificial hip joints. In both cases the The authors gratefully acknowledge the financial support from
acetabular cup was positioned horizontally, and loaded in the the Royal Society. Wang also made thanks to the excellent
vertical direction. Furthermore, the acetabular cup was young scholars fund (Award #2007Y0307) and fundamental
assumed to be stationary, while the ball was assumed to rotate research fund supported by Beijing Institute of Technology,
with a nominal steady state angular velocity of 2rad/s, China.
corresponding to the flexion/extension experienced in hip
joints during walking. The applied load was 1500N and 2500N REFERENCES
respectively. The viscosity of synovial fluid was chosen as [1] Jin, Z. M., and Dowson, D., 1999, “A Full Numerical
0.001Pa.s. From Fig. 1, it can be seen that the simulation Analysis of Hydrodynamic Lubrication in Artificial Hip
results are in good agreement especially for film thickness. The Joint Replacements Constructed from Hard Materials,”
good agreement of results from the two models implies that the Proc. Inst. Mech. Eng., Part C: J. Mech. Eng. Sci., 213(4),
ball-on-plane model can be used in lubrication analysis of pp.355-370.
artificial hip joints which will greatly simplify the complexity [2] Wang, F. C., and Jin, Z. M., 2005, “Elastohydrodynamic
of numerical simulation of hip joint. However, as the head is lubrication modeling of artificial hip joints under
positioned near the edge of cup, the difference of two models steady-state conditions,” J Tribol- Trans. ASME., 127(4),
become visible. This is due to the elastic deformation pp729-739.
evaluated in ball-on-plane model under an assumption of [3] Hu Y.Z., Zhu D., 2000, “A Full Numerical Solution to the
semi-infinite solid. Mixed Lubrication in Point contacts,” J TRIBOL-T ASME,
122, pp.1-9.
5 CONCLUSIONS [4] Wang, W.Z., Wang, H, Liu, Y.C., Hu, Y.Z., and Zhu, D.,
Ball-in-socket model and effective ball-on-plane model can 2003, “A Comparative Study of the Methods for
both be employed to conduct steady state EHL analysis of Calculation of Surface Elastic Deformation,” Proc. ImechE,
metal-metal hip joint. For different inclination angle of cup, Part J, Journal of Engineering Tribology, 217, pp.145-153.
there are no great differences in the prediction of lubrication (The whole paper will be supplied by the authors if reader
performance of hip joints except that the head is positioned needs it.)

181
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Deterministic Simulation of Surfaces in Conformal-Contact Lubrication
Shangwu Xiong, Northwestern University
Evanston, IL 60208, USA
Jane Q. Wang, Northwestern University
Evanston, IL 60208, USA
(Extended Abstract)
ABSTRACT
Topography development is an important component of
surface engineering. Surfaces with controlled micro geometry
may help enhance the lubrication. The development and
application of textured surfaces in bearing design requires
deterministic analyses of the micro feature effect on lubrication.
However, limited numerical tools are available on
deterministic mixed lubrication solutions for
conformal-contact systems with real engineering surfaces due
to the difficulty that conformal geometry involves a much
larger area of surface interaction as compared to point contact
geometry. Generally, a huge amount of storage and computer
time can be involved if a micro-scale fine mesh capable for
asperity description is used for an overall conformal
lubrication analysis. Although an absolute solution is
difficult, the authors intend to try conditional solutions without
losing generality. Reported in this presentation is a new
deterministic model for the mixed lubrication of surfaces in
conformal contact. Numerical schemes to accelerate
computations are developed and tested, the model application
to journal bearing lubrication is explored, and sample
calculations are conducted.
Keywords: Journal Bearing, Conformal Contact, Mixed
Lubrication
INTRODUCTION
Recently designed compact bearings often operate under
severe conditions, such as high load and temperature.
Circumferential microgrooves on bearing surfaces have been
used to lower bearing temperature and ease initial wear [1,2].
In such a design, contact becomes so important that the contact
pressure between bearing and journal surfaces should be well
calculated [3]. The elastic deformation caused by
hydrodynamic and contact pressure should also be considered.
Generally, the elastic deformation conformal-contact
elements can be calculated with the use of a compliance
operator, E, [4, 5] in the form of di=EijPj, where i, j=1,2,…,np ,
and np is the number of total nodes, Pj the pressure at the node
j, and Eij the elastic deformation of node j when Pi=1 whilst
Pj=0 (as ji). When np is large, the full matrix of E may
become a burden to storage and computation. For example, np
of 20,000 needs about 1.56GB to store the full matrix of E
(single precision) and it will take 4x108 times multiplication
operation to compute elastic deformation for a single iteration.
There has been little research on the reduction of the full
matrix, E, for efficient conformal-contact elastohydrodynamic
lubrication analyses. The two-dimensional spherical FFT (fast
Fourier transform) technique was applied to determine the
normal elastic deformation of spherical bodies with a particular
reference to the acetabular cup and femoral head for
artificial hip joints [6]. In order to perform FTT, they
made use of the spherical distance for both the
acetabular cup and the femoral head, and thereafter,
curve-fitted basic displacement influence coefficients using a
182
Chih Lin, Baker Hughes Inc.
Houston, TX 77252, USA
Yansong Wang, Baker Hughes Inc.
Houston, TX 77252, USA
least-squares algorithm. Recently a two-mesh-level
displacement computing scheme has been adopted to reduce
the computational load [7]. Because of the size of the mesh,
the full influence function based displacement computation
becomes very time consuming and almost impossible. The
authors [8] proposed a method of selective storage that can
greatly reduce the E storage. However, the computational cost
of this approach to obtain the compliance operator is the same
as that in the traditional approach because np nodes are used
for each i.
In this work, a further improved method, named as
selective-fine-mesh with selective storage, is used to improve
the aforementioned computational efficiency. A special
technique of combined selective-fine-mesh with
selective-storage mapping is proposed for the cases of
cylindrical bearings with uniform external surface boundary
conditions. A numerical benchmark test is conducted,
considering the effect of longitudinal and transverse micro
surface grooves on journal-bearing lubrication. Parameters of
the groove design are explored.
NUMERICAL APPROACHES
The displacement, Eji, at loading node i has the largest
value among those at all other nodes, Eji (j=1,2,…, np), as
shown in Fig. 1 (a). The value of Eji drops sharply with
distance and becomes negligibly small for most part of the
entire region. Hence, truncation can be made for the response
of all nodes whose relative values are smaller than a certain
limit, E / E ≤ ~e (Here, e~min = 10 −4 ). Nodal values inside
ji ii min
the region, marked red, meeting E / E > e~ , are stored.
ji ii min
Considering the fact that the shape of the red region is irregular
and also varies with the position of loading point, it is more
convenient for the code development if one stores the values of
Eji inside the regular blue block. This approach is named as the
selective storage approach [8]. Compared with the traditional
approach storing Eji for all nodes, the selective compliance
operator construction can greatly help reduce E storage.
However, the computational cost of this approach to obtain the
compliance operator is still the same as that of the traditional
approach because np nodes are used for each loading node i.
Since Eji for the nodes outside the blue block are
truncated, the idea of using the coarse mesh in some regions
appears naturally. A method of selective-fine-mesh with
selective storage method is suggested with which both the
discretization space and the values of Eji are appropriately
truncated, as shown in Fig.1 (b). The fine mesh is utilized only
in a small region, I (i.e. the green block), surrounding the
loading node, and the coarse mesh is used in other regions.
Note that the mesh inside I must be the same as that used in
the traditional approach. Although the final matrix size to store
Eji is almost the same as that using the ‘selective-storage
method’, the computational time to obtain Eji is significantly
 Deterministic Simulation of Surfaces in Conformal-Contact Lubrication

reduced.
For the cases of cylindrical bearing with a uniform
external surface boundary condition, a special technique,
combined selective-fine-mesh with selective-storage mapping,
is proposed, as shown in Fig.1 (c). Eji is calculated and stored
on only one line along the width direction, and Eji is mapped
for other lines. Therefore, it further reduces computational time
to obtain Eji and its storage.

(a)

(a)

(b)
Fig. 2 (a) Circumferential grooves (b) Example of pressure
distribution
(b) (c)
REFERENCES
Fig.1 Illustration of three approaches: (a) selective storage; (b) [1] Kumada, Y. et al., 1996, “Performance of Plain Bearing
selective fine-mesh with selective storage; and (c) combined with Circumferential Microgrooves,” Tribology
selective-fine-mesh with selective-storage mapping. Transactions, 39, pp.81-86.
( E / E > e~ is inside the red region, and Eji for nodes in the [2] Watanabe, K. et al., 2000, “A Study of Microgrooved
ji ii min

blue block is stored, and the fine mesh is used inside the green Bearing Performance by using Numerical Analysis,”
block). Proceedings of SAE, 2000-01-1338, pp.756-762.
[3] Ashihara1,K. and Hashimoto, H.,2008, “Mixed Lubrication
One can obtain the pressure distribution using the Average Characteristics of Microgrooved Bearings,” STLE annual
Reynolds equation [9]. Once a partial solid contact occurs, the meeting, 19–22 May, 2008, Cleveland, Ohio, USA.
reduced Reynolds equation approach with a combined [4] Oh, K. P. and Huebner, K.H., 1973, “Solution of the
FE-backwards finite difference scheme or the zero film elastohydrodynamic finite journal bearing problem,”
thickness approach can be used [10]. Journal of Tribology, 95, pp343-351.
[5] Wang, Q., Shi, F., and Lee, S., 1997, “Study of Mixed
Lubrication of Journal-Bearing Conformal Contacts,"
PRELIMINARY RESULTS Journal of Tribology, 119, pp.456-461.
A special circumferential groove case (Fig.2(a)) is [6] Wang F. C. and Jin Z M, 2004, “Prediction of elastic
analyzed here. Only half of journal-bearing system is used due deformation of acetabular cups and femoral heads for
to symmetry. The shaft is assumed rigid. The main lubrication analysis of artificial hip joints,” Journal of
simulation condition is shown as follows Engineering Tribology, 218, pp.201-209.
[7] Bobrica, M. B., Fillon, M., and Maspeyrot, P., 2007,
External radius of bearing: 28.575mm “Deterministic Modeling of Elasto-Plastic Contact and
Internal radius of bearing: 19.1008mm Mixed Lubrication in Small Fluid Bearings,” STLE annual
Whole bearing length: 12.7mm meeting, 6~10 May 2007, Philadelphia, Pennsylvania,
Radial clearance, 127μm USA.
Young’s Modulus: 205GPa [8] Xiong, S. W., Wang, Q., Lin, C., Wang, Y., and Liu, W. K,
Poisson ratio: 0.29 2007, “An efficient elastic deformation analysis procedure
Viscosity: 30cp for simulating conformal-contact transient
Rotating velocity of shaft: 0.5~100rpm elastohydrodynamic lubrication systems,” STLE/ASME
Groove width, 280μm International Joint Tribology Conference, 22–24 October,
Groove depth: 8μm 2007, San Antonia, California, USA.
Groove space: 1mm [9] Patir, N. and Cheng, H. S., 1978, “An average flow model
for determining effects of three-dimensional roughness on
An example of pressure distribution is plotted in Fig.2(b). It is partial hydrodynamic lubrication,” Journal of Lubrication
found that, within the groove, the pressure becomes very small Technology, 100, pp.12-17.
due to large film thickness. [10] Xiong, S. W., Wang, Q., Liu, W. K., Yang, Q. M,
Vaidyanathan, K, Zhu, D., and Lin, C, 2006, “Approaching
ACKNOWLEDGEMENTS Mixed Elastohydrodynamic Lubrication of Smooth
Journal-Bearing Systems with Low Rotating Speed,”
The work is sponsored by Baker Hughes Inc. The authors
Tribology Transactions, 49, pp598-61.
are grateful to Baker Hughes Inc. for the permission to publish
the work. (The whole paper will be supplied by the authors if reader
needs it.)

183
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Simulation and Experimental Validation of the Effect of Surface Texture on Fluid Film Formation

Zhang Jinyu /Tsinghua University, China Meng Yonggang / Tsinghua University, China
Le Chengning /Tsinghua University, China Hideki OGATA / IHI Co. Ltd., Japan

(Extended Abstract)

ABSTRACT
A surface texturing process with the photolithography and
is very regular and clear, the lateral wall is quite steep, and the
wet etching methods was established. By optimizing the
surface roughness of the central part of the bottom is
process parameters, surface textures with regular dimples on
Ra0.706μm.
steel plates were obtained. The textured steel plates were tested
on Falex friction test machine against lapped smooth brass
plates under different loads. Test results of friction coefficient
have shown that both of the dimple dimension and distribution
patterns influence the friction characteristics remarkably, and
some of the tested textures result in lower friction than the
non-textured samples. In order to reveal the mechanism of
surface texturing and to reduce the cost of experiments, a
numerical simulation program which can deal with mixed
lubrication analysis has been developed, based on the Patir &
Cheng’s average flow model the Kogut & Etsion’s friction
model. The tendency of the simulation results of friction Fig. 1 3-D dimple topography
coefficient is consistent with the experimental one for some Friction tests
typical load cases. Therefore, the design and optimazation of
surface texture in tribological applications can be assisted by
numerical simulation of mixed lubricantion.
Keywords: Surface texturing, Photolithography, Mixed lubrication

INTRODUCTION
Surface texturing has become an attractive and potential
technology for improvement of lubrication performance such
as load capacity, wear resistance, friction coefficient, etc. [1,2].
Many manufacturing techniques, including precision
machining, ion beam etching, chemical etching and laser
ablation, can be used for surface texturing [3]. Among them,
the process with photolithography and wet etching is an
efficient and cost-saving one. With this technique, abundant
texture shapes and distribution patterns can be obtained in a
simple way. Besides, the texture topography can be controlled
well by adjusting process parameters.
The present work focuses on studying the effects of surface
texturing on friction characteristics of a flat thrust bearing
theoretically and experimentally. It is aimed to reveal the
mechanism of surface texturing by comparing the experimental
and numerical simulation results.
EXPERIMENTS
Texture preparation
The process of photolithography associated with wet
etching was adopted to form micro-size surface textures on
steel plates. There are several steps in the process, including
grinding, polishing, cleaning and drying, photoresist coating,
soft baking, exposure, development, hard baking, etching and
photoresist striping, cleaning and drying. In each step, some
key process parameters, such as the soft baking temperature,
the development time, the content of each component of the
etching solution, should be optimized for obtaining good
texturing results.
Twelve different kinds of textures were made on the
surfaces of twelve steel ring plates. Fig. 1 shows the 3-D
topography of a circle dimple obtained with the
photolithography and wet etching processes. The dimple shape
Fig. 2 Layout of the fixture and samples
1: steel ball; 2: water bath; 3: lower sample; 4: lateral stop; 5:
sample holder; 6: upper sample; 7: shaft
Experiments with the textured plates were carried out on a
Falex friction tester. Fig. 2 shows the layout of the fixture and
samples. The upper sample was fixed onto the shaft and
rotated at 600r/min in all experiments. It was made of brass
and its rubbing surface was lapped. The below sample, whose
upper surface was textured, was placed into the fixture of the
holder. The samples were immersed2 into the hydraulic oil
L-HM46 (kinematical viscosity 46mm /s at 40ఁ) to guarantee
ample lubricant supply. The sample holder sat on a steel ball to
make it free to rotate around two horizontal axes. However, it
could not rotate around the vertical axis because of the lateral
stop. Water was filled into the water bath to alleviate oil
temperature change during experiments. Twenty different loads
were imposed gradually from 10N to 360N by a lever
mechanism. Under each load, the average oil temperature and
the friction torque were recorded when the values became
stable. For each textured lower sample, a new upper sample
with the similar surface quality was used.
SIMULATION
A numerical simulation program for the full film and
mixed lubrication analysis of textured surfaces was developed,
and it can deal with problems with wider ranges of speed and
load.
When the plates run in the mixed lubrication region, the
total normal load PT is shared by the hydrodynamic lifting

184
 Simulation and Experimental Validation of the Effect of Surface Texture on Fluid Film Formation

force PH and the asperity interacting force PC:

PT =PH+PC (1) high bearing number, which corresponds to the low load
The total friction force FT is the sum of the hydrodynamic conditions.
friction component FH and the asperity contact junction Table 1 lists the calculated friction coefficient and the
component FC: experiment values. Besides the calculated oil film thickness is
FT=FH+FC (2) also listed. From the table, we can see that the tendency of the
The average flow model (Patir and Cheng) was adopted to simulation results of friction coefficient with the change in
calculate PH and FH, which considered the effects of surface loads accords with that of the experiment results, i.e., with the
roughness on the oil pressure distribution [4]: increase in load, the friction coefficient decreases. For the
∂ h3 ∂p ∂ h 3 ∂p u + u ∂h u − u ∂φ ∂h same load condition, the texture that gives the lower friction
( φx ) + ( φy ) = 1 2 T + 1 2 σ s + T coefficient in experiment has the lower friction coefficient in
∂x 12η ∂x ∂y 12η ∂y 2 ∂x 2 ∂x ∂t (3) simulation too. The difference of friction coefficient between
Here φx, φy and φs are flow factors accounting for the experiment and simulation results in the lower load conditions
effects of surface roughness on pressure flow rates in x, y is probably caused partly by the isothermal assumption
directions and on shear flow rate in x direction. adopted in the simulation and partly by the error of
The theory for calculation of PC is based on the static measurement due to the small friction torque with respect to
friction model for elastic-plastic contacting rough surfaces, the large measurement range of the transducer.
which was established by Kogut and Etsion [5]:
∞ ∞
PC = ηAn [ ∫ P ( z − d )φ ( z )dz − ∫ Fs ( z − d )φ ( z )dz ] (4) Table 1 Comparison between experiment and simulation
d −∞ results of friction coefficient for series A
Here is the area density of asperities, An the nominal A-1 A-2 A-3 A-4
Pressure
contact area, d the separation of two surfaces that based on Cal. H Cal. H Cal. H Cal. H
asperity heights, and φ(z) the asperity height probability (KPa) Exp. f Cal. f
(μm)
Exp. f Cal. f
(μm)
Exp. f Cal. f
(μm)
Exp. f Cal. f
(μm)

density function. P and Fs are the contact load and 14.18 0.352 0.469 11.406 0.391 0.500 12.812 0.391 0.456 13.125 0.391 0.471 12.812

26.23 0.232 0.310 10.937 0.232 0.250 11.875 0.232 0.295 12.500 0.254 0.265 11.875
adhesion force for each individual asperity respectively.
315.76 0.046 0.044 5.500 0.044 0.043 5.625 0.044 0.045 5.500 0.044 0.047 5.500
The friction component FC is calculated by FC = fCPC,
475.18 0.043 0.035 4.500 0.040 0.036 4.687 0.041 0.039 5.500 0.041 0.039 4.500
where fC represents the boundary friction coefficient and its
value is set to be 0.1 in the simulations. CONCLUSIONS
The above differential equation was solved by using finite
(1) A cost effective surface texturing process with the
difference method, and the oil film thickness was calculated
photolithography and wet etching methods has been
iteratively by satisfying the convergence condition.
established, and abundant texture shapes and distribution
patterns can be obtained with the technique.
RESULTS AND DISCUSSION (2) Friction experiments of the textured samples have shown
The twelve samples tested were classified into three series, that the area ratio or length ratio, dimple depth, dimple width
A, B and C, according to the texture features. Here series A or dimple diameter, and the dimple distribution pattern
was chosen to study the effects of surface textures on friction influence the frictional performances mutually, and their
performances. In series A, circle dimples, which distribute effects also depends on load conditions.
uniformly both in the circumferential and radial directions (3) Numerical simulation results of friction coefficient accord
were designed. The diameters of circle dimples on A-1, A-2, well with the experiment results under the relative heavy load
A-3 and A-4 are φ800μm, φ960μm, φ1060μm and φ1340μm conditions. Under the light load conditions, the simulation
respectively, and thus the area ratios vary from 51.74%, 42.2%, results of friction coefficient are 20% higher than the
33.35% to 36.57%. The dimple depth is fixed as approximately experiment values, which can be reduced by improvements of
6.5μm. simulation model and measurement accuracy.
ACKNOWLEDGEMENTS
This work is supported by the Tsinghua—IHI cooperation
research project.
REFERENCES
[1] Costa, H.L., Hutchings, I.M., 2007, “Hydrodynamic
lubrication of textured steel surfaces under reciprocating
sliding conditions,” Tribology International, 40, pp.1227-1238.
[2] Andersson, P., Koskinen, J., Varjus, S., etc., 2007,
“Microlubrication effect by laser-textured steel surfaces,” Wear,
262, pp.369-379.
Fig. 3 Comparison between experiment and simulation results
[3] Etsion, I., 2005, “State of the art in laser surface texturing”,
of sample A-4
JOURNAL OF TRIBOLOGY-TRANSACTIONS OF THE ASME, 127,
As an example, the comparison between experimental and pp.248-253.
simulation results of friction coefficient vs. bearing number for [4] Patir, N., Cheng, H.S., 1979, “Application of average flow
the sample A-4 is shown in Fig. 3. The two curves are close model to lubrication between rough sliding surfaces,” ASME
with each other excepting the point at the highest bearing Journal of Lubrication Technology, 101, pp.220-230.
number (lowest load of 10N). The effects of dimple diameter [5] Kogut, L., Etsion, I., 2004, “A static friction model for
and area ratio in series A are alike, and the difference of the elastic-plastic contacting rough surfaces,” JOURNAL OF
four textures is not obvious. By comparing to the lapped TRIBOLOGY-TRANSACTIONS OF THE ASME, 126, pp34-40.
surface, we foundd that surface texturing of series A does (The whole paper will be supplied by the authors if reader
improve the frictional performance, especially in the range of needs it.)

185
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Marangoni Stress and Its Effects on the Flow in an Evaporating Sessile Droplet

Xuefeng Xu / State Key Laboratory of Tribology, Tsinghua University, Beijing 100084, China
Jianbin Luo / State Key Laboratory of Tribology, Tsinghua University, Beijing 100084, China

(Extended Abstract)

ABSTRACT
By using the fluorescent nanoparticles as seed particles, the
convective Marangoni (or Thermocapillary) flow in an
evaporating sessile water droplet has been observed. The
results show that a stagnation point, where the surface flow
changes its direction, exists at the boundary between the
micro-region and the macro-region. Furthermore, the effects of
Marangoni stresses on the flow in the droplet have been
observed and analyzed.
Keywords: Marangoni effect, Water droplet, Flow, Fluorescent
nanoparticle

INTRODUCTION
Marangoni effect, induced by a surface tension gradient
generated either by a composition or a temperature variation
along the free liquid surface, was observed as early as the
1800s [1]. The Marangoni flow plays a key role in many
engineering applications, including heat-mass transfer, surface
Fig. 1 A schematic diagram of the experimental apparatus
coating, and production of novel materials [1-7].
The Marangoni flow has been observed in many liquids, e.
g., ethanol, methanol, acetone and n-pentane [2-4, 8]. In RESULTS AND DISCUSSION
evaporating water droplets, some simulations and analyses [1, The particle trajectories in one droplet are shown in Fig. 2.
4] predicted that a very strong thermally driven Marangoni The contact line is pinned during the observation. The Figure
flow would exist. However, its existence in the pure water is indicates that particles move outward to the contact line first,
still dubious because it is very weak and can hardly be and then turn back at a position near the contact line. It can be
observed in usual experiments [4, 9]. In the absence of the clearly seen from Fig. 2 that a convective flow exists in the
Marangoni effect, the velocity of the outward flow in an evaporating water droplet due to the Marangoni effect.
evaporating droplet will diverge near the contact line to match
the strong evaporation there [9,10]: ū ~ d–λ, where ū is the
depth-averaged velocity of the outward flow, d is the distance
from the contact line, λ = (π-2θ)/(2π-2θ) and θ is the contact
angle.
In present work, the Marangoni flow in evaporation water
droplets has been observed by using fluorescent nanoparticles
[11] as tracer particles, and the outward flow in the droplets
has been measured and analyzed.

EXPERIMENTS
In the experiment, deionized water droplets with
fluorescent nanoparticles are deposited on the lower surface of
a glass slice and allowed to dry as shown in Fig.1. An
Olympus BX-51 fluorescent microscope (100×, 1.3 NA), an
Evolution QE cooled CCD camera, and an image processing
software Image-Pro Plus 5.0 are used to observe the particle
images in the liquid film near the contact line of the
evaporating droplets. The movements of tracer particles can be
obtained by identifying an individual tracer particle in
consecutive images. Then, from the trajectories of these
particles, the flow pattern in the droplets can be deduced, and
the velocity of the flow can be calculated.
The base radius and the initial contact angle of the droplets
are about 2 mm and 10° respectively. The droplets are initially
at the same temperature as that of the gas phase and the glass
slice, which is equal to the room temperature about 28 ºC. The
relative humidity in the experiment is about 60%.
Fig. 2 The particle trajectories in a evaporating water droplet
The experimental results show that the droplets can be
divided into two regions (Fig. 3): the outward-flow region
where the liquid moves outward directly to the contact line,
and the convective-flow region where the liquid moves
outward first and then turns back. The size and brightness of
the particles are almost constant when they move outward,
which means that the outward liquid flow is parallel to the
substrate surface. In contrast, the images of the particles are
faded away as they move back. Considering the weak
evaporation in the region away from the contact line in the
slowly evaporating droplet [12, 13], the inward flow is

186
 Marangoni Stress and Its Effects on the Flow in an Evaporating Sessile Droplet
suggested to be nearly parallel to the vapor-liquid interface.
Obviously, a stagnation point where the surface flow of the
droplet changes direction should exist.
Fig. 3 Flow pattern in the evaporating water droplet
The liquid velocities in the outward-flow region are plotted
vs distance from the contact line in Fig. 4. It can be seen that,
in the outward-flow region, the velocity is nearly a constant
within the stagnation point, and then increases when
approaching the contact line. The independence of the velocity
on the distance in the region within the stagnation point is
quite different from previous experiments [9, 10]. This can be
attributed to the Marangoni effect. In the presence of the
Marangoni effect, the outward liquid flow is parallel to the
substrate surface. Thus, the height of the outward-flow region
is unchanged near the contact line within the stagnation point,
and this leads to the constant liquid velocity.
Fig. 4 The liquid velocities in the outward region vs distance
The relationship between the liquid velocities in the
outward-flow region and time are shown in Fig. 5. It shows
that the velocity increases as time. This is because that the
height of the outward-flow region will decrease due to the
evaporation of the liquid, and the evaporation rate of the
droplet is almost unchanged when the contact line is pining.
CONCLUSIONS
In conclusion, the Marangoni flow has been observed in
evaporating water droplets. Experimental results indicate that a
stagnation point where the surface flow changes direction
exists at the droplet surface. The evaporating droplets can be
187
Fig. 5 The liquid velocities in the outward region vs time
divided into two regions: the outward-flow region and the
convective-flow region. In the outward-flow region within the
stagnation point, the velocity is independent of the distance
from the contact line, and increases as time.
ACKNOWLEDGEMENTS
This work is supported by the National Key Basic
Research Program of China (Grant No 2003CB716201 &
2007CB607604) and the Natural Science Foundation of China.
REFERENCES
1. H. Hu and R. G. Larson, Langmuir 21, 3972-3980 (2005).
2. C. Buffone and K. Sefiane, Int. J. Multiph. Flow 30,
1071-1091 (2004).
3. C. Buffone, K. Sefiane and J. R. E.Christy, Phys. Fluids 17,
052104 (2005).
4. H. Hu and R. G. Larson, J. Phys. Chem B 110, 7090-7094
(2006).
5. H. Hu and R. G. Larson, Langmuir 21, 3963-3971 (2005).
6. V. X. Nguyen and K. J. Stebe, Phys. Rev. Lett. 88, 164501
(2002).
7. V. X. Nguyen and K. J. Stebe, Langmuir 19, 8271-8279
(2003).
8. C. Buffone and K. Sefiane, Exp. Therm. Fluid Sci. 29, 65-74
(2004).
9. R. D. Deegan, O. Bakajin, T. F. Dupont, G. Huber, S. R.
Nagel and T. A. Witten, Nature 389, 827-829 (1997).
10. R. D. Deegan, O. Bakajin, T. F. Dupont, G. Huber, S. R.
Nagel and T. A. Witten, Phys. Rev. E 62, 756-765 (2000).
11. J. Duan, K. Wang, W. Tan, X. He, C. He, B. Liu, D. Li, S.
Huang, X. Yang and Y. Mo, Chemical Journal of Chinese
Universities 24, 255-259 (2003).
12. V. S. Ajaev, J. Fluid Mech. 528, 279-296 (2005).
13. V. Sartre, M. C. Zaghdoudi and M. Lallemand, Int. J.
Therm. Sci. 39, 498-504 (2000).
(The whole paper will be supplied by the authors if reader
needs it.)
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Film Forming Characteristics of Oil-in-Water Emulsion with Super-Low Oil Concentration

Ma liran*, Luo jianbin, Zhang Chenhui
(Department of precision instrument and mechanology,Tsinghua university, Beijing, China)

Extended Abstract
The oil in water emulsion has been widely used in many layer is chosen as a kind of material with high absorptivity of
fields such as rolling operations. The mechanism and the light. The reflectivity of the chromium layer is controlled
characteristics of film forming have been widely investigated to be 18% and the transimissivity to be 55%. In addition, a
before. However, the mechanism is still dubious and film layer of reflection reducing MgF coating is used to reduce the
forming characteristics are seldom discussed under an oil reflectivity of the upper surface of the glass disc from 4% to
concentration of 0.05%. In this paper, a lubricating film testing less than 1%. Thus, I1 and I 2 are almost the same and I 3
apparatus is used to investigate the film forming characteristics is reduced below 2%. The influence of the multiple-beam
and tribological behaviors under different speed of oil-in-water interference is avoided availably. I max and I min have been
emulsion between a steel ball and a glass disc. By carrying out
found to be very important in our experiments. If the two
experiments under an extremely low concentration of oil, some
values are not correct, there will be big errors in film thickness.
new phenomena are found in our experiments. Oil
The profile of the light intensity distribution out of an optical
concentration is even low to 0.0005%. The results indicate that
the speed-thickness curves are changed as the condition fiber should be a Gauss distribution. Thus I max and I min
changes. The effect of droplet size and the stability of emulsion varies at different interference orders as figure 1 shows.
are both considered to be important. The frictional behaviors
are investigated under different conditions.The film forming
mechanism of oil-in-water emulsion is also discussed by direct
observations of emulsion in the contact area. A new viewpoint
on the lubrication of emulsion is put forward in this paper.
Keywords: Emulsion; Super-low concentration; Film thickness;
Friction force

INTRODUCTION
Emulsions were used as lubricants first in 1940s and then
were widely used in metal working where non-flammable
lubricants are required such as hot rolling and cutting. The
lubricating performance of oil-in-water emulsions was first
studied even 50 years ago. To improve the lubricating
efficiency, there is a need for a better understanding for the
lubrication mechanism of oil-in-water emulsions. According to
the reports, there are three basic lubricating models under
different speed levels: Plate-out theory, Chiu-starvation theory
and Dynamic concentration theory. According to the author’s
knowledge, the studies about emulsions were mainly focused
on that with oil concentration larger than 0.05%. However,
there are little work was reported about the film formation
mechanism under a super low oil concentration (lower than
0.05%). In the present study, the film forming characteristics of
emulsions with oil concentration from 0.0005% to 3% are
reported. Some new features are revealed as the oil
concentration is super low. The film forming mechanism is
discussed.
Some researchers indicated that there is an error of film
thickness measurement by the relative optical interference
intensity method. Actually the result with low accuracy is
because that there is no consideration of several important
impact factors. There is an introduction aiming at illuminating
the detailed principles and the parameters influencing the
accuracy and validating the accuracy of film thickness
measurement by ROII.
Experiment details
1. Experiment method (ROII)
A technique of relative optical interference intensity is
used to measure the film thickness in this study. The existence
of multiple-beam component will influence the calculation
accuracy of film thickness. It is necessary to reduce the
multiple-beam interference as much as possible. The
reflectivity of the surface of steel ball is about 60%. Chromium
Fig. 1 Sketch of the practical variation of the light intensity
2. Experiment conditions
All experiments carried out under a room-temperature
about 250C and a pressure of the contact area 0.53GPa in pure
rolling conditions. The line speed range is from 0 m/s to about
2.5 m/s. For experiments of emulsions under extremely low oil
concentrations, it is important that all pieces of apparatus
coming into contact with the test samples are very clean. A
multi-stage cleaning method by using kinds of organic solvent
is used in this study.
Dimethylsilicone oil is used to be confected into
oil-in-water emulsions/mixtures with different oil percentages.
Three mixing levels are used in this study. All experiments are
carried out under a room-temperature about 250C and a
pressure of the contact area 0.53GPa.
Experiment results
1. Influence of mixing level
The influence of mixing level is studied by using different
blenders. Particle size distributions of emulsions with different
situations are also measured by laser particle size analyzer.
Curves in figure 2 show the results of three levels. It is can be
indicated that there is no obvious influence of mixing level on

*To whom all correspondence should be addressed.

POU@mails.tsinghua.edu.cn
188
 Film Forming Characteristics of Oil-in-Water Emulsion with Super-Low Oil Concentration
film thickness. The volumes of oil separated from water in
emulsions used in this study are big enough to form a thick oil
film on the disc surface, which is the reason of that the
influence of mixing level on film thickness is small.
Fig. 2 Contrast of different mixing levels
2. Influence of concentration
The film forming performances of emulsion with low
concentrations are experimental discussed in the program. The
film thickness and friction force are both measured under
different concentrations from 0.005% to 2.5% with the
measurement of the particle sizes. Obvious different
performances are found under low and high oil concentrations.
Fig. 3 Contrast of a lower concentration and a higher
concentration
The film forming performance is also investigated on
emulsions with ultra low concentration of 0.0005%.
Discussions
Adsorption and dynamic concentration theory can be used
to explain phenomena above. At a low speed, lubricant
performs a film-forming behavior same as the neat oil because
that oil exists as a layer of film floating on emulsion/water and
contacts solid surface directly. But if the oil concentration is
very low, there will be a starvation at even a low speed so that
there is a thickness smaller than neat oil. As speed increases,
film thickness increases until a dynamic concentration occurs
when the oil concentration is high. Big size oil droplets come
into being and the continuous phase of oil is destroyed at a
speed about 0.1m/s~0.2m/s as dynamic concentration occurs.
Oil droplets are flushed to the side of the contact and rarely
penetrate to the contact zone so that a drop of film thickness
occurs under a high concentration. As dynamic concentration
forming more difficultly due to extremely tiny oil in water,
there are few droplets with big size forming at a low
189
concentration so that there is a film thickness even higher than
high concentration. The flat stage of film thickness is possibly
due to a flux balance of fluid. When the oil concentration is
extremely low (0.0005%), the reason of the film formation is
that only a very small volume of oil is need.
Conclusion
There are some new phenomena in studies of emulsions.
Mixing level has nothing to do with the film formation of
emulsions. The film-forming behaviors of mixtures with oil
floating on water are similar to that of emulsions. The film
formation performances of emulsions are much different under
low concentrations and high concentrations. A more stable and
high film thickness is got at high speed under lower
concentration. Under an extremely low oil concentration
(0.0005%), a relative high film thickness of 80nm is formed.
That is to say that a high film thickness should be got by
putting an extremely small volume of oil into the water
without emulsifier and blender.
As a result, the film forming mechanism of emulsions is
redescribed. At very low speeds, emulsions have been found to
lubricate the contact area as a result of the adsorption of oil
separated from water. Only a very small volume can result in a
high film thickness. At higher speeds, dynamic concentration
which brings a drop of thickness under a high concentration
occurs. The higher the oil concentration is, the more the
influence on film formation of dynamic concentration has.
There is not clear explanation for the second rise of film
thickness at even higher speeds.
ACKNOWLEDGEMENTS
This work was supported by the National Natural Science
Fund, China (Grant No. 50605034). The author s would also
like to express their thanks to NSK LTD.
REFERENCES
[1] Williams, J.A., 2001, “Friction and wear of rotating pivots
in MEMS and other small scale devices,” Wear, 251,
pp.965-972.
[2] Bowden, F. P., Tabor, D., 1954, The Friction and
Lubrication of Solids, Part One, Clarendon Press, Oxford .
[3] Hankins, M.G., Resnick, P.J., Clews, P.J., 2003, “Vapor
deposition of Amino-Functionalized self-assembled
monolayers on MEMS,” Proceedings of SPIE, 4980,
pp.238-247.
[4] Belfit, R.W. and Shirk, N.E., 1961 “Brass Rolling
Emulsions,” Lubr. Eng, 17, pp 173-178.
[5] Haixia Yang, Steven R. Schemed, Ronald A. Reich. 2006
“Direct Observations of Emulsion Flow in
Elastohydrodynamically Lubricated Contacts,” Journal of
Tribology, 128 (3), pp 128- 619.
[6] M. Ratoi-Salagean and H.A. Spikes., 1997 “Optimizing
film formation by oil-in-water emulsions,” Tribology
Transactions, 40, 569-578.
[7] Wan, G. T. Y., Kenny, P and Spikes, H.A. 1984
“Elastohydrodynamic Properties of Water Based
Fire-Resistant Hydraulic Fluids,” Tribology International.
17, pp.309-315.
[8] Zhu, D., Biresaw, G., Clark, S.J. and Kasun, T.J., 1994
“Elastodydrodynamic Lubrication with O/W Emulsions,”
ASME Jour. of Trib., 116, pp 310-320.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

[9] Schmid, S. R., and Wilson, W. R. D., 1996 “Lubrication [11] Haixia Yang, S.R.Schmid, Thomas J.Kasun and Ronal
Mechanisms for Oil-in-water emulsions,” Lubr. Eng. 52, A.Reich. “Elastohydrodynamic Film Thickness and
pp. 168-175. Tractions for Oil-in-Water Emulsions,” Tribology
[10] Luo JB, Wen SZ, Huang P., “Thin film lubrication .1. Study Transactions, 47, pp 123-129, (2004).
on the transition between EHL and thin film lubrication
using a relative optical interference intensity technique,”
WEAR 194 (1-2), pp 107-115, (1996).

190
 A Piston Lubrication Model Considering the Coupling between the Piston Secondary Motion and the System Inertia Variation in an IC Engine

A Piston Lubrication Model Considering the Coupling between the Piston Secondary Motion and
the System Inertia Variation in an IC Engine
*
Xiaoxiang Zhang , Zhinan Zhang, Ping Wang, Youbai Xie

School of Mechanical Engineering, Shanghai Jiao Tong University, 200240ˈShanghai, PR China

ABSTRACT variable inertia on the side force and friction force of piston skirt
With increasing public concern about the environmental are carefully studied.
problems and oil prices, improving fuel economy and reducing This paper is arranged as follows: Firstly, the new piston
engine emissions in modern passenger car engines has become dynamics model is derived, and then the lubrication sub model
one of the important trends in engine design. It is currently is introduced. Next is a description of the implementation,
estimated that the piston - cylinder bore friction accounts for up followed by some simulation results to show the model
to 25% of the power loss in a typical engine. The piston behavior and validation. Finally, there are discussions and some
secondary motion has a significant influence on the major conclusions.
characteristics of lubrication in internal combustion engine,
such as the oil leakage, the piston slap phenomenon and the
frictional power loss. Therefore, better understanding and more PISTON DYNAMICS MODEL DERIVATION
accurately modeling piston dynamics play an important role in Details of the derivation of the fully-coupled model are given
piston design for the reduction of friction to improve fuel in this section, which is partly based on the Hesterman and
economy and to reduce exhaust emissions. This paper presents a Stone’s dynamic analysis [13] of a vertically mounted, single
new model of piston secondary motion with consideration of the reciprocating mechanism.
effect of system inertia variation. According to this model, it is
found that the piston side force dominates piston secondary Kinematic analysis
motion, and system inertia variation has an important effect on A schematic drawing of piston-rod-crankshaft mechanism is
the piston side force, so it greatly influences the piston shown in Fig 1. With reference to Fig.1,
secondary motion. Also, the effects of system inertia variation
on the friction and lubrication behavior between piston skirt and l sin M r sin T  C
C
(1)
cylinder liner are investigated in this study. Differentiating equation (1) gives
Keywords: Piston lubrication, Piston friction, Secondary rT cos T
M
motion, Inertia variation l cos M (2)
ª§ 2 º
r cos T · r sin T »
M T2 «¨ ¸ tan M 
INTRODUCTION «© l cos M ¹ l cos M »
¬ ¼
The secondary motion of a piston refers to its lateral and r cos T
T
tilting movement in the cylinder liner due to the existed l cos M
clearance between the piston and the liner and the forces and The general expressions for the center-of-mass (COM)
motions acting on the piston. accelerations of the piston, rod and crankshaft are given in the
A significant number of authors have investigated and following equations (3) to (5).
analyzed the piston lubrication and its secondary motion during For the motion of the piston,
the past years [1-10]. Li et al. [3] presented a simple secondary X p X p (3)
motion model considering the hydrodynamics of the skirt liner
interface. A comprehensive model of secondary motion, Yp T r cos T tan I  r sin T 
including skirt hydrodynamics and elastic deformation of the
§  r cos T  2 ·
skirt, was presented by Zhu et al [4-5]. Later on, Zhu’s model T 2 ¨  r sin T tan I  r cos T ¸
was widely referenced by many researchers who focus on ¨ l cos I
3
¸
© ¹
secondary dynamics, piston assembly friction and wear.
For the motion of the rod,
However, all the above studies have neglected the coupling of
secondary motion and the piston-rod-crankshaft mechanism X R r (1  j )T cosT  r (1  j )T 2 sin T
(4)
inertia variations which is owing to the change of geometry YR T rj cos T tan I  r sin T 
through a crank revolution. The piston and connecting rod
masses change their position relative to the crankshaft axis and §  r cos T 2 ·
hence change the effective inertia about this axis. Recently, T 2 ¨ j  jr sin T tan I  r cos T ¸
¨ l cos3 I ¸
Guzzomi et al [13] presents the derivation of the inertia © ¹
function for a single cylinder engine, including piston friction. For the motion of the crankshaft,
However, they neglected the effects of the inertia variation on
XC Thr cos T  T 2 hr sin T
the piston secondary motion which significantly influences (5)
piston lubrication and friction. YC Thr sin T  T 2 hr cos T
This paper presents a new model of piston dynamics. It takes
account of the effect of system inertia variation. A computer Kinetic analysis
program is developed to analyze this effect of the inertia As shown in Fig.1, FB is the force acting along the
variation on the piston secondary motion. Effects of the system connecting-rod, Q(t) is the gas force acting on the crown of
piston, Xp and Yp are piston lateral and vertical displacement,
* Correspondence author

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

and  is the piston tilting degree. A full description and assumed to act through the wrist pin. The dynamic equations
explanation of each of the term in Fig.1 and all subsequent for the piston, connecting rod and the crank are then,
figures can be found in notation. All forces on the piston are

Q(t)
Piston 

Anti-Thrust side
Cylinder Liner

FBY
C
Thrust side

I B FBX

P
et
CS
I
FBX
B
S CA
CB
B
F
CP C L
Y C
eb
FB FBY
Y AB l
Connecting Rod Ù
X AR jl
(b) OA r
FAY RÚ
FAX Ù OC hr
m Rg
Ù A FAX A
O
A FAY
O
FOY ÚC
Crank
FOX m Cg
(a) (c) (d)

Fig. 1 A Schematic Drawing of Piston/Rod/Crank system geometry, force and moment (a)(b)(c)(d)(e)

Equilibrium of forces and moment for the piston requires, I R cos I

m p1 (T )  m p tan I  cos T tan I  sin T 
S  X p m p  l cos I 
2
FBx (6)
(16)
FBy m p a pY  m p g  Q (t )  F f (7) § j cos T ·
M S  M Q  M Ff  M g  jmR ¨ 2  sin T tan I  cos T ¸
(8) ¨ ¸
© cos I ¹
 X p mPIS  C B  C A   a pY mPIS C P  EI PIN 0
§ 2
·
Equilibrium of forces and moment for the connecting rod IR¨ r cos T tan I ¸
mp 2 (T )  sin T
 l cos I  ¨© l cos I ¸
2 3
requires,
¹
FAx FBx  mR a Rx (9)
§ 2
·
r cos T
F Ay F By  m R a RY  m R g (10) mp tan I ¨ 3  sin T tan I  cosT ¸ (17)
¨ ¸
 FBx (1  j )l cos I  FBy (1  j )l sin I © l cos I ¹
(11)
 F jl cos I  F jl sin I I I § 2
·
Ax Ay R R jr cosT tan I j cosT
 jmR ¨  cosT tan I  sin T  2 ¸
Equilibrium of forces and moment for the crank requires, ¨ 3
¸
© l cos I cos I ¹
FOx FAx  mC aCx (12)
mPIS
FCy FAy  mC aCY  mC g (13) I p1 (T ) r  CB  C A  m p1 (T ) (18)
mp
T  FAx (1  h) r cos T  Fay (1  H ) r sin T
(14) CP > r cos T tan M  r sin T @ mPIS
 F hr cos T  F hr sin T I T
Ox Oy C C mPIS
Combining equations (6) to (14), and substituting for the I p 2 (T ) r  CB  C A  m p 2 (T )
mp (19)
accelerations using equations (3) to (5), the governing equations
of piston secondary motion are expressed as: ª  r cos T  2 º
CP «  r cos T  r sin T tan M » mPIS
X p
mp
1

rTmp1 (T )  rT2mp 2 (T )  Fp (T )  « l cos I
¬
3
»
¼
˄15˅ § r cosT ·
2

E
1
I PIN

TI p1 (T ) T2 I p 2 (T )  M p (T )  I c (T ) I C  mC h 2 r 2  I R ¨¨ ¸¸
© l cosI ¹
(20)
 m p r 2 cosT tanI  sinT 
2
1 § 1 2 c ·
T ¨  T Ic (T )  T  gc (T )  Qc (t,T ) ¸
Ic (T ) © 2 ¹  ª 2
2º
 mR r 2 «(1  j ) 2 cosT  j cosT tanI  sinT  »
where m p1 (T ) , mp 2 (T ) , I p1 (T ) , I p 2 (T ) , I c (T ) are functions ¬ ¼
of the crankshaft angular position©: And I c c (T ) is the rate of change of inertia with respect to

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 A Piston Lubrication Model Considering the Coupling between the Piston Secondary Motion and the System Inertia Variation in an IC Engine

crankshaft angular position© factors, and Is is the shear flow factor.

2
c § r cosT · ª§ r cosT · º Fig.2 shows the lubrication region in piston-liner pair.
I c (T ) 2I R ¨¨ ¸¸ «¨¨ ¸¸ tanI  tanT »
© l cosI ¹ ¬© l cosI ¹ ¼ Without considering the skirt profile and deformation, the oil
film thickness can be approximated expressed as:
ª§ 2 · º (21)
¨ r cosT ¸ y
 2mp r 2 cosT tanI  sinT «¨ 3 ¸  cosT  sinT tanI» h C  e  t  cos I  ªe  t   e  t  º cos I (32)
«¨ ¸ » T b ¬ b t ¼L
¬© l cosI ¹ ¼ The squeeze film term equation (28) is given as below:
 2mR r 2 (1 j) 2 cosT sinT wh y
ª§ º
T e  t  cos I  ªe  t   e  t  º cos I (33)
2
· wt b ¬ b t ¼L
¨ jr cosT ¸
 2mR r 2 ( j cosT tanI  sinT )«¨ ¸  cosT  j sinT tanI» Since  is far less than 5 degree, the piston eccentricities et
Ǭ 3
¸ »
¬© l cosI ¹ ¼ and eb at the top and bottom of the skirt respectively can be
And Fp (T ) , M p (T ) , g c (T ) , Qc (t ,T ) are defined as: expressed as:
­° et X B  C A E
Fp (T ) S  g (T ) p  (Q(t )  Ff ) tan I ®
(34)
°̄ eb X B   L  C A  E
(22)
Where Q(t ) is the combustion force acting on the piston crown.
Differentiating yields,
F f is the hydrodynamic friction force acting on piston skirt. S ­°et X B  C A E (35)
is the hydrodynamic side force acting on piston skirt. ®
°̄e X   L  C  E
g p (T ) g tan I  m p  jmR 
b B A
(23)
Thus the forces and moments due to hydrodynamic
M p (T ) M S  M Ff  M g  M Q lubrication can be calculated by the equations (36) to (39).
(24)

mPIS
 CB  CA    g (T ) p  (Q(t )  Ff ) tan I  S  ³³
S R p cos I dI dy
A
(36)
mp
Where M S is the moment about wrist-pin due to S Ff R ³³ W dI dy (37)
A
MS S  C B  CS  (25)
MS R ³³ p (CB  y ) cos I dI dy (38)
M Ff is the moment about wrist-pin due to F f A

M SK R ³³ W R cos I dI dy (39)
§D · (26)
M Ff Ff ¨  CC ¸ A

©2 ¹ Oil film pressure, p, in equations (36) and (38) can be

MQ is the moment about wrist-pin due to Q  t  obtained by solving equation (31). According to [4, 5, 7, 8, 11,
and 12], the average fluid shear stress in equations (37) and (39)
MQ Q  t  CC (27)
can be expressed as:
M g is the moment about wrist-pin due to CP Ku h wp
(28)
W 
h
) f  ) fs   ) fp
2 wy
(40)
Mg gmPIS C P
ªm p cosT tanI  sinT  º
g c (T ) gr « »
(29)
¬ mR  j cosT tanI  sinT   mC h sinT ¼ hT |Iy 0
0 hT |Iy S0
Qc (t , T ) r  cos T tan I  sin T  (Q (t ) r F f ) (30)
Cylinder bore
I2
Equations (1)-() lead to a set of non-linear differential Hydrodynamic
equations. Given the forces Q(t ) , F f , and S , these equations
Hydrodynamic
lubrication region
-I1 lubrication region

can be solved to predict and investigate the piston secondary

dynamics. The hydrodynamic model which generates F f and I=0 I=S
S will be discussed in the next section. I
Skirt
I1 I2 Skirt
Equations of Lubrication bottom cirlce top circle
Considering the effects of roughness of piston skirt and
cylinder liner, two dimensional Average Reynolds Equation is
employed to describe the hydrodynamic behavior at the piston
hT |Iy 0L hT |Iy SL
skirt and cylinder liner interface [11, 12].
w § h3 wp · w § h3 wp · P whT Fig. 2 Lubrication acting region
¨I ¸  ¨I ¸ 
wx ¨ x 12K wx ¸ wy ¨ y 12K wy ¸ 2 wy (31)
© ¹ © ¹
PV wIs whT MODEL IMPLEMENTATION PROCEDURE

2 wy wt The main cycle of calculation includes:
Where u is the piston velocity, I x and I y are the pressure flow (a) Program initialization

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

During the initialization process, the most important To study the effects of inertia variation on piston secondary
parameters of the engine geometry and the engine inertia motion, comparisons are made for piston side force, piston
properties are input into the program. lateral and tilting motions, piston skirt friction force and
(b) The sub model calculation frictional power loss between the model with system inertia
The lubrication sub model, which is based on the average variation effect and the model without system inertia variation
Reynolds equation, is solved by a finite difference method. effect. These comparisons illustrate important differences. The
And, hydrodynamic forces S and Ff can be obtained after the
model without system inertia variation effect, in this paper, is
solving process. The combustion gas force Q(t) will also be
not a newly-established model but a modified model by
obtained through the combustion gas force history versus
crankshaft angle. eliminating from the governing equations (15)-(30) the terms
(c) The coupled piston secondary dynamics model calculation which include mass of crank, mass of connecting rod, inertia of
Given the combustion gas force Q(t), hydrodynamic friction crank, and inertia of connecting rod.
force Ff, and the hydrodynamic side force S, the Runge-Kutta As illustrated in Fig. 4 and Fig. 5, inertia variation has
algorithm will be called to solve the differential equations of the considerable effect on the lateral and angular displacement of
coupled dynamics model and generate the instantaneous engine the piston. It is apparent from Fig. 4 that the
states that include X , X , E , E , T , and T .
B B
inertia-variation-influenced model’s magnitude of lateral
motion is greater than non-inertia-variation-influenced model’s.
(d) Output It can be seen from Fig. 4 and Fig. 5 that the piston motion
Store the important data calculated at each time step. differences between the two models is smaller during firing
(e) Update
stroke and greater during other strokes. Obviously, this means
Update the model states, and goes to go to the next time step
that the piston motion is more controlled by the inertia force
calculation.
and less so by gas pressure during all other strokes except the
firing stroke.
RESULTS AND DISCUSSIONS
The influence of the inertia variation on the piston side force
Numerical simulations have been conducted with a four stroke is presented in Fig. 6 for an entire cycle. By comparing Fig. 6
single cylinder gasoline engine. While simulations are run in the with Fig. 4, a relationship between piston side force and piston
times-domain, all results are shown versus crankshaft angle. The
lateral motion can be seen. It is apparent that the side force
important parameters used in the simulation are summarized in
drives the lateral motion of the piston.
Table 1.
This simulation used a sample combustion pressure history Fig. 7 shows the variation of the hydrodynamic friction forces
shown in Fig. 3 which was measured at average speed of 5500 of the two models with crank angle. As shown in Fig.7, the
r/min. Note that firing stroke is from 10 to 190 degree. The friction fluctuation for the inertia-variation-influenced model is
pressure is at maximum around TDC. more severe. By comparing Fig. 7 with Fig. 4, it can be found
that the variation trend of the piston friction is similar to that of
Table1 Input Parameters the piston side force. Therefore, it can be inferred that piston side
Working Speed (n) = 5500 r/min force plays an important role in determining the piston friction.
Length of cranN (r) = 0.0185 m The instantaneous frictional power loss is presented in Fig. 8.
Length of Connecting Rod (lc) = 0.061 m The figure shows that with the effect of inertia, there is much
Length of Skirt (LSK)= 0.0225 m power loss throughout the four strokes, especially in the firing
Mass of Piston (mpis) = 0.140362 kg stroke.
Mass of Piston Pin (mpin) = 0.013309 kg As shown in Fig. 4 and Fig. 8, with the effect of system
Mass of Crank = 0.4794191 kg inertia variation, the piston motion, the piston side force, the
Mass of Connecting Rod(MR) = 0.0330807 kg hydrodynamic friction force and the frictional power loss are
Inertia of Piston (Ipis) = 0.00000989 kg•m2 greater during all four strokes.
Inertia of Connecting Rod (IR) = 0.00224 kg•m2
Inertia of Crank (IC)= 0.001322 kg•m2
Inertia of Flywheel(IFW)= 0.5 kg•m2
Roughness of Cylinder Bore (Ê1) = 6.15E-7 m
Roughness of Piston Skirt (Ê2) = 8.15E-7 m
Diameter of Cylinder Liner (DCL) = 4.35E-2 m
DSK = 4.345E-2 m
L = 2.25E-2 m
CA = 7.3E-4 m
CB = 6.0E-3 m
Distance of the Pin from the Central Mass of the Piston
(CP) = 0 m
Distance of the Wrist-pin from the Geometric Axis of the
Piston (CC) =0 m
Connecting Rod Mass Center Distance(LJ)= 0.336066 m
Crank Mass Center Distance(HJ)= 0.084719 m
hydrodynamic lubrication regional angle=70 degree Fig.3 Combustion gas pressure acting on the piston crown
Dynamic viscosity (Ø) = 0.01295 Pa•S

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A Piston Lubrication Model Considering the Coupling between the Piston Secondary Motion and the System Inertia Variation in an IC Engine

Fig.4 Effects of inertia variation on piston lateral motion Fig.7 Effect of inertia variation on the friction force

Fig. 5 Effect of inertia variation on piston titling

Fig. 8 Effect of inertia variation on frictional power loss

CONCLUSIONS
a. A mathematical model is developed for piston lubrication
analyses, considering the coupling of piston secondary
motion with system inertia variation.
b. The analyses incorporated equations for piston, connecting
rod and crank dynamics, as well as the average Reynolds
equation applied to calculate friction force and side force.
c. A computer program is constructed based on the model.
The variation of the engine friction force and frictional
power loss can be simulated and predicted by the program.
d. The results show that system inertia variation has a
significant effect on piston secondary motion, piston
friction and lubrication behavior.
e. Many other parameters and factors are not studied here.
The presented model can also be performed to investigate
the other factors and parameters that affect piston
dynamics and lubrication. Future work of this study
should take into account the factors including wrist pin
offset, piston skirt profile, piston-liner deformation, mixed
Fig. 6 Effect of inertia variation on the side force lubrication and piston ring force.

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

ACKNOWLEDGEMENTS APPENDIX
The authors are most grateful to the 973 National Basic Notation
Research Priorities Programme of China (No. 2006CB705402), L connecting rod length, m
the project of NSFC (No. 50705055), the project of Shanghai r crank length, m
Science and Technology Committee (No.07JC14027) for L piston length, m
supporting this research. Special thanks to Dr. Xianghui Meng LSK piston skirt length, m
for his suggestions. The authors would also like to express their DSK piston skirt diameter, m
sincere thanks to the anonymous referees and the Editor for their D cylinder bore diameter, m
constructive comments. R nominal radius of piston, m
 angular displacement of crank, rad
 angular displacement of connecting rod, rad
REFERENCES L hydrodynamic lubrication regional angle, rad
 piston tilt angular displacement, rad
CA vertical distance between piston mass and piston
[1] Edara, R.B., “Reciprocating Engine Piston crown, m
Secondary Motion - Literature Review”, SAE paper CB vertical distance between wrist-pin and piston crown,
2008011045. m
[2] Wong V., Tian T., Smedley G., et al., CC distance of the wrist-pin from the axis of piston, m
Low-Engine-Friction Technology for Advanced CP horizontal distance between piston center of mass
Natural-Gas Reciprocating Engines. Final Technical and wrist-pin, m
Report, 2007, MIT. CS distance between the lubrication force acting point
[3] Li, D. F., Rohde, S. M., and Ezzat, H. A., 1983, “An and piston crown, m
Automotive Piston Lubrication Model,” ASLE Trans., 26, eb, et distance between the centre at the bottom and top of
No. 2, pp. 151-160. the skirt and the cylinder axis, respectively, m
[4] Zhu, D., Cheng, H. S., Takayuki, A., et al., 1992, ‘‘A j ratio of connecting rod length AR to AB (0<j<1)
Numerical Analysis for Piston Skirts in Mixed h ratio of crank length OC to OA (0<h<1)
Lubrication: Part I—Basic Modeling,’’ ASME J. Tribol., A connecting rod big end bearing position
114, pp. 553-562. B wrist-pin position
[5] Zhu, D., Hu, Y., Cheng, H. S., Takayuki, A., et al., 1993, C crank centre of mass position
‘‘A Numerical Analysis for Piston Skirts in Mixed R connecting rod center of mass position
Lubrication: Part II—Deformation Considerations,’’ hT average gap (oil film thickness), m
ASME J. Tribol., 115, pp. 125-133. hT local film thickness, m
[6] Dursunkaya Z., Keribar R., Ganapathy V., “A 0odel of h nominal film thickness, m
3iston 6econdary 0otion and (lastohydrodynamic 6kirt Q(t) combustion gas force action on the top of piston, N
/ubrication. ASME J. Tribol., 1994, Vol. 116, no. 4, pp. S piston hydrodynamic side force, N
777-785. Ff friction force acting on the skirt, N
[7] Liu K. The investigation of the friction and lubrication mPIS piston mass, kg
property of piston ring pack and the establishment of wear mPIN wrist pin mass, kg
model of piston ring-cylinder wall. PhD thesis, Xi'an mP total mass of piston and wrist pin, kg
Jiaotong University, 1995. (In Chinese) mR connecting rod mass, kg
[8] Liu, K., Xie, Y. B., and Gui, C. L., 1998, ‘‘A
Comprehensive Study of the Friction and Dynamic
mC crank mass, kg
Motion of the Piston Assembly,’’ Proc. Inst. Mech. Eng. IPIS piston rotary inertia about its centre of mass
Part J, 212, pp. 221-226. Ø lubricant viscosity
[9] McNally Conor P., 1998, Development of a Numerical Ê1 cylinder bore surface roughness
Model of Piston Secondary Motion for Internal Ê2 piston skirt surface roughness
Combustion Engines, Master Thesis, MIT. Ê root mean square value of bore and skirt surfaces,
[10] Prata A.T., Fernandes J.R.S., Fagotti F., 2000, ‘‘Dynamic Ê=(Ê12+Ê22)0.5
Analysis of Piston Secondary Motion for Small p mean lubrication pressure
Reciprocating Compressors”, ASME J. Tribol., 122, pp. u piston velocity, m/s
752-760. Ix ˈ I y  pressure flow factors
[11] Patir N., Cheng H.S., 1978, “An Average Flow Model for
Determining Effects of Tree Dimensional Roughness on
Is shear flow factor
Partial Hydrodynamic Lubrication”, ASME J. Tribol., 100, Yp COM vertical displacement of piston, m
pp. 12-17. COM lateral displacement of piston, m
Xp
[12] Patir N., Cheng H.S., 1979, “Application of Average
Flow Model to Lubrication Between Rough Sliding YR COM vertical displacement of connecting rod, m
Surfaces”, ASME J. Tribol., 101, pp. 220-230. XR COM lateral displacement of connecting rod, m
[13] Guzzomi A.L., Hesterman D.C., and Stone B. J., 2008,
“Variable Inertia Effects of an Engine Including Piston YC COM lateral displacement of crankshaft, m
Friction and Crank/Gudgeon Pin Offset”, Proc. Inst. XC COM lateral displacement of crankshaft, m
Mech. Eng., Vol. 222, Part D, pp. 397-412. COM center of mass

196
 Analysis of the Combined Effect of the Surface Roughness and Inertia on the Performance of High-Speed Hydrostatic Thrust Bearing

Analysis of the Combined Effect of the Surface Roughness and Inertia on the Performance of
High-Speed Hydrostatic Thrust Bearing

Yang Xuebing1, Xiong Wanli1,*, Lü Lang1, Hou Zhiquan1

1
National Engineering Center for High Efficiency Grinding, Hunan University, Changsha, China, 410082

ABSTRACT proposed to deal with the large number of asperities on the

The combined effects of surface roughness and rotational
inertia on the performance of high speed hydrostatic thrust
bearings are presented theoretically in this paper. A
deterministic three-dimensional roughness model is introduced
to derive the function of film thickness. Both the simplified
Reynolds equation with rotational inertia effect and the recess
flow continuity equation with recess volume fluid
compressibility effect are deduced to govern the lubrication
model. The static performance parameters of bearing are
obtained, such as the load capacity, the flow rate and the
frictional power. Employing a small perturbation method, the
dynamic coefficients of bearing are also evaluated. According
to the results, it is shown that the surface roughness has a
negligible influence on the load capacity, but provides a
significant effect on the flow rate and the dynamic stiffness and
damping coefficients; and for the same load capacity, the
longitudinal roughness pattern generates a higher frictional
power comparing to the transverse or isotropic pattern; and the
transverse roughness pattern reduces the required lubricant flow
rate and increases the value of dynamic coefficients; however,
this trends are reversed for the longitudinal roughness pattern.
Keywords: Hydrostatic thrust bearing, Surface roughness,
Inertia
INTRODUCTION
Owing to the prominent properties of high load capacity,
high stiffness and damping, high positional accuracy, low
friction and long durability, hydrostatic thrust bearings are
being increasingly used widely, particularly in machine tools,
testing equipments and aerospace instruments. The
fundamental performance and design methods of the
hydrostatic thrust bearings have been systemically investigated
by Fuller [1], and their further studies with various operating
situations, such as inertia effect, elasticity, magnetic-fluid effect,
journal misalignment, turbulence, thermal effect etc., have also
been carried out fruitfully. Downson [2] have predicted that the
rotational inertia effect is detrimental to the load capacity of
thrust bearings. Brown [3] have studied the dynamic behavior
of the hydrostatic thrust bearings. Licht and Cooley [4] have
also examined the dynamic stiffness and damping
characteristics of hydrostatic thrust bearings. It has been found
that the damping effect of the squeeze film is significant in
assessing the dynamic response of the viscous fluid.
Simultaneously, Ghosh and Majumdar [5] have estimated the
effect of fluid recess volume compressibility of the hydrostatic
thrust bearing. According to their results, the recess volume
compressibility has a remarkable effect on the dynamic
characteristics of hydrostatic thrust bearing.
All of the above studies focus on the performance of
hydrostatic thrust bearings with the assumption that the bearing
surfaces are smooth. However, it may be unrealistic, especially
for bearing s operating with small film thickness. Ordinarily
two methods based on an average-value view have been
_______________________________________________________
Corresponding author, email: wan369@vip.sina.com
lubricated surfaces. Christensen [6] and Tonder [7] have
postulated a stochastic model for directional roughness and
presented two types of one-dimensional roughness:
longitudinal and transverse respectively. On the other hand,
Patir and Cheng [8] have established an average flow model for
directional or isotropic roughness. Based upon the above two
models, many investigations of the effect of surface roughness
have been carried out. However, they have considered almost
two-dimensional surface roughness except for Lin [9] have
studied the static performance of finite hydrodynamic journal
bearings with deterministic three-dimensional irregularities.
The geometry size of the asperity is defined by the height and
the half-widths in both axial and circumferential directions. In
this paper, the similar deterministic roughness model is also
adopted to derive the function of film thickness, but it is defined
by the height and the number of the asperities in both radial and
circumferential directions that can be obtained by experimental
measurement.
The aim of this paper is to analyze the combined effects of
surface roughness and rotational inertia on the static and
dynamic characteristics of the high speed hydrostatic thrust
bearings. Both the simplified Reynolds equation with rotational
inertia effect and the recess flow continuity equation with
recess volume fluid compressibility effect are deduced to
govern the lubrication model. The shaft is assumed to be
running under small-aptitude harmonic oscillations about its
static position. Using the first-order perturbation method, the
dynamic characteristics of the bearing are evaluated. Results in
terms of static load capacity, flow rate, frictional power,
dynamic stiffness and damping coefficients are presented for a
high speed hydrostatic thrust bearing with orifice compensated.
ANALYTICAL SOLUTION FOR THE HIGH SPEED
HYDROSTATIC THRUST BEARING
SIMPLIFIED LUBRICATION MODEL
Fig.1 Configuration of a hydrostatic circular step thrust
bearing

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

An orifice compensated hydrostatic circular step thrust Ha

bearing is shown in Fig.1. The shaft is rotating about the
G  r ,T  >1  cos(nT  S )@
4 (7)
z -axis with speed : . The properties of the lubricant fed into u ª¬1  cosS  2mr  1 º¼
the recess through the orifice restrictor are assumed to be
incompressible, laminar and isothermal. According to the the local film thickness can be shown to be
analysis presented by Downson [2], the rotational inertia term h h  t   G  r ,T  (8)
is retained in motion equations. Therefore, the equations of transverse roughness
continuity and motion in cylindrical polar coordinates are
simplified to
1 w  ru  ww
 0 (1)
r wr wz
­ v2 wp w 2u
° U  P 2
° r wr wz
° w v
2

®0 P 2 (2)
° wz
° wp longitudinal roughness
°0 wz
¯
Considering the following boundary conditions
u  r, 0 u  r, h v  r, 0 0 , v  r, h  r: (3)
then the radial and tangential velocity are then obtained
­ 1 wp 2 U r:2
°° u  r , z 
2P wr
 z  zh  
12P h 2
  z 4  zh3 
® (4)
°v r , z r : z
°̄   h isotropic roughness
Substituting above two equations into the continuity
equation and integrating with respect to z with the following
boundary conditions
wh
w  r, 0 0 , w  r, h  (5)
wt
the simplified dynamic Reynolds equation in polar coordinates
is derived as
1 w § 3 wp 3 · wh
¨ rh  U: 2 r 2 h3 ¸ 12P (6)
r wr © wr 10 ¹ wt
Fig.2 Three-dimensional asperity model for transversely,
longitudinally and isotropically oriented
MODIFIED FILM THICKNESS
It is assumed that the three-dimensional asperities are PERTURBATION SOLUTION
adhered to the stationary bearing surface only as shown in Fig.2. Introducing the following dimensionless variables and
It presents the three-dimensional asperity model for parameters
longitudinally, isotropically and transversely oriented r h
roughness patterns. Longitudinally oriented roughness offers r , , h , W Zt ,
r0 h0
little resistance to the pressure flow, permitting only a small
0.6U: 2 r0 2 12PZ r0 2
amount of side flow, but it is reversed for the transversely one. s , V
For isotropic oriented roughness, the local side flow is of the ps ps h0 2
same order in both directions. Neglecting high order terms, the dimensionless simplified
The profiles of the asperity in both r and T directions Reynolds equation is thus approximately expressed as
are cosine curves. With H a , n and m being the asperity 1 w § wp · 3 wh
¨r ¸h sh 3  V (9)
amplitude, the number of asperities in circumferential direction r wr © wr ¹ wW
and the number of asperities in radial direction, the geometry With the shaft undergoing small amplitude oscillation about
size of asperity profile is expressed as its steady-state position, the dimensionless film thickness and
pressure are perturbed as

198
 Analysis of the Combined Effect of the Surface Roughness and Inertia on the Performance of High-Speed Hydrostatic Thrust Bearing

h 1  N eiW (10) the film pressure is then found

and p0  r  pr 0
iW
p p0  p1N e (11) ª º ln r (19)
 s  r 2  1  « pr 0  s ] 2  1 »
1 1
Substituting into Eq.9 and neglecting higher order terms, the 4 ¬ 4 ¼ ln ]
dimensionless perturbed Reynolds equations responsible for the The static load capacity is calculated by integrating the film
static performance and dynamic stiffness and damping pressure
characteristics are obtained as r r0

1 w § wp0 · W0 S ri 2 pr 0  2S ³ p0  r  rdr (20)

r s
r wr ¨© wr ¸¹
(12)
r ri

and then
ªp § ] 2  1 ·º
1 w § wp1 ·
r i
V W0 0.5 ] 2  1 « r 0  0.25s ¨ ] 2  1  ¸»
r wr ¨© wr ¸¹
(13)
h3 ¬ ln ] © ln ] ¹ ¼
(21)
RECESS BOUNDARY PRESSURES The static lubrication flow rate from the recess boundary is
evaluated by integrating the radial velocity
The recess flow continuity equation for an orifice z h0 2S

³ ³u
compensated bearing including the effect of fluid Qr 0 r dT dz (22)
r rI i
compressibility in the recess is expressed as z 0 0
1
G 0 1-pr  2 then
(14) pr 0  0.25s ] 2  1
wh wp Qr 0 2S h 3
(23)
Qr pr  \ r  \J r pr 0 ln ]
wW wW
where the orifice restrictor parameter, the dimensionless The static frictional torque is calculated by integrating the
recess pressure, the dimensionless flow rate, the recess shear stress for the whole bearing
frequency parameter and the recess volume compressibility r0 2S ª h wp P r : º 2
parameter are defined respectively as
MW ³ ³
ri 0 « 2r wT  h »r dT dr
¬ ¼
(24)

G0 3 2SP Cd d 0 2 U ps h03 , pr pr ps , then the non-dimensional frictional power can be described as

Qr 12P Qr pr h0 , \ 3
SV , J [ psV0 2h0 M W 1
N (25)
For small amplitude motions, the recess pressure, the SP:  r0  ri 4 4
 h
recess flow rate, and the recess film thickness are described by
pr pr 0  pr1N eiW (15) DYNAMIC CHARACTERISTICS
iW
Qr Qr 0  Qr1N e (16) The dynamic film pressure can be obtained from the
iW modified Reynolds equation (13) with the boundary conditions
hr hr 0  N e (17)
p1 pr1 at r 1 , p1 0 at r ]
where hr 0 hp h0 , Qr1 wQr wh h 1 then the perturbed film pressure is obtained as
V ª V º ln r
r  1 « pr1  i 3 ] 2  1 »
Substituting into the recess flow continuity equation and
p1 pr 1  i 2
neglecting high order terms results in two equations, therefore, 4h 3 ¬ 4h ¼ ln ]
the recess pressure for the steady state and the perturbed state
(26)
can be obtained as
Accordingly, the perturbed load capacity is evaluated as
Qr1 pr 0 O  \ 2 O i\  O  J Qr1 pr 0  r r2
pr1   (18) p1  r rdr
O 2  \ 2J 2 O 2  \ 2J 2 W1 S r12 pr1  2S ³
r r1
(27)
where
then
0.5G 0 1  pr 0 
0.5
O  Qr 0 ª p V § ] 2 1· º
W1 0.5 ] 2  1 « r1  0.25 3 ¨ ] 2  1  ¸ i»
¬ ln ] ln ] ¹ ¼
2 4 2
§G · § G · §G · h ©
pr 0 0.5 ¨ 0 ¸  0.5 ¨ 0 ¸  4 ¨ 0 ¸
Q
© r0 ¹ Q
© r0 ¹ © Qr 0 ¹ According to the linear theory, the dynamic load capacity
due to the perturbed film pressure can be described in terms of
linear stiffness and damping coefficients as
STATIC CHARACTERISTICS
W1N eiZ t  Kh0N eiZ t  iZ Dh0N eiZ t (28)
The static pressure can be obtained by solving the
simplified Reynolds equation (12) with the boundary h0 K h03 D
set K , D
conditions S ri 2 ps 12SP ri 4
p0 pr 0 at r 1 , p0 0 at r ] the dimensionless dynamic characteristics are then obtained as

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

K Re  W1  (29) frictional power.

Im W1  50
longitudinal
D  (30) 40
V 30 transverse
isotropic
20 /=0.4, ] =2,pr0=0.7
RESULTS AND DISCUSSION
Qr0 10
This study is mainly concerned on the combined effects of 5
roughness, fluid inertia and recess volume fluid compressibility
2
on the static performance and the dynamic stiffness and
1
damping characteristics of externally pressurized circular step W0 0.5
thrust bearings. The effect of surface roughness is characterized
by the roughness parameter H a , n and m . The effects of 0.1

rotational inertia and recess volume compressibility are depicted 0.0 0.2 0.4 0.6 0.8 1.0

by the speed number s 0.6 U:r0 2 / ps and the recess volume ]

Fig.3 Variation of dimensionless steady load capacity and
parameter J ps E Vr , respectively. To present the bearing
flow rate with inner radius ratio
performance characteristics, values of the static recess pressure,
the step pad radius ratio, the speed number, the squeeze
number ,and the roughness parameters are chosen as the 50
40 longitudinal
follows: pr 0 : 0.7; ] : 1.2~2.8; s : 0~1.0; J : 0.0001~0.1; V : 30
transverse
isotropic
10~1000; H a : 0~0.010; m : 0~10; n : 0~10. 20 / =0.4, ]=2,pr0=0.7

Qr0 10
STATIC PERFORMANCE 5
The variation of dimensionless steady load capacity W0 and 2
lubricant flow rate Qr 0 with inner radius ratio ] for speed 1
W0 0.5
number s 0.4 is shown in Fig.3. Since the hydrostatic
bearing system is conservative, the steady pressure distribution 0.1
and then the integrated load capacity depends on the steady 0.0 0.2 0.4 0.6 0.8 1.0
recess pressure. Under the same recess pressure pr 0 0.7 , s
surface roughness / H a 4h0 0.4 , has a negligible effect
Fig.4 Variation of dimensionless steady load capacity
on the value of W0 . However, the value of Qr 0 for transverse
and flow rate with speed number
roughness is more than for a isotropic bearing. Since the forms
of ridges and valleys running in the r direction tends to give an
60
increased flow component in the radial direction as the load is
applied. However, the situation of the longitudinal roughness is 55 isotropic
reversed. Since the form of ridges and valleys in the T
longotudimal
50 transverse
direction tends to suppress flow in the radial direction, the / 
45
bearing flow is thus reduced. N
The variation of dimensionless steady load capacity W0 40

and lubricant flow rate Qr 0 with speed number s for a bearing 35

pad size ] 2 is shown in Fig.4. The influence of surface 30

roughness / 0.4 remains negligible to the value of W0 , 25

even for higher value of s . But the presence of surface 20

0.5 1.0 1.5 2.0 2.5
roughness provides an apparent effect on the value of Qr 0 ,
W0
especially for the high speed condition.
The variation of dimensionless frictional power N with Fig.5 Variation of dimensionless fiction power with load
load capacity W0 for various roughness patterns is shown in capacity for various roughness pattern
Fig.5. It is apparent that a longitudinal roughness pattern
generates a higher frictional power than surface roughness with
DYNAMIC PERFORMANCE
an isotropic or transverse pattern for the same load capacity.
Since the pressure flow of the longitudinal surface is greater The variation of dimensionless dynamic stiffness
than the isotropic or transverse surface, and hence causes a coefficient K and damping coefficient D with inner radius ratio
reduction in the film thickness and thus a large increase in ] for speed number s 0.4 is shown in Fig.6. It is assumed

200
 Analysis of the Combined Effect of the Surface Roughness and Inertia on the Performance of High-Speed Hydrostatic Thrust Bearing

that undergoing a small oscillation with a squeeze number CONCLUSIONS

V 1000 and considering the recess volume fluid The combined effects of surface roughness, fluid inertia and
compressibility J 0.001 , the value of K and D decreases recess volume fluid compressibility on the static and dynamic
characteristics of a hydrostatic circular step thrust bearing are
with the presence of longitudinal roughness. As observed in
developed by analytical analysis and numerical simulation.
Fig.3. , the bearing with longitudinal roughness pattern needs Some conclusions are obtained as below.
more lubricant flow rate than the other two patterns to support 1. Bearing surfaces with longitudinal or transverse
the load. Accordingly, it can be expected that the restoring roughness show a negligible influence on the load capacity
perturbed load capacity and the dynamic stiffness and damping under low speed condition, but provide a significant effect on
coefficients are reduced. However, a reverse tendency for the the lubricant flow rate and the dynamic stiffness and damping
pattern of transverse roughness is presented. The values of coefficients under high speed condition, especially for those
K and D are enhanced by the transverse roughness. The with small film thickness.
influence of surface roughness on the dynamic coefficients 2. The transverse roughness pattern reduces the required
increases with the increasing of inner radius ratio ] , which is lubricant flow rate and increases the value of dynamic
coefficients, however, this trends are reversed for the
proportional to the frictional area. The variations of longitudinal roughness pattern.
dimensionless dynamic coefficients K and D with speed 3. For a fixed inner radius ratio, the longitudinal roughness
number s for a bearing pad size ] 2 are shown in Fig.7. pattern generates a higher frictional power than surface
roughness with isotropic or transverse pattern for the same
Roughness effect on the damping coefficient D remains even
load capacity, and the effect of roughness upon the dynamic
with the increasing values of s , however, roughness effect on
stiffness property is more pronounced with lower values of
the stiffness coefficient K is reduced as the value of s is number.
increased. Extended analysis of the effect of the squeeze 4. The present study shows that the surface roughness
number V and recess volume parameter J on the dynamic effect on the performance of the hydrostatic thrust bearings
coefficients may be carried out for another investigation. should be considered in engineering design, especially for
high-speed spindles.
45
transverse ACKNOWLEDGEMENTS
40
longitidunal
35 isotropic This project is supported by National Hi-tech Research and
30 pr0=0.7,s=0.4,/  Development Program of China (863 Program,
K V J  No.2008AA04Z116) and Hunan Province Natural Science
25
Fund.
20
D 15 REFERENCES
10
[1] Fuller D.D., 1956, “Theory and practice of lubrication for
5 engineers,” New York: John Wiley and Sons.
0 [2] Dowson D., 1961, “Inertia effects in hydrostatic thrust
-5 bearings,” ASME: J.Basic. Eng., Vol. 83, pp. 227-34.
1.0 1.5 2.0 2.5 3.0 [3] Brown G.M., 1961, “The dynamic characteristics of a
] hydrostatic thrust bearing,” Int. J. Mach. Tool. Des Res., No.
Fig.6 Variation of dimensionless dynamic stiffness 1, pp. 157-71.
coefficient and damping coefficient with inner radius ratio [4] Licht L, Cooley J.W., 1964, “Dynamics of
externally-pressurized sliders with incompressible and
compressible films,” ASME: J. Basic Eng., Vol. 86, pp.
40 transverse 96-104.
longitudinal [5] Ghosh M.K., Majumdar B.C., 1982, “Dynamic stiffness and
isotropic damping characteristics compensated hydrostatic thrust
30 pr0=0.7, ] / 
bearings,” ASME: J. Lubr. Technol., Vol. 104, pp. 491-6.
V J 
K [6] H.Christensen, 1969-1970, “Stochastic models for
20 hydrodynamic lubrication of rough surfaces,” Proc. Inst.
Mech. Eng. Tribology Group, Vol. 184(part 1, 55), pp. 1103.
[7] H. Christensen and K. Tonder, 1971, “The hydrodynamic
D 10
lubrication of rough bearing surfaces of finite width,”
ASME: J. Lubr. Technol., Vol. 93, No. 3, pp. 324-330.
0 [8] N. Patir and H.S. Cheng, 1979, “Application of average
flow model to lubrication between rough sliding surfaces,”
0.0 0.2 0.4 0.6 0.8 1.0 ASME: J. Lubr. Technol., Vol. 101, pp. 220-230.
s [9] Tsann-Rong Lin., 1994, “Steady state performance of finite
Fig.7 Variation of dimensionless dynamic stiffness hydrodynamic journal bearing with three-dimensional
coefficient and damping coefficient with speed number irregurities,” Wear, Vol. 176, pp. 95-102.

201
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Study on the Efficiency of the New-Style Reducer with the Green Lubricant

Hu Junhong1*, Jin Yingli1, Guo dan2, Ding Jinyuan3, He Weidong4

1
Shenyang University of Technology, Shenyang China ,110178
2
Tsinghua University, Beijing China, 100084
3
Northeast University, Shenyang China, 110004
4
DaLian JiaoTong University, Dalian, Liaoning, 116028

ABSTRACT Tab.1 the property value of base oil

In this paper, we confect the green lubricant for a novel
reducer. The basic oils are the pentaerythritol oil and the Viscosity Solidifying
mixed oil of the rapeseed oil and the pentaerythritol oil. The Flash point
additive is UT343 which is a kind of composite additive. In Name (mm/s2) point
the new-style reducer (double rank four ring-plates cycloid (opened)ć
ć
drive) rig, we study the transmitting efficiency and the 40ć 100ć
temperature of its running. And the lubricants are the
pentaeruthritol with 2%UT343 and the mixed oil with GHJ68 68 270 -25
2%UT343. These two lubricants accord with the rule of greed
lubricant. The results show that, compared with the GHJ100 100 270 -25
mineral-based oil, the efficiency is enhanced and the oil
temperature is reduced apparently. This proves that the N68 61 180 -8
lubricant can replace the mineral oil in the reducer. The
N100 100 200 -8
transmitting power can be raised clearly. And then, with the
SEM and the SEDS photos, the principle of increased
RO 129.8 186(Smoke) -7
efficiency is discussed. The element phosphorus acts as
lubricating role in the lubricating condition and formed a
strong lubricant film. The wearing loss is lower. And this
increment was changed to effective power. So the efficiency is
enhanced.
Keywords: Green Lubricant, Transmitting Efficiency, Oil
Temperature, Reducer

INTRODUCTION
The double crank four ring-plates cycloidal reducer
belongs to the pin-plate drive. It combines a parallel four-bar 1.Load Generator; 2.Reducer; 3.Torque Senser; 4. double rank
mechanism with a pin-cycloid planetary drive. Compared with four-plates cycloid drive; 5,6. Torque Senser; 7,8. Electrical
the traditional pin-cycloid planetary drive, it has the motor
advantages of the small volume, the high transmitting Fig.1 The function-testing system of double rank four-plates
efficiency, more heavy loading capacity and etc. [1] cycloid drive driven by double motors
In running, under lubricant of the mineral-based oil, the
working temperature is higher. This make the working time THE TEST PROCCESS
short. And the lubricant condition becomes worse with the
At first, We select the pentaerythritol GHJ100, RO, and the
time longer.
mixed oil of 20% GHJ100 and 80% rapeseed oil as base oil. On
In order to overcome this defect, we confect the special
the four-ball machine, we check the properties of the base oils.
lubricant for it. The basic oil is green oils[4]. The first is the
And then, with the 2% package, we test the characteristics of
pentaerythritol oil and the second the mixed oil of the
the lubricants. The running parameters of the machine are
rapeseed oil and the pentaerythritol oil. The additive is UT343.
shown in Tab 2.
In the base oil of the pentaerythritol GHJ100, GHJ68, mixed
The second, we do SEM and SEDS analysis.
base oil of 20%GHJ100 and 80%RO(Rapeseed Oil), and the
At the end, we do the running test on the rig of the double
mineral oil N100, N68, we confect the lubricants with the
crank four plate cycloid drive. The rig construction are shown
same additive content of UT343 2%. The properties of the
in Fig. 1. The ratio of the drive is 35. The power of the electrical
base oil are shown in table 1.
motor is 22kW.
In the testing rig, we do the comparing test. The result
The Testing Results
proves that the properties of the green lubricants take
Tab 3 is the results of the four ball machine without the
advantages of the mineral oil in transmitting power. The rig
package.
layerout is showm in Fig.1.
Tab 4 is the results of the four ball machine with the
additive of 2%UT343
* E-mail: hujunh@tom.com.

202
 Study on the Efficiency of the New-Style Reducer with the Green Lubricant

Tab. 2 the running parameters Tab. 4 the results with 2%UT343

Machine speed(r/min) 1450 Lubricant WSD PB PD
WSD(s) 30 (mm) (N) (N)
PB(min) 10 GHJ100 0.33 1167 2450
PD(s) 10 RO(2%P120) 0.46 1249 4900
Tab. 3 the results of the base oil Mixed oil 0.35 1363 3089

Lubricant WSD PB PD From Fig.2, we can find that there are polymers in the
lubricating films which the lubricants has RO contents. The
(mm) (N) (N) scars show smooth and compact. The furrows are flat. These
GHJ100 0.78 637 1569 prove that the lubricating film has better loading property.
Fig.3 is the SEDS photo of the lubricant of GHJ100 added
RO 0.80 588 784 2%UT343. Fig.4 is the RO added 2%P120. Fig.5 is the mixed oil
added 2%UT343. From these pictures, we can confirm that the
Mixed oil 0.66 637 1569
films all contain phosphorus element. The forer study has
From Tab.3 and Tab. 4, we can confirm that the lubricant proved that the additives of the phosphorus family have good
of RO has the best receptivity to UT343. The mixed oil has the antiwear properties[2,4]. From these tests above, the UT343
higher PB and PD values than the base oils. The WSDs are all belonging to P family additives has the same EP characteristic as
smaller than the base oils. the additives of the sulfur family.
Fig.2 is the result of SEM.

a.GHJ100 b.GHJ100+2%UT343

c.RO d.RO+2%P120

e.20%GHJ100+80%RO f. (20%GHJ100+80RO) 2% UT343

Fig.2 The SEM images(X600)

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Base on the tests of the aboves, we select the N100, N68,
GHJ100, GHJ68 and mixed oil to do comparative tests in the
double crank four plate cycloid drive on the rig.
Fig.6 is the result under the condition of the constant speed
and the variant load. From the picture, the efficencies of the
green lubricants GHJ100, GHJ68, the mixed oil of GHJ100 and
RO are higher than that of the mineral oils N100 and N68. And
with the increase of the load, the efficency is enhanced. The
maximal value is 96.53% of GHJ68 at full load point.
Fig.7 is the result under the condition of the full load and the
variant speed. The efficencies of the three green lubricants are
higher than that of the two mineral oil. And with the speed
increase, the efficency is enhanced. The maximal value is
96.53% of GHJ68 at full speed point.
Fig.8 is the result of the oil temperature curves. We record
the data after the oil temperature up to the 40ć. At this point, the
test with N68 has run for 20min. The GHJ68 has run for two
hours. And 2:20 later, the temperatur of N68 sample has reached
96ć. The test of this sample must stop for protecting the load
generator. 7 hours later, the temperature of GHJ68 sample is
92ć. From the picture, the temperature curve with GHJ68 is
much lower than that with N68. The average difference of the
sample temperature is 10ć.

Fig.3 The results of SEDS with the lubricants of GHJ100+2% UT434

Fig.4 The results of SEDS with the lubricants of RO+2%P120

Fig.5 The results of SEDS with the lubricants of (80%RO+20%GHJ100)+2% UT343

204
 Study on the Efficiency of the New-Style Reducer with the Green Lubricant

95

Efficency /%
90

85 N 100
N 68
G H J100
G H J68
80 20% G H J100+80% R O

20 30 40 50 60 70 80 90 100

R a tio o f lo a d /%

Fig.6 Under constant speed, the relation between the transmitting efficiency and the running load

9 7
9 6
9 5
9 4
Efficency/%

9 3
9 2
9 1
N 1 0 0
9 0 N 6 8
G H J 1 0 0
8 9 G H J 6 8
2 0 % G H J 1 0 0 + 8 0 % R O
8 8
4 0 0 5 0 0 6 0 0 7 0 0 8 0 0 9 0 0 1 0 0 0
R o ta r y S p e e d /r /m in

Fig.7 Under the constant load, the relation between the transmitting efficiency and the rotating speed

100

90
Temperature/

80

70

60
N 68
50 G H J68

40

0 20 40 60 80 100 120 140 160

T im e / m in

Fig.8 The relation between the oil temperature and the running time

CONCLUSION REFERENCES
From these result, we can educe the following conclusion: [1] Li L X, He W D. Study on double crank ring-plate-type
1.The green lubricant can replace the mineral oil in this cycloid dive, Tenth World Cogress on the Theory of
reducer. Machines and Mechanism[C]. Oulu, 1999. 20~24
2.The green lubricant has lower temperature than the [2] Ma Zh ibao,Ma J iangbo. Influence of Sulfur and
mineral oil. Phosphorus Type Additives on Biodegradation of Rapeseed
3.The green lubricant can enhance the transmiting efficency Oil, Lubrication Engneering. July 2005:54~55
of the reducer. Because the oil film creates the better [3] Stringfellow W D ˈ Jacobs N L ˈ Hendriks R
lubricating condition. The friction loss becomes low. And this VˊEnvironmentally acceptable specialty lubriacantsˉAn
losing part is changed to the effective power. So the efficiency interpretation of the environmentally regulations of North
is enhanced. Sea(World)[J].NLGI,Spokesman,1993,57(9)˖14~19
4.The UT343 exhibit both the antiwear property and EP [4] Ma Jiangbo, Study on lubricating behavior of the
property in the green lubricants. This P family additive can biodegradable base oil with additive[M], 2004.1
replace S family additive in EP characteristic.

205
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Pressure Dependence of the Limiting Shear Stress Coefficient of Liquid Lubricants

*
G. T. Y. Wan1 , P. L. Wong2,
1
Engineering Knowledge Centre & Group Project Development, SKF China Ltd.
(Unit 2, 1017, Bright China Chang An Building, 7 Jian Guo Men Nei Avenue, Beijing 100005, China)
2
Department of Manufacturing Engineering and Engineering Management, City University of Hong Kong
(Tat Chee Avenue, Kowloon, Hong Kong SAR, China)

ABSTRACT
This paper presents a single empirical model that correlates
reasonably well with the pressure-limiting shear stress
coefficients of different types of lubricants measured by
different techniques. The model consists of three lubricant
parameters – atmospheric viscosity, density and a viscosity
temperature property (ASTM slope). These parameters are
readily available or can easily be measured by conventional
techniques.
Keywords: Pressure-limiting shear stress coefficient,
high pressure rheology.
INTRODUCTION
Elastohydrodynamic lubrication (EHL) research started in
the early 1950s following proof of a thin lubricating film (< 1
Pm) generated between non-conformal contacts. Efforts were
shown in a photo taken by Bair and Winer [6]. Recent EHL
studies [7-9] reveal that conventional EHL theory cannot
describe the EHL film profile under certain conditions such as
pure and opposite sliding. Optical EHL measurements indicate
that the film profile can deviate drastically from the
conventional EHL horse-shoe shape [7]. Thermal effects [8]
have been proposed to account for the deviation in EHL film
profiles. A recent study by Guo and Wong [9] demonstrated that
the anomalous EHL film profile that is shown in Fig.1 was due
to the limiting shear stress effect of the lubricant. The
breakdown (or collapse) of a lubricating film because of the
limiting shear stress effect has been numerically established by
Shieh and Hamrock [10] and Zhang and Wen [11].
2.0
Pure sliding
1.6
Pure rolliing
Film thickness h , P m

made to map typical EHL contacts, which were largely 1.2

accomplished through optical EHL interferometry and
numerical simulation of the contact profiles. Simple models of 0.8
viscosity and density at high pressures were adopted for ease of
numerical analysis. These models were found to be sufficiently 0.4 Inlet
accurate for the prediction of EHL film thickness, but inaccurate h min1 h dim. Outlet
h min2
for the determination of tractive forces under EHL conditions 0.0
because EHL film thickness is governed mainly by the -300 -200 -100 0 100 200
Entrainment direction x, P m
relatively low pressure at the inlet, whereas traction properties
are determined by the rheology of lubricants at the highly
pressurized central region. Hence, a significant number of Fig. 1 Comparison of an anomalous EHL film profile with the
experimental studies of the high pressure rheology of lubricants classical EHL film shape (reproduced from [9])
have been carried out since the late 1970s. Different approaches
have been adopted by researchers, which can be categorized as
conventional or innovative. Researchers taking the former
approach include Bair and Winer [1] and Hoglund and Jacobsen W
[2], who devised high pressure chambers to facilitate high W=WL (h=h’)
z
pressure rheological measurement. However, such equipment to
measure the data of test lubricants is complicated to build, and z=0 x
costly. Hence, Evans and Johnson [3], Wong et al. [4] and
Hoglund [5] considered the EHL conjunction, which naturally
constructs the high pressures required for the study of lubricants.
Based on experimental data, a simple Newtonian rheological -W
model was modified, and the resulting different forms are
collectively referred to as non-Newtonian models. One of the
most significant findings of studies of high pressure rheology is
the existence of the limiting shear strength of a highly Fig. 2 Shear stress variation across the film
pressurized lubricating film, which explains why the actual
EHL tractive force is always less than the value predicted using Consideration of the force equilibrium of a fluid element at
the Newtonian model. an arbitrary position z under pure rolling conditions gives a
linear variation of shear stress across the lubricating film, as
The limiting shear strength of different oil compositions shown in Fig. 2, which can be expressed as
with different physical properties has been measured by Bair dp
and Winer [1], Hoglund and Jacobsen [2] and Hoglund [5]. τ=z (1)
dx
When the limiting shear strength of a lubricating film is reached,
not only does this hinder a further increase in the tractive force, where dp / dx is the pressure gradient along the entraining
but it also leads to the failure of the lubricating effect. The direction. The flow pattern is symmetrical about the central
fracture of a pressurized lubricating film (or shear band) was horizontal axis, where z is zero. If the limiting value of shear

206
 Pressure Dependence of the Limiting Shear Stress Coefficient of Liquid Lubricants

stress is acquired at h’, then plug flow with slippage occurs at or termed the critical shear rate. It is assumed that the critical
near the interface of the lubricant and solid surface. To maintain shear rate is also a linear function of pressure in the high
a quasi-equilibrium condition, the film thickness has to be pressure range as follows:
reduced, as illustrated in Eq. 1. A conventional EHL film gives a
parallel film thickness with a constriction at the exit. The
J L J Lo  Ep (3)
pressure and pressure gradient vary along the entraining According to the Barus viscosity model [15], the
direction. The shear stress at the wall surface depends on the viscosity-pressure coefficient can be expressed as
pressure gradient, as indicated by Eq. 1, whilst the limiting
1 wK
shear stress is a function of pressure. Under certain D (4)
circumstances, the theoretical shear stress at the surface may K wp
exceed the pressure-dependent limiting shear stress of the W
lubricant in the EHL contact and thus a local reduction in film
thickness occurs. An anomalous EHL film such as that shown in
Fig. 1 is attributed to this mechanism. Hence, knowledge of the
limiting shear strength of lubricants is highly beneficial for the WL2 p2>p1
prevention of lubrication failure and to an understanding of
non-conventional EHL film profiles. WL1 p1>p
Bair and Winer [1] and Hoglund and Jacobson [2] measured
the limiting shear stress of different lubricants at different EHL WLo po
pressure ranges using self-developed high pressure chambers.
Because of the difficulties in building and operating these high
pressure devices, Jacobson [12] developed a dropping ball
apparatus to examine EHL contact between a metallic ball and J
plane surface for high pressure studies. Later, Hoglund [5] J Lo
measured the pressure-limiting shear stress coefficient of many
different types of oils using this impact ball apparatus. The Fig. 3 Typical relation of the shear stress and
experimental results of different investigators find that the strain rate of a lubricant
limiting shear stress varies linearly with the EHL pressure level,
which can be expressed as By definition, viscosity is the ratio of shear stress to strain rate:
WL W Lo  Jp W
(2) K (5)
The pressure-limiting shear stress coefficient J is a property of J
the lubricant. WLo is the limiting shear stress of the lubricant at
atmospheric pressure and has been found to be approximately Substituting Eq. 5 into Eq. 4 gives
1-5 MPa by Jacobson [12]. Therefore, the limiting shear stress
of a lubricant at any pressure can be calculated by Eq. 2 once its §W· w §W·
D¨¨ ¸¸ ¨ ¸ (6)
J is known. © J ¹ wp ¨© J ¸¹
In the 1970s, many application-oriented studies were
Considering the limiting shear stress and the critical shear rate,
carried out to establish empirical models for the
and from Eq. 2 and 3, Eq. 6 can be written as
pressure-viscosity coefficient of lubricants D, which is a
significant parameter for the determination of EHL film §W · J L ( J )  W L (E)
thickness. Having described the significance of several fluid D¨¨ L ¸¸ (7)
properties in molecular movement, So and Klaus [13] © J L ¹ J 2L
introduced an empirical correlation that makes use of
atmospheric viscosity, density and a viscosity-temperature Simplifying Eq. 7 gives
property (similar to the ASTM slope [14]) of fluids, and §W ·
demonstrated that the correlation can predict the J DW L  ¨¨ L ¸¸E (8)
pressure-viscosity coefficient of mineral oils, resin, polymer © J L ¹
blends and hydrocarbons with reasonable accuracy. The
limiting shear strength and J of lubricants are also related to the Putting p = 0, Eq. 8 can be expressed as
interaction among molecules. Thus, it is reasonable to expect
§W ·
that an empirical model for the pressure-limiting shear stress
J DW Lo  ¨¨ Lo ¸¸E (9)
© J Lo
coefficient of oils can be established in a similar manner.
¹
FROM D TO J Thus it is shown that the pressure-limiting shear stress
A typical shear stress-strain rate curve for a fluid is coefficient J is largely proportional to the pressure-viscosity
schematically shown in Fig. 3. Before reaching the limiting coefficient D. Typical values of D and WLo are 2 x 10-8 Pa-1 and 2
MPa, respectively. Their product is 0.04, which falls into the
value, the fluid is Newtonian. Even though a smooth curve of
range of J, which is from 0.02 to 0.1.
asymptotic type is preferred for numerical calculation, a simple
curve with an abrupt turning point is good enough for
illustrative purposes. The experimental results obtained at EHL EMPIRICAL MODEL OF J AND CORRELATION WITH
EXPERIMENTAL DATA
pressure levels [1, 2] prove that the limiting shear stress is
directly proportional to pressure, as expressed in Eq. 2. The From Eq. 9, it is known that to establish a model of J, we
shear rate at which the fluid acquires limiting shear stress is can refer to the correlation of D. So and Klaus [13] proposed an

207
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
empirical model of D that relies on atmospheric viscosity,
density and a viscosity-temperature property. They correlated
the model with the experimental data of different types of fluids
that have been obtained by various investigators. Fitting to a
large group of oils, the model demonstrated an accuracy of
approximately r20.0%. A similar approach is adopted here to fit
the J value of a set of 23 fluids measured by Hoglund [5] using
an impact ball apparatus. Information of the specimen oils and
some of their properties is given in Table 1. The measured J
values are also listed. From the two given viscosities at 40oC
and 100oC, the ASTM slopes were calculated using the
following equation:
ª log(K1  0.7) º
log « » 4
ASTM slope ¬ log(K 2  0.7) ¼ (10)
§T ·
log¨¨ 2 ¸¸
© T1 ¹
All experiments were performed at room temperature, and the
measured J values were specified for 20oC. The viscosities of
the oils at 20oC were inferred from the ASME slope. The
measured J values and relevant fluid properties were
nonlinearly regressed, and an empirical correlation was
obtained as follows:
J 5.0662  8.8630(log K o ) 0.07662
(11)
 0.0312( ASTM slope) 3.3611 (log K o )  0.6271
 0.1189(log K o ) 5.4743 U  23.5841
where J = the pressure-limiting shear stress coefficient, x10-2
Pa-1, Ko = kinematic viscosity in cS at the temperature of interest
and U = atmospheric density in g/mL at the temperature
of interest.
The predicted J that were calculated using the model in Eq.
11 and their corresponding experimental measured values are
listed in Table 2. The deviation from the experimental data is
about r10%. One could argue that the high accuracy of the
prediction is due merely to the effect of curve fitting based on
the same set of data. The model in Eq. 11 was thus used to
calculate J for another set of data measured using different
experimental techniques taken by independent researchers –
Workel et al. [16] and Hoglund and Jacobsen [2]. Workel et al.
[16] designed the ball impact experiments and obtained the high
pressure rheological properties including the limiting shear stress
of a comprehensive set of lubricants. Their measured data are
tabulated in Table 2. Hoglund and Jocabson [2] obtained the
shear strength of different lubricants using a tiny amount of test
oil pressurized by a hydraulic jack. The loading and shearing
duration of this type of tests are much longer than those of the
impact ball test. The initial calculated J values for all tested
lubricants were higher compared those of [5], which could be
attributed to the difference between the two techniques. In
addition, the measured J data, as reported, were determined at
40oC, but densities at 15oC were provided and used in the
calculation for J at 40oC. To absorb the system deviation and
difference in density data used, a constant of 0.75 was adopted
as a conversion factor for values calculated using Eq. 11. The
experimental and calculated J are tabulated in Table 2, and the
two sets of data are plotted in Fig. 4. Good correlation of the
calculated and experimental J is demonstrated for most of the
oils reported, except for the traction fluid and polyglycol oils.
The deviation from the proposed model for traction fluid and
208
polyglycol oils could be attributed to the differences in the
molecular nature of the oils compared to mineral oils, esters and
polyalphaolefines, which show excellent correlation for both
sets of experimental data.
8
Hoglund 1989
Worket et al. 2003
7
Hoglund & Jacobsen 1986
Reference
Calculated  (x10-2)
6
5
3
2
2 3 4 5 6 7 8
Experimental  (x10-2)
Fig. 4 Comparison of calculated and experimental 
CONCLUSION
An empirical model of the pressure-limiting shear stress
coefficient of lubricants is established. The model is based on
lubricant parameters, including atmospheric viscosity, density
and ASME slope, which are readily available or can be
measured by conventional techniques. Comparison with
experimental measurements proves that the model is valid for
mineral oils, synthetic ester oils and polyalphaolefines. The
model provides an easy means to estimate the pressure-limiting
shear stress coefficient, that is, the limiting shear stress, with
reasonable accuracy.
REFERENCES
[1] Bair, S. and Winer, W.O., 1979, “Shear strength
measurements of lubricants at high pressure”, ASME J. of
Lub. Tech., 101, pp.251-257.
[2] Hoglund, E. and Jacobsen, B., 1986, “Experimental
investigation of the shear strength of lubricants subjected to
high pressure and temperature”, ASME J. of Tribo., 108,
pp.571-578.
[3] Evans, C. R. and Johnson, K.L., 1986, “The rheological
properties of elastohydrodynamic lubricants”, Proc. I.
Mech. E., 200, c5, pp.301-309.
[4] Wong, P.L., Lingard, S. and Cameron, A., 1992, “The high
pressure impact microviscometer”, STLE Tribo. Trans., 35
pp.500-508.
[5] Hoglund, E., 1989, “The relationship between lubricant
shear strength and chemical composition of the base oil”,
Wear, 130, pp.213-224.
[6] Bair, S. and Winer, W.O., 1992, “The high pressure high
shear stress rheology of liquid lubricants”, ASME J. of
Tribo., 114, pp.1-13.
[7] Kaneta, M., Nishikawa, H., Kanada, T. and Matsuda, K.,
1996, “Abnormal phenomena appearing in EHL contacts”,
ASME J. of Tribo., 118, pp.886-892.
[8] Guo, F., Yang, P. and Qu, S., 2001 “On the theory of thermal
elastohydrodynamic lubrication at high slide-roll ratios –
circular glass-steel contact solution at opposite sliding”,
ASME J. of Tribo., 123, pp.816-823.
[9] Guo, F. and Wong, P.L., 2005, “An anomalous
elastohydrodynamic lubrication film – inlet dimple”, ASME J.
 Pressure Dependence of the Limiting Shear Stress Coefficient of Liquid Lubricants

of Tribo., 127, 2, pp.425-434. correlation of liquids”, ASLE Trans., 23, 4, pp.409-421.

[10] Shieh, J.A. and Hamrock, B.J., 1990, “Film collapse in
EHL and micro-EHL”, ASME J. of Tribo., 112,
pp.486-496.
[11] Zhang, Y. and Wen, S., 2002, “An analysis of
elastohydrodynamic lubrication with limiting stress: part I
– theory and solutions”, STLE Tribo. Trans., 45,
pp.135-144.
[12] Jacobson, B., 1985, “A high pressure-short time shear
strength analyser for lubricants”, ASME J. of Tribo., 107,
pp.220-223.
[13] So, B.Y.C. and Klaus, E.E., 1979, “Viscosity-pressure
[14] “Viscosity-temperature charts for liquid petroleum
products”, STM Standard D341-93, 1993.
[15] Barus, C., 1893, “Isothermals, isopiestics and isometrics
relative to viscosity”, American Journal of Science, 45,
87.
[16] Workel, M.F., Dowson, D., Ehret, P. and Taylor, C.M.,
2003, “Measurement of the coefficients of friction of
different lubricants during impact under high pressure and
shear”, Proc. I. Mech. E. J. Engg. Tribo., 217, 2
pp.115-124.

Table 1 Properties of specimen oils (quoted from [5]) and comparison of experimental and predicted 

Oil type Viscosity, Ø (cS) Density  (×10-2) ASTM Ø*  (×10-2) %

slope @20oC from devia-
40oC 100oC (g/mL) @20oC (cS) model tion
1 Poly-alpha-olefine 28.2 5.5 0.8258 4.34 3.509 68.8 4.45 2.6
2 Poly-alpha-olefine 17.8 3.9 0.8208 4.39 3.671 40.5 4.38 -0.2
3 Poly-alpha-olefine 425.2 41.0 0.8196 3.28 2.761 1428.6 3.49 6.3
4 Poly-alpha-olefine 1170.7 100.1 0.8520 3.15 2.431 4008.8 3.24 2.9
5
Triisotridecyladipate ester 26.0 5.2 0.9138 5.41 3.526 62.5 4.86 -10.1
6 Polyolic ester 22.6 4.8 0.9915 4.59 3.504 52.2 4.93 7.5
7 Diester 14.8 3.8 0.9064 4.52 3.456 30.6 4.97 9.9
8
Naphthenic/solvent refined 100.8 8.6 0.9119 4.97 4.153 435.4 5.19 4.5
9 Naphthenic/solvent refined
24.7 4.0 0.8951 6.10 4.244 71.6 6.06 -0.7
10 Naphthenic/solvent refined
7.6 2.0 0.8772 6.28 4.229 15.7 6.25 -0.5
11
Paraffinic/solvent refined 464.4 30.4 0.9003 3.74 3.310 2084.9 3.84 2.6
12 Paraffinic/solvent 89.8 10.3 0.8843 4.62 3.596 302.0 4.49 -2.8
13 Paraffinic/solvent 30.3 5.2 0.8708 5.32 3.752 80.7 5.05 -5.0
14 Paraffinic/hydrocracked 24.4 5.1 0.8410 4.60 3.473 56.9 4.54 -1.3
15 PAO with polyolic ester 162.7 20.9 0.8543 3.75 2.885 475.4 3.72 -0.7
16 no.15 - 1% antioxidant 161.5 20.8 0.8566 3.72 2.885 471.2 3.73 0.2
17 no.15 - 0.5% antiwear 40oC 100oC (g/mL) @20oC 2.887 468.0 3.73 0.2
18 no.15 - 0.5% antiwear 28.2 5.5 0.8258 4.34 2.893 476.6 3.73 -5.8
19 no.15 - 0.1% corrosion
inhibitor 17.8 3.9 0.8208 4.39 2.873 471.3 3.72 0.2
20 no.15 - 0.1% passivator 425.2 41.0 0.8196 3.28 2.879 471.0 3.72 -1.3
21 PAO with diff. additives 1170.7 100.1 0.8520 3.15 2.911 402.1 3.76 -0.5
22 PAO with seal-swell and
borate additives 26.0 5.2 0.9138 5.41 2.930 426.2 3.78 -2.6
23 PAO with polyolic ester
borate antiwear 2.915 455.9 3.76 -1.0
and anticorrosion additives 22.6 4.8 0.9915 4.59

*Calculated from the ASTM slope

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Table 2 Comparison of the calculated J and experimental data from [2]

Ref. Viscosity (cS) Density J (×10-2)

Oil type (g/mL) ASTM slope @40oC % deviation
40oC 100oC @15oC from refs. model
[16] PAO-6 30.44 5.78 0.8112 3.477 4.4 4.26 3.1
[16] HVI 60 27 4.86 0.87 3.767 4.8 5.09 -6.0
[16] HVI 115 66.17 8.59 0.88 3.616 3.7 4.58 -23.8
[16] HVI 650 482.61 31.63 0.91 3.282 5.6 3.80 32.2
[16] MVIN 40 8.23 2.17 0.873 4.167 5.4 6.11 -13.1
[16] Santotrac 40 20.34 3.7 0.886 4.11 5.4 5.85 -8.3
[16] Santotrac 50 30.31 5.52 0.889 3.596 4.4 4.83 -9.9
[2] Mineral oil/paraffinic 68.0 8.5 0.890 3.678 3.40* 3.80 10.9
*
[2] Mineral oil/paraffinic 460.0 32.0 0.910 3.219 3.60 3.13 -16.5
[2] Mineral oil/paraffinic 119.0 13.7 0.892 3.333 3.00* 3.37 10.3
[2] Synthetic oil/polyglycol 468.0 79.5 1.048 1.929 5.5* 2.48 -54.9
*
[2] Synthetic oil/polyglycol 130.0 24.0 1.020 2.386 7.6 2.75 -63.8
[2] Synthetic oil/PAO+polyolic ester 143.0 18.7 0.864 2.942 4.0* 2.97 -25.8
[2] Synthetic oil/PAO+polyolic ester 68.0 11.0 0.851 3.091 2.90* 2.86 7.3
*
[2] Synthetic oil/PAO+polyolic ester 220.0 26.0 0.863 2.831 3.00 2.81 -4.9
*
Data from [2] adjusted by a constant factor of 0.75

210
 A Method of Dual Number for the Aerodynamic Property Analysis of Gas-Lubricated Mechanism˖Self-Pressurizing Thrust
Bearings and Non-Contacting Face Seals (Partĉ˖Analytical Methods)

A Method of Dual Number for the Aerodynamic Property Analysis of Gas-Lubricated Mechanism˖
Self-Pressurizing Thrust Bearings and Non-Contacting Face Seals
(Partĉ˖Analytical Methods)
*
Wanfu Xu1 , Bin Geng2, Chunjing Shi1,
1
Shenyang Ligong University, No6, Nanping Ro Shenyang 110168, PR China
Shenyang V/ndaf Industries Ltd, No17, Nanta Str Shenyang 110016, PRChina
2

ABSTRACT
For analyses on small perturbation approximation of
dynamic stability parameters of the mechanism for
aerodynamic lubrication such as gas thrust bearings and gas
non-contacting face seals, a dual number which perturbed
displacement and pressure are defined is put forward. Thus the
always thought that the stiffness and damping coefficients are
related to the self-excited whirl frequency on the bearings or
seals, viz. they must be solved with their system motion
equations in course of analyzing them using the small
perturbation approximation>7-10@.
A special number was put forward by Clifford
deduced perturbed Reynolds equations of the gas-lubricated WK1845-1879, an English mathematician, in 1873 and
thrust bearings or non-contacting face seals are independent of was named as ĀDual Numberā by Study E, an Germany
the perturbed frequencyvizWKHself-excited whirl frequency mathematician, 30 years later. In 1947, it was first used to
for the bearings or seals, namely solving the perturbed
Reynolds equations don’t require the simultaneous motion
equations of the bearing’s or seal’s system while the complex
number does. This sharply simplifies the process of
value-solving of the dynamic parameters. By means of the
dual number of perturbed restoring force and restoring
moment for gas film, stiffness and damping coefficients for
aerodynamic lubricated thrust bearings or non-contacting seals
are deduced in order to specify the dynamic stability of them.
For analyses on the small perturbation approximation of the
dynamic stability parameters for the gas-lubricated bearings or
non-contacting seal by the complex number in vogue, its
problems related to perturbed frequency are discussed. By
,)of dynamic gas
means of numerical value analysis, the truncation error theory
brought forward should neglect the high-order infinitesimal of
the perturbed frequency, thus the conclusion on the perturbed
Reynolds equations in accord with those by the dual number is
obtained, namely both are independent of the system motion
equations of the bearings or non-contacting seals, or of the
whirl frequency of instability.
Keywords: Gas film Dynamic Property, Gas Bearings and
Seals Stability, Dry Running Gas Seals, Stiffness and
study the place and the displacement of mechanism by a
RUSS scientist of mechanical>11@. After this, it was widely
used as the effective mathematic tool to analyze the motion
and motivity in the field of mechanism because its application
is simple. The dominances of the dual number are that its
symbolic meaning is specific and its mathematic express is
simple. Then whether can these advantages be exerted on
study of the hydrodynamic lubrication theory? Under the
hypothesis of the small perturbation approximation, the dual
number is used to obtain the perturbed Reynolds equations
which are independent of the perturbed frequency, viz. the
motion equation of the system, and conveniently solved the
perturbed pressures wp and wp (m=z,
wm wm
film in the bearings and seals, according to this, the stiffness
and damping coefficients used to determine the bearing’s or
seal’s dynamic running stability were calculated.
GAS FILM LINEAR PERTURBED REYNOLDS
EQUATIONS
The compressible dynamic Reynolds equation for
no-dimensional cylindrical polar coordinate R,©,T in Fig. 1
Damping Coefficients, Dual Number
is given by>6@
INTRODUCTION z, z '
Hydrodynamic lubrication has good resistance to the  r © 
frication and wear. It’s applications can be abstracted as a , z
bearings model in mechanism. The hydrodynamic lubricated
seals, namely non-contacting rotating shafts seals, are one of y'
the developed branches of the bearings technology. What the
air is regarded as a very desirable lubricant which was firstly Oc


put forward by Hirn in 1854>1@, and which was conclusively
ro 
experimented by Kingsbury>2@ in the end of the century, then
it was really used after 1900s.
y
The advantages of aerodynamic lubrication are little frication x' O
the dynamic viscosity of air is only one in a thousand of
mineral oil, no-pollution, heat and cold resistant and also x ri
from ambience. Its disadvantages are low loading capacity,
especially dynamic running instability, namely, easily
bringing “half-frequency self-excited whirl”, and “gas film
Fig.1 Coordinate system of thrust bearings or face seals
resonant whip” phenomenon>3-6@. The dynamic stability of
motion
the aerodynamic lubrication depends on its stiffness and
damping of the gas film. For the gas-lubricated bearings and
w wP 2 w wP 2 wPH  w PH  (1)
seals, it is an important research that the stiffness and damping H 3  RH 3  2 > 2 @
R w
2
w RwR wR w wT
coefficients of the gas film were confirmed. Heretofore, it was

211
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Where P p h r T ¼W wP0 PB  wP0 RCos  PB H 0 

,H ,R ,  2RH 03 @ 2 >  2 J NP0 RCos  PB H 0 @
pa h0 ri wR w
(6c)
Now, expressing the no-dimensional perturbed displacement
Now the perturbed pressure is expressed again as dual number
of axial Z, angular A and B as the dual number forms (7a)
PZ PZr    Z PZd
ZT  Z 0>1 ZT @ Z 0 exp ZT  (2a)
PA P P (7b)
A(T ) A0 A0 (2b) } Ar }   N { Ad
} }>1 NT @ }exp NT  PB PBr PBd
B (T ) B0 B0
Where P  h0 p  Zh0
where z A ri
Zr zr PZd  p zd 
Z , } { pa pa
h0 B h0  h0 Zh0
PA  P¢  PA  P¢
The parameter T of the dual number expresses the B
}r p a ri £}r B
}d pa ri £
}d

characteristic of the dual number Z, A and B, viz. the property

Substituting into formula (6), also via the definition of
of the perturbed displacement, Tę>0, Ğ@. As T=0, the
Clifford factor: ę2 0 andęĮ0 Clifford WK, 1873ˈthen
perturbed displacement is degraded into the real number and is
making the real components and the dual components singly
expressed as the initial value of the perturbation movement.
equal, the actual parameter forms of the perturbed Reynolds
Then the instantaneous dynamic gas film thickness of
equations are obtained
no-dimension can be written as w P0 PZr  w P0 PZr  wP 2
w w 3 w
H R,  , T  H 0  >ZT   AT RSin  BT RCos @ >H 03 @ >RH 03 @  > 2  H 02 0 
R w
2
w RwR wR 2 R w w
H  H (3) w wP 2 w P  PZr H 0  (8a)
0
  RH 02 0 @  0
While the instantaneous dynamic gas film pressure of RwR wR w
no-dimension can be expanded as Taylor series at any w w P0 PZd  w w P0 PZd  w P H 
>H 03 @ >RH 03 @ > Zd 0
balancing point P0 R 2 w w RwR wR w
wP wP wP  2 P0  PZr H 0 @ (8b)
P R, T , T  P0 > ZT  AT  BT @
wZ 0 wA 0 wB 0 w w P0 PAr  w wP0 PAr  3 w wP 2
>H 03 @ >RH 03 @  > 2 RH 02Sin 0 
 O Z  A  B 2 # P0  > PZ Z  PA A  PB B @ R w
2
w RwR wR 2 R w w
w wP02 w P0 RSin  PAr H 0  (8c)
P0  P (4)  2 2
 R H 0 Sin @ 
RwR wR w
Substituting formula (3) and (4) into Reynolds equation (1) w w P0 PAd  w w P0 PAd  w P H 
>H 03 @ >RH 03 @ > Ad 0
and neglecting the second-order infinitesimal OHP2, R 2w w RwR wR w
the linear perturbed dynamic Reynolds equation is obtained  2P0 RSin  PAr H 0 @ (8d)
w wP 2 wP 2 w P0 P w wP 2 w wP0 PBr  w wP0 PBr  3 w wP 2
>H 03 0  3H 02 H 0  2 H 03 @ >RH 03 0 >H 03 @ >RH 03 @  > 2  RH 02 Cos 0 
R w
2
w w w RwR wR R 2 w w RwR wR 2 R w w
wP02 3 w P0 P  w P0 H  PH 0  w wP02 w P0 RCos  PBr H 0  (8e)
 3RH 0 H
2
 2 RH 0 @ 2 >   R H 0 Cos
2 2
@ 
wR wR w RwR wR w
w P0 H  PH 0  (5) w 3 w P0 PBd  w 3 w P0 PBd  w PBd H 0 
2 @ > H @  > RH @ >
wT R 2 w
0
wÙ RwR
0
wR w
Substituting formula (2) into formula (3) and (4) respectively,  2 P0 RCos  PBr H 0 @ (8f)
the desired solutions are given by
Their boundary conditions are followed as
H Z 0 exp J ZT  R A0Sin  B0 Cos exp J NT 
Pmr 0, Pmd 0 (9a)
P Z 0 PZexp J ZT  A0 PA  B0 PB exp J NT  R 1, R o R 1, R o

Pmr Pmr , Pmd Pmd (9b)

Ù Ù Ù Ù  2È Ù Ù Ù Ù  2È
Substituting them into the perturbed Reynolds equation (5), m Z, A, B
and note here The Reynolds equation at the balancing point on the steady
w P0 H  PH 0 
 J Z Z 0 P0  H 0 PZ exp J Z T  state was given by means of formula (1)
wT wP 2 wP 2 w P0 H 0 
w w (8’)
  J N> A0 P0 RSin  H 0 PA  B0 P0 RCos  H 0 PB @exp J NT   H 3 0   RH 3 0  2 
w RwR wR w
0 0
R 2 w
Then the corresponding axial and angular perturbed Reynolds The boundary condition is
equations are obtained by respectively differentiate with (9’)
respect to Z0, A0 andB0 P0 R 1,R 0, P0 Ù Ù P0 Ù Ù2È
o

w wP 2 w P0 PZ  w wP 2 w P0 PZ  For any balancing point, six perturbed pressure PZr, PZd, PAr,
>3H 02 0  2 H 03 @ >3RH 02 0  2 RH 03 @
R 2 w w w RwR wR wR PAd and PBr, PBd can be respectively obtained by formula (8a)
w P  PZ H 0  (6a) ~ (8f) and (9a), (9b), after its pressure P0 is solved by formula
2 > 0  2  J Z P0  PZ H 0 @
w (8’) and (9’).
w wP 2 w P0 PA  w wP 2
>3RH 02Sin 0  2 H 03 @ >3R 2 H 02Sin 0 THE DYNAMIC STIFFNESS AND DAMPING
R 2w w w RwR wR
3 w P0 PA  w P0 RSin  PA H 0  COEFFICIENTS OF GAS FILM
 2 RH 0 @ 2 >  2  J N P0 RSin  PA H 0 @ The perturbed dynamic restoring force and restoring
wR w
(6b) moment of non-dimension of gas film are expressed as the
w wP 2 w P0 PB  w wP 2 dual number respectively
>3RH 02 Cos 0  2 H 03 @ >3R 2 H 02 Cos 0
R w
2
w w RwR wR ϺF FZr   J Z FZd > K ZZ   J Z D ZZ @Z (10a)

212
 A Method of Dual Number for the Aerodynamic Property Analysis of Gas-Lubricated Mechanism˖Self-Pressurizing Thrust
Bearings and Non-Contacting Face Seals (Partĉ˖Analytical Methods)

K AA D number. The linear perturbed Reynolds equations of the

ϺM A M A  J NM A >^ }  J N { AA `@A
B B
}r
B
}d K BA DBA complex number see appendix A. According to the velocity
perturbed equations (A3b), (A3d) and (A3f), the complex
K AB D (10b)
>{ }  J N { AB }@B number is not different from the dual number, namely formula
K BB DBB (A3b)ˈ(A3d)ˈ (A3f) are the same as formula (8b), (8d)ˈ(8f)
Where f h0 Zh0 and formula (A4a), (A4b) are the same as formula (12b), (12d)
F ; K ZZ k zz , DZZ d zz
p a ri 2 p a ri 2 p a ri 2 respectively, after the perturbed Reynolds equations of the
m h0 Zh0 damping coefficients at direction Z, A and B are determined
M ; K AB k  , DAB d  Pi is transformed.
p a ri3 p a ri 4 p a ri 4 and P
A, B A, B; ,  , 
d
J
According to the displacement perturbed equations (A3a),
And F ³  P - P ˜ RGTGR ³ P Z ˜ RGTGR
¡
0
¡
Z (A3c) and (A3e), the second item of their right is i2. After
Z ³  P   J P  ˜ RG T G R
Zr Z Zd
(11a) transformed to the real number, the mathematic definition,
¡
Because PA, PB are dissymmetric about the origin of i= - 1 >7-10@ participates the calculation of the above
coordinate O, so equations and determines the stiffness coefficients of the
bearings and seals. In terms of the truncation error theory,
³ PA ˜ RGTGR ³ PB ˜ RGTGR 0
¡ ¡ i2 namely Oi2 is regarded as the second-order


And infinitesimal and should be neglected under the hypothesis of

6LQT 6LQT
³ P - P ˜ R^&RVT `RGTGR ³ >P A  P B@^&RVT ` ˜ R GTGR the linear perturbation. Thereby these lead to the complex
2
ϺM A 0 A B
¡ ¡
B number perturbed Reynolds equations (A3a), (A3c) and (A3e)
6LQT in accordance with the dual number (8a), (8c) and (8e).
> A³  PAr   J N PAd  B ³  PBr   J N PBd @^ ` ˜ R 2GTGR (2) the comparison with the dual number and the real number.
¡ : &RVT
Another method that obtains the perturbed Reynolds equations
(11b) is directly differentiate on the formula (1) of the dynamic
Because PZ is symmetric about the origin of coordinate O, so Reynolds equation with respect to displacement perturbation Z,
SinT 2
³¡ PZ ˜ {CosT }R GTGR 0 A, B and velocity perturbation Z , A , B >12,13@. The
resultant perturbed Reynolds equations have the same form as
Where F
0 ³
P ˜ RGTGR is the loading force of the bearings
¡
0 ones obtained by the dual number shown in appendix B,
or the opening force of the seals on the steady state. namely the stiffness and damping coefficients is irrelevant of
The dynamic stiffness and damping coefficients of gas film at the whirl frequency of the bearings or seals. According to
axial Z are obtained because the real and even part of formula formula (10) and (2)
(10a) and (11a) is equal respectivelyZĮ0 ϺF > K ZZ   J Z DZZ @Z > K ZZ Z  DZZ Z @ (13a)
2È R 0 K AA D K D
(12a) ϺM A >{ }  J N { AA }@A >{ AB }  J N { AB }@B
K ZZ  ³ ³ PZr RdRd K BA D BA K BB D BB
B
0 1
2È R 0 K AA K AB DAA  DAB  (13b)
DZZ  ³ ³ PZd RdRd
(12b) >{ }A  { }B@ >{ }A  { }B @
K BA K BB D BA DBB
0 1
(3) the stiffness and damping of the half-frequency
Again because the real and even part of formula (10b) and
self-excited whirl. The perturbed frequency ratio  of the
(11b) is equal respectivelyAĮ0 and BĮ0, the dynamic
bearings or seals should be the whirl frequency ratio in the
stiffness and damping coefficients of gas film at angular A and
unsteady state, and generally =045~065>4,5,7,10,12@,
B are obtained
2È R
(12c) viz. so-called Āhalf-frequency whirlā. While the bearings or
2 Sin
0

K A½  ³ ³ Pmr R { }dRd seals are running, the solving of the stiffness and damping
¾m Cos
B¿ 0 1
have the actual meaning under condition of =05. This leads
2È R 0
Sin (12d) to the critical parameters of the bearings or seals obtained
DA ½  ³ ³ Pmd R 2 { }dRd
¾m
B¿ 0 1
Cos when the unsteady half-frequency whirl occurs, such as the
m A, B limit operating speed, the limiting quality or limiting moment
There are ten so-called the dynamic parameters used to of inertia>6@ of design. Suppose the stiffness and damping
analyze the dynamic stability of gas film. Kzz, Dzz decide the coefficients in the bearings or seals are relevant of the whirl
property of the axial self-excited whirl, KAA, KAB, KBA, KBB frequency ratio of them, their change=100: average K or
and DAA, DAB, DBA, DBB decide the property of the angular D˘5%>10@ is small in the range of =045~065.
self-excited whirl nutation.
CONCLUSIONS
DISCUSSION ON THE MATHEMATIC AND PHYSICAL (1) when the dynamic stability parameters for the
MEANINGS OF THE DYNAMIC STIFFNESS AND aerodynamic lubricated mechanism, such as the gas thrust
DAMPING AND THEIR PERTURBED PRESSURE OF bearings and gas non-contacting face seal, are analyzed by the
GAS FILM small perturbation approximation, using the dual number can
Difference in using the complex number and the dual obtain the perturbed Reynolds equations independent of the
number to analyze dynamic stability parameters of the self-excited whirl frequencies, namely the perturbed Reynolds
aerodynamic lubricated bearings and seals is mainly the equations are independent of the system motion of the
perturbed Reynolds equations determined to the dynamic bearings and seals. Hence, it makes them easily to solve the
stiffness and damping coefficients of the bearings and seals. stiffness and damping coefficients of the aerodynamic
(1) the comparison with the dual number and the complex lubricated bearings and seals.

213
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

(2) the dual number can be similarly applied to the analysis of 3 RSinT w ( PH ) (B1c)

the dynamic stability for the journal bearings and non-contact H wT
cylinder seals of the aerodynamic lubrication, and for the 1 w w PP$  1 w w PP$ 
> RH 3 @ 2 >H 3 @
bearings and the non-contact seals of the hydrodynamic R wR wR R wT wT
lubrication. w (B1d)
>  HP$  2 HP$  PRSinT @
wT
APPENDIX A 1 w w ( PP% ) 1 w w ( PP% ) w
The displacement and velocity perturbed Reynolds [ RH 3 ] 2 [H 3 ]  (  PRCos T  HP% )
R wR wR R wT wT wT
equations in the dynamic properties for gas-lubricated 3H wH wP 2
wH wP 2
non-contacting face seals or thrust bearings analyzed by the  [( RCosT  HCosT ) ( RCosT  HSinT ) ]
2 wR wR RwT RwT
complex number on the small perturbation approximation 3 RCosT w ( PH ) (B1e)
are>10@ 
H wT
Rey P0 PZr  N PZr , P0   2i 2 J Z PZi H 0 (A1a) 1 w w ( PP% ) 1 w w( PP% )
[ RH 3 ] 2 [H 3 ]
R wR wR R wT wT
Rey P0 PZi  N PZi  2 J Z P0  PZr H 0  (A1b)
w (B1f)
(A1c) [ ( HP% )  2( HP%  PRCosT )]
Rey P0 PAr  N PAr , P0  2i 2 J N PAi H 0 wT
The Reynolds equation under the steady state is
Rey P0 PAi ) N ( PAi )  2 J N ( P0 RSin   PAr H 0 ) (A1d)
1 w wP 2 1 w wP 2 w (B2)
(A1e)  RH 3  2 H 3  2   PH 
Rey P0 PBr  N PBr , P0  2i 2 J N PBi H 0 R wR wR R wT wT wT
Rey P0 PBi  N PBi  2 J N P0 RCos  PBr H 0  (A1f)
NOMENCLATURE
Its damping coefficient is
”˙Harrison Numbers, 6 ri 2

2È R 0 pa h02
1 (A2a)
DZZ 
JZ ³ ³P
0 1
Zi RdRd ­˙dynamic viscosity
pa˙pressure under standard state
1
2È R 0
2 Sin 
(A2b)
DA ½
¾m

JN ³ ³1 Pmi R {Cos}dRd ¹, ri, h0˙operating angular velocity, inner radius
B¿ 0 and film thickness for steady-state
Now transform P Pi ˈthen equation(A1) is Z0, A0, B0˙perturbed initialization of no-dimension
d
J Z, N˙perturbed frequency ratio,
Rey P0 PZr  N PZr , P0  2 iJ Z 2 PZd H 0 (A3a) z  n (the pertinency of angular motion)
Z ,N
Rey P0 PZd  N PZd , PZr , P0  (A3b) Z Z
z, n˙perturbed frequency
Rey P0 PAr  N PAr , P0  2 iJ N  PAd H 0 2 (A3c)
Rey P0 PAd  N PAd , PAr , P0  (A3d) REFERENCES
Rey P0 PBr  N PBr , P0  2 iJ N  PBd H 0 2 (A3e) >1@HirnG1854ĀSur les Principaux Phlnomknes Qui Pr
l sentent les Frottements M l diatsāBullSocind
Rey P0 PBd  N PBd , PBr , P0  (A3f)
Mulhouse26pp188-277
And that the damping coefficient formula(A2) is >2@ Kingsbury A1897ĀExperiments with An Air
2È R 0
(A4a)
DZZ  ³ ³ PZd RdRd Lubricated JournalāJAmSocNaval Engrs9
0 1 pp267-292
2È R 0
Sin (A4b) >3@Sternlicht BandWinn LW1964ĀGeometry Effect
DA ½  ³ ³ Pmd R 2 { }dRd
¾m
B¿ 0 1
Cos on the Threshold of Half-Frequency Whirl in
Self-ActingGas Lubricated Journal BearingsāASME
APPENDIX B JBasic Engrg86pp313-320
The perturbed equations are obtained under the real >4@ Green Iand Barnsby R M2001(4)Āa Simultaneous
number coordinate respectively differentiate on the dynamic Numerical Solution for the Lubrication and Dynamic
Reynolds equation with respect to perturbed displacement Z, A, Stability of Noncontacting Gas Face Seals ā ASME
B and perturbed velocity Z , A , B >13@ J.Tribol.123pp388-394
1 w w PPZ  1 w w PPZ  w >5@ Wanfu XuYuchuan Liuand Zhili Wang2002ĀReason
> RH 3 @ 2 >H 3 @   P  HPZ 
R wR wR R wT wT wT of Angular Wobble Self-excited Vibration and Half
3/ w PH  3H wH wP 2 wH wP 2 (B1a) Frequency Characteristic for Gas Film Face Sealsā
    
H wT 2 wR wR RwT RwT Chinese Jourof MechEng38pp43-46(in Chinese)
1 w w PPZ  1 w w ( PPZ )
> RH 3 @ 2 >H 3 @ >6@ Wanfu XuYuchuan Liuand Guangyu Li2003
R wR wR R wT wT
ĀTheoretical Analysis and Experimental Investigation of
w (B1b)
>  HPZ   2 HPZ  P @ Spiral Groove Dry Running Noncontacting GasāChinese
wT
1 w w PP$  1 w w PP$  w Jourof MechEng39pp124-127(in Chinese)
> RH 3 @ 2 >H 3 @   PRSinT  HP$  >7@ LundJW1968ĀCalculation of stiffness and Damping
R wR wR R wT wT wT
3H wH wP 2 wH wP 2 Properties of Gas BearingsāASMEJLubrTech90
 > RSinT  HSinT   R sin T  HCosT  @
2 wR wR RwT RwT pp793-803


214
 A Method of Dual Number for the Aerodynamic Property Analysis of Gas-Lubricated Mechanism˖Self-Pressurizing Thrust
Bearings and Non-Contacting Face Seals (Partĉ˖Analytical Methods)

>8@ Changqing Chi,1998,Hydromechanical Lubrication, Analysis of MechanismāLiaoning Branch of Chinese

National Defence Industry Press, Beijing(in Chinese)
>9@ Zirkelback N2000(2)ĀParametric Study of Spiral
Groove Gas Face SealsāTribolTrans43
pp337-343
>10@ Yuchuan Liuxinmin Shenand wanfu Xu2002,
ĀNumerical Analysis of Dynamic Coefficients for
Gas Film Face SealsāASME J. Tribol.124
pp747-756
>11@Dazhun Xiao1983ĀTheory of Screws and Its Use in
Mechanical Engineering SocietyˈMechanism seminarˈ
Shenyang(in Chinese)
>12@Lund JW1987ĀReview of the Concept of Dynamic
Coefficients for Fluid Film Journal BearigsāASME
JTribol109pp747-756
>13@ Wanfu Xu,2001,“on Hydrodynamic Characteristics of
Thrust Bearings and Face Seals with Compressible
Lubricant,”Shenyang Institute of TechnologyˈInternal
ReportˈShenyang(in Chinese)

215
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

A Model for the Calculation of the Micro-Pores Number of Compressively

Molded Polyimide Porous Materials
*
Yuping Pu1,2, , Jianmin Chen1, Peng Zhao2, Qunji Xue1
1
State Key Laboratory of Solid Lubrication, Lanzhou Institute of Chemical Physics, Chinese Academy of Sciences,
Lanzhou 730000, China;
2
Powder Metallurgy Department, Central Iron & Steel Research Institute, Beijing 100081, China

ABSTRACT pressing on the XLB-400 forcing machine under the optimized

A model was established to calculate the number of the
micro-pores in compressively molded polyimide porous
materials by taking into account the variation in the size of all
the pores perpendicular to the bottom plane of the mould and
the PI powders stacked in tetrahedron holes and octahedron
holes. It was suggested that the number of the pores in porous
KH
polyimide materials be calculated as N m*
(aR  r )3  (bR  r )3
where r is the size of the pores, and Ò is the porosity of the
porous PI samplesˈaǃb and K are constants. This equation
was found to have definite physical meaning, since the
variation in the size of each pore perpendicular to the bottom
plane of the mold together with the octahedron and tetrahedron
pores was considered. The calculated number of the
micro-pores, Nm*, agreed well with the corresponding
experimental value, Nexp. Moreover, both the porosity and
pores size of the compressively molded porous PI materials
varied with increasing pressure, and the number of the
micro-pores generally tended to decrease with decreasing
pores size. It was anticipated that the present approach would
help to the theoretical calculation of the vertical flux of porous
materials by providing precision parameters.
Keywords: Polyimide, Porous Material, Micro-pore, Number,
Calculation model
process conditions[3]. The porosity () of the molded samples
was measured using immersing-solvent method[4], while the
size of the pores (d) was measured using gas-bubble method[5].
The molded porous PI samples with different porosity and pore
size were labeled as No.1 through to No.10. An optical
microscope was used to observe the morphologies of several
typical porous PI samples and determine the numbers of the
micro-pores as well.
,
3 RESULTS AND DISCUSSION
3.1 Calculation of the numbers of micro-pores using
conventional method
For a comparison, a literature method was used to calculate
the number of the pores in the molded porous PI samples[6].
According to the literature method, the area occupied by the
capillary pores can be expressed as:
Ac=¼d2N=A (1)
Where Ac refers to the area occupied by the capillary pores,
d refers to the equivalent diameter of the capillary pores
determined using gas-penetrating method,  refers to the
porosity of the porous materials, and A refers to the area of a
unit cross-section of the porous materials.
By converting Eq.(1), the number of the capillaries, i.e., the
number of the micro-pores can be calculated as:
4H A
N (2)
Sd2

1 INTRODUCTION The number of the micro-pores on 1 mm2 of the

cross-section of the compressively molded PI sample can thus
So far the distribution and quantities of the pores in
be calculated, in a sense of ideal state, using Eq.(2). The
compressively molded porous metal-matrix and
relevant calculation results of N, together with the measured
ceramic-matrix materials have been extensively focused on
values of  and d are listed in Table 1. It is seen that the
and a series of theories has been established therewith[1,2].
porosity of the porous PI samples tended to increase with
Unfortunately, those theories and relevant models are
increasing size of the pores, and the capillary pores in the
established on the basis of the hypothesis that the
porous PI samples amounted to be about 2~3×105/mm2. This
spherically-shaped powders are ideal rigid spheres with
will be further discussed in the following sections.
identical volume, which is not applicable to polymeric
materials. This is because the polymeric materials usually have
large elastoplasticity and are liable to deformation during 3.2 Measurement of the numbers of micro-pores in
compression molding. At the same time, the surfaces of molded porous PI samples
polymeric materials are usually rough, and drawbacks are thus
inevitable in the calculation of the pores numbers of porous
polymeric materials using three- and/or four-ball models.
Therefore, a model was established to calculate the number of
the micro-pores in compressively molded porous polyimide (PI)
materials, and the theoretical results were compared with the
corresponding experimental results, aiming at providing
theoretical guidance to the design of porous polymeric
materials.

2 EXPERIMENTAL DETAILS
A series of porous polyimide (PI) samples was prepared
using compressive molding. Thus the PI powders with a grit Fig. 1 Optical microscopic image of molded porous PI sample
size of 50 m were compressively molded through hot No.1

216
 A Model for the Calculation of the Micro-Pores Number of Compressively Molded Polyimide Porous Materials
Figure 1 shows the optical microscopic image of molded PI
sample No.1. The measured numbers of the micro-pores in
molded PI samples No.1, 3, 5, and 7, together with the values
of N calculated using Eq.(2) and those calculated using the
models established in the present research (Which will be dealt
with in the following sections) are given in Table 1. It is seen
that the numbers of the micro-pores in the molded porous PI
samples were measured to be only about 550̚900 /mm2 (see
the value of Nexp in Table 1), which are much different from
those (see the value of N in Table 1) calculated using Eq.(2).
And in some cases, N was about one thousand times as much
as Nexp, indicating that it could be infeasible and unreliable to
use Eq.(2) to calculate the numbers of the micro-pores in the
molded porous PI samples.
3.3 Theoretical analysis of the maximum number of the
micro-pores in molded PI
Fig. 2 Schematic diagram showing the stacking pattern of the
micro-pores
The most-dense stacking model of powders, i.e., three-ball
stacking, was used to calculate the maximum capillary pores in
a unit area of sample[7]. As shown in Figure 2, the three-ball
stacking model has the same structure as the face-centered
crystal cell of metal crystal, and the most densely stacked
plane is the (111) plane of the face-centered cube. Assuming
the diameter of the powders is D, then the rigid balls with a
number of n can be piled in each row on the bottom plane with
a size of L×L of the subject material, i.e., n L . Since the
D have a radius much larger than r3 calculated as above. The
row spacing for the balls most densely stacked on the (111)
plane can be expressed as h=0.866D, so the number of the
rows that can be stacked alongside L is calculated as
L  D . In this way, the number of the pores in each row
n1
0.866 D
equals to n, the rows of the pores equals to 2n1-1ˈand the total
number of the pores on a unit area of the bottom plane is
3.2, once again indicating that it could be infeasible and
unreliable to use Eq.(2) to calculate the number of the
micro-pores in porous PI samples.
3.4 Relationship between the number of the micro-pores
and the pore size
As it is seen in Eq.(2), the number of the micro-pores, N, is
inversely proportional to the size of the pores, d, which might
not conform to the actual situation of the compressively
molded porous polymeric materials. Taking compressively
molded PI as a typical example, the porosity of the molded PI
samples decreased with increasing compressive molding
pressure, so did the size of the pores, which had been
confirmed by the relevant experimental results. However, the
number of the micro-pores would not be excessively increased
with increasing molding pressure, and it might be even
decreased in some cases, owing to the deformation and closure
of some pores under a higher molding pressure. In an ideal
situation, all the micro-pores would experience decreasing in
the size but not be closed, i.e., the number of the total
micro-pores would be kept around 900.
3.5 Establishment of the calculation model accounting for
the relationship between the number of the micro-pores
and the pore size
When using the maximum gas-bubble method to measure
the pore size of porous materials, the pore size measured from
the fluid flowing through the pores is not the diameter on any
cross-section but the diameter on the top and bottom planes of
the compressively molded plate (assuming the pores on the
surfaces are the same as those in the internal part of the porous
material). Using the three-ball model to deal with the pore size
on the bottom plane, then the radius of the circle interiorly
adjoining the crooked-side triangle holes of the horizontal
projections of the three balls, r3, is calculated as r3 0.156R ,
where R refers to the radius of the powders. When taking into
account the stacking of multiple balls, the internal pores would
multilayer stacking, in an ideal state and conforming to Bravais
stacking rule[7], has a face cubic structure. In this case the
arrangement of the powders on the top and bottom planes of
the molded sample corresponds to the (111) plane of the face
cube and the maximum density of the piled stacks is equal to
0.74[8]. In other words, the porosity  is equal to 1-0.74=0.26.
Two types of pores, i.e., the octahedron and tetrahedron
calculated as N  2n1  1 n ª 2( L  D)  1º ˜ L , which can be pores, are observed in the above-mentioned multilayer stacking
« 0.866 D » D
¬ ¼ system, which are shown in Figure 3. According to the relevant
converted as: metallography principles, the sizes of the octahedron and
tetrahedron pores can be calculated as r8=0.41R and r4=0.225R,
2 L2  2.866 DL (3)
N respectively.
0.866 D 2
The volumes of the circles interiorly adjoining the
Using Eq.(3), the number of the total pores of the powders octahedron pores and tetrahedron pores are expressed as:
with a diameter of D=50 m, stacked on 1 mm2 of the bottom
4È 3 (4)
plane (L=1 mm), is calculated as N50=857.59Ĭ900. Thus the V8 r8
3
maximum number of the pores of the powders with a size of 50
m, in the ideal most densely stacked mode, is below 900, 4È 3 (5)
V4 r4
which is similar to the experiment value mentioned in section 3

217
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

No.  (%) d (μm) N Nexp Ncalc Nm*

1 19.16 1.05 221272 900 2473 824
2 20.30 1.24 168098 2508 836
3 13.82 0.73 330196 700 1923 641
4 14.75 0.68 406147 2077 692
5 13.17 0.70 342215 620 1846 615
6 14.10 0.73 336886 1962 654
7 12.74 0.69 340707 550 1790 597
8 12.96 0.73 309648 1803 601
Fig. 3 Tetrahedron and octahedron model of metal
9 11.81 0.66 345201 1671 557
10 12.10 0.69 323591 1700 567

The porosity and averaged pore size of loosely packed

powders would be decreased owing to deformation under
compressive pressure. In the absence of deformation, the
porosity of the powders, 0, is equal to 0.26, and the averaged
pore size r3 0.156 R . After the deformation, the size of the
pores would be decreased from r3 to r, here r refers to the
measured diameter of the pores, i.e., a half of the diameter d
shown in Table 1. When the porosity is , r3 is reduced by r3-r,
and the radius of the circles interiorly adjoining the deformed
octahedron and tetrahedron will be decreased by at least r3-r.
Fig. 4 Schematic diagram showing the closely stacked capillary Therefore, we have r8’=0.41R-(r3-r) and r4’ =0.225R-(r3-r), and
pores the volumes of the interior adjoining circles can be calculated
as:
In total, 23 layers of the balls with a diameter of D=50 m 4S (7)
V 8' [ 0 .4 1 R  ( r3  r˅] 3
can be stacked in 1 mm3 of space, forming 22 layers of pores, 3
and one octahedron and one tetrahedron are included in each 4S (8)
V ' 8 [ 0 . 2 2 5 R  ( r  r˅] 3
3
layer (see Figure 4). Thus the total volume of each capillary 3
pore in 1 mm3 of space can be expressed as V 22(V8  V4 ) , The volume of one capillary after the deformation under
which is converted into V=1949.4651r33, after introducing compressive pressure will be decreased to:
r8=0.41R and r4=0.225R into Eq.(4) and Eq.(5) and 88S (9)
V ' (V '  V ' ) u 22
8 4 [(25.4 R  r )3  (6.9 R  r )3 ]
re-arranging. To transform the unit of V into mm3, 3
V=1949.4651r33 m3=1949.4651r33×10-9 mm3. while the porosity after the deformation under the
The volume of the octahedron pore is larger than that of the compressive pressure is calculated as:
interiorly adjoining circle, assuming that the former is larger V 'N ˜ m
H (10)
than the latter by m times, then the volume of the pores in each 1mm3
unit volume (1mm3) can be expressed as Therefore, the number of the total pores can be calculated
1949.4651r33 ˜ m ˜ N H ˜ 1mm3 , as:
i.e.: 109 H (11)
N calc
H 109 (6) m ˜V '
N ˜
3
mr3 1949.4651 Introducing Eq.(9) into Eq.(11), then we have:
4340589H (12)
When the powders are loosely packed, we have N=900ˈ N calc
=0.26ˈr3=0.156Rˈand R=50/2=25m. After introducing those
parameters into Eq.(6), then we have:
0.26 u 109
m | 2.5
1949.4651 u 900 u (0.156 u 25) 3
Table 1 Calculated numbers of the micro-pores on 1mm2
of cross-section of molded PI samples compared with the
experimental results
218
 25.4R  r    6.9 R  r 
3 3
Eq.(12) shows the relationship among the number of the
micro-pores and the pores size and porosity. Introducing the
pores size d and porosity  listed in Table 1 into Eq.(12), then
the number of the pores, Ncalc, is calculated and presented in
Table 1. At the same time, both the Ncalc and Nexp are plotted
against the pores size and shown in Figure 5, where it is seen
that the Ncalc-d curve was roughly parallel to the Nexp-d curve,
 A Model for the Calculation of the Micro-Pores Number of Compressively Molded Polyimide Porous Materials

but Ncalc was larger than Nexp. The uneven deformation 4 CONCLUSIONS
coefficient of porous PI materials can be empirically set as From the above, the following conclusions can be drawn:
=2.64, then the number of the capillaries in a unit volume can When spherical powders were stacked in the most-dense
be modified as N N calc , and we have: stacking pattern under no external pressure, the maximum
m
K number of the micro-pores on the most densely piled plane was
1644162H (13) 2 L2  2.866 DL
Nm expressed as N , where D is the diameter of
25.4 R  r 3  6.9 R  r 3
Eq.(13) is the final equation established in the present work
for illustrating the relationship between the number of
micro-pores and the pores size. The number of the micro-pores
in the compressively molded porous PI samples, calculated
0.866 D 2
the powders, and L is the size of the bottom plane on which the
spherical powders were stacked in the most dense pattern.
The number of the capillary pores of porous PI materials
compressively molded from the powders with a radius of R
KH
could be expressed as N m* , where r is
 aR  r    bR  r 
3 3
using Eq.(13), is also present in Table 1 and plotted against the
pores size and shown in Figure 5 as well. Interestingly, Nm
the size of the pores, and  is the porosity of the porous PI
was very much close to Ncalc, indicating that Eq.(13) could be
samples. In this way the variation in the size of each pore
well used to calculate the number of the micro-pores in the
perpendicular to the bottom plane of the mold together with the
compressively molded PI samples. Moreover, Eq.(13) can be
octahedron and tetrahedron pores was taken into account, so the
expressed in its universal form as:
corresponding equation for the calculation of the number of the
KH (14)
N* micro-pores had definite physical meaning and the calculated
 aR  r    bR  r 
m 3 3
where Nm*, refers to calculated number of the micro-pores,
 refers to porosity of the porous PI samples,
R refers to the radius of the powders,
r refers to size of the pores,
and K , a, and b are all coefficient of correction.
Fig. 5 Variation of the number of pores with pore size (N is the
value calculated using Eq.(2), Ncalc is the calculated value in the
present article, Nmodified is the calculated value after modification,
and Ntest is the measured value in the present research)
219
value of Nm* agreed well with the corresponding experimental
value Nexp.
Both the porosity and pores size of compressively molded
porous PI materials varied with increasing pressure, and the
number of the micro-pores generally tended to decrease with
decreasing pores size.
REFERENCES
[1] Bertand P. A., 1997, “Oil Exchange between Ball Bearings
and Porous Polyimide Ball Bearing Retainers.” Tribology
Transactions, 40, pp.294-302.
[2] Sepulveda, P., 1997, “Gelcasting foam for porous ceramics.”
The American Ceramic Society Bulletin, 76, pp. 61-65.
[3] Pu Yuping, Lv Guangshu. , 2003, “Study on the Properties
of Molded Polyimide Porous Materials.” Transactions of
Beijing Institute of Technology, 23, pp.389-393.
[4] National Standard GB5250ˉ1993 of People's Republic of
China.,1993,Determination of fluid permeability of sintered
permeable metal-matrix materials.
[5] National Standard GB5249ˉ1993 of People's Republic of
China.,1993,Determination of pore size of sintered
permeable metal-matrix materials using gas-bubble test.
[6] Liu P. Sh.,2004, Introduction to Porous Cellular Materials.
Beijing: Tsinghua University Press, pp.304-310.
[7] Liu G. X., 1980, Principle of Metallography. Beijing: Press
of Metallurgical Industry, pp.24-34.
[8] Lv G Sh., Zhang Y. M.,2001, Fundamentals of Engineering
Materials and Processing Technology. Beijing: Higher
Education Press.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Frictional Dynamics in a Two Dimensional Frenkel-Kontorova Model with Square Lattice Symmetry

Ju-na Wei1,* , Cang-long Wang1, Wen-shan Duan 1, Jian-min Chen2

1
Department of Physics, Northwest Normal University, Lanzhou, 730070, China
2
State Key Laboratory of Solid Lubrication, Lanzhou institute of Chemical Physics,
Chinese Academy of Science, Lanzhou, 720000, China

ABSTRACT studied as potential materials for many tribological

A two-dimensional (2D) Frenkel-Kontorova (FK) model
with a square symmetry substrate potential for a square lattice
layer driven by an external driving force with an arbitrary
direction D and an arbitrary misfit angle T between upper
and lower layers is presented. Both the theoretical and the
numerical study of the lock-to-sliding transition for this 2D FK
model are given. The results show that both the misfit angle
T and the direction ( cos D , sin D ) of the external driving
force play crucial roles in the scenario of the lock-to-sliding
transition and the determination of the structure of the sliding
state. The effects of the system parameters such as the
magnitude of the adhesive force between the two layers, the
stiffness of the interatomic bonds, and the viscous damping
constant to the lock-to-sliding transition have also been
investigated. The application of our results to the tribology is
discussed and the dependence of the static friction force on the
system parameters is studied. It is noted that the parameters of
both T and D play important roles in the magnitude of the
static friction force Fs. The numerical results show that the
possibility to obtain superlubricity is larger between two same
material layers than that for different materials. How to make
the material with superlubricity is suggested.
Keywords: Frenkel-Kontorova model, Static friction
INTRODUCTION
A lattice of interacting particles driven over a pinning rigid
substrate represents one of the most tractable models in a
variety of condensed matter systems such as vortex lattices in
superconductors[1,2], Josephson junction, charge density
waves(CDW)[3], colloids[4], Wigner crystal[5], metallic
dots[6,7], magnetic bubble arrays[8]. Especially in connection
with solid friction phenomena, the application of driven
Frenkel-Kontorova (FK) type model has recently received an
increasing interest as a possible interpretative tool to more
deeply understand the complex field of nanotribology[9]. As
well known, the simplest standard FK model consists of a
one-dimensional(1D) chain of particles coupled by a harmonic
nearest neighbor interaction under the influence of an external
spatially periodic potential. The essential physical feature of
applications because their extraordinary properties of low
friction coefficient[14]. The friction coefficient between two
layers of diamond-like carbon film sometimes can reach the
order of 10-3or even superlubricity takes place. Therefore it is
very important to understand how the superlubricity takes
place in order to manufacture materials with superlubricity.
However, theoretical explanation on the superlubricity is
lacking.
MODEL AND NUMERICAL RESULTS
To model more real physical systems, we consider atoms
which are arranged on a 2D square lattice. These atoms not
only interact with each other, but also interact with the other
solid(in the pair of solids making contact) through a 2D
periodic substrate potential with also a square lattice symmetry.
For the sake of simplicity, the substrate potential is taken in the
simplest sinusoidal function,
2S y ' º
Vsub 2S « cos 2S x '  cos
f ª
»
¬ b b ¼
Where f is the magnitude of the adhesive force between the
two layers and the length b defines the geometry of the
substrate potential. In order to investigate the general case of
the system, in which the orientations of the two layers of
lattices do not match, we rotate the two layers with respect to
each other by an arbitrary misfit angle T . Then the substrate
potential can be rewritten as follows(see Fig.1),
Fig.1
ª º
the model consists of the competition between these two type f « ¨§ 2S  x cosT  y sinT  ¸· § 2S  x sinT  y cosT  · »
V 2S «« cos¨  cos¨ ¸
of interactions, which results in a rich complexity of spatially sub b ¸ ¨ b ¸»
¬ © ¹ © »
¹¼
modulated structure[10,11]. Until now, the 1D FK model has
been well understood and there are many published papers
related on it[12]. It is necessary to extend the 1D FK model to Considering an arbitrary atom (n, m) th interact with eight
nearest neighbors, the interatomic interaction is chosen to be of
the higher dimensions to obtain a more real model which can
the simple harmonic form
be realized in experiment. However, few work has been done
on the FK model with higher dimensions. In friction systems, K «ª § ·
2 § 2º
· »
Vint x  x l  y 
2 « © n 1,m n,m ¹ © n,m 1 n,m ¹ » ,
¨ ¸ ¨ y  l ¸
an importance of higher dimensionality has been emphasized, ¬ ¼
which makes the superlubricity(the state of vanishing friction) with a strength K and a natural equilibrium spacing l a of
appear much more easily[13].
Recently, diamond-like carbon film have been extensively the upper lattice, the position of the  n, m th atom is

Corresponding author: duanws@nwnu.edu.cn

expressed as  xn ,m , y n , m  . Thus, for this system, the

220
 Frictional Dynamics in a Two Dimensional Frenkel-Kontorova Model with Square Lattice Symmetry

position of an arbitrary  n, m th atom { xn,m , yn,m } satisfy Following the previous studies[16,17] in 1D FK model, we
first study the commensurate case of E 1 . Fig.2 represent the
the following equations of motion,
.. . average mean chain velocity, as a function of the driving
x n , m  J x n , m  k [ x n  1, m  x n  1, m  2 x n , m ] force F . We present the simulation data for the case
k of T 0, K 1, f 1, and J 0.1 for different values of
 [ x n  1, m  1  x n  1, m  1  x n  1, m  1  x n  1, m  1
angle D . For D 0 , it is exactly the 1D case. We note from
2
(1)

 4 x n , m  y n  1, m  1  y n  1, m  1  y n  1, m  1 Fig.2(a) that the average velocity  V ! is zero if the

f 2S external force is less than Fs (the static friction force). As the
 y n  1, m  1 ]  [co s T sin ( ( x n ,m co s T
b b force F increases adiabatically, the system undergoes a sharp
2S transition from the pinned phase to the running crystal phase.
 y n , m sin T ))  sin T sin ( ( x n , m sin T
b For other values of T which are shown in Fig.2(b), 2(c) and
 y n , m c o s T ))] F cos T 2(d), the system also transfers pinning state directly to the
.. . sliding state, although Fs is different for different T .
y n ,m  J y n ,m  k ª y n , m 1  y n , m 1  2 y n , m º
¬ ¼
k
 [ y n 1, m 1  y n 1, m 1  y n 1, m 1  y n 1, m 1
2
 4 y n , m  x n 1, m 1  x n 1, m 1  x n 1, m 1
(2)
f 2S
 x n 1, m 1 ]  [  sin T sin( ( x n , m cos T
b b
2S
 y n , m sin T ))  cos T sin( ( x n , m sin T
b
 y n , m cos T ))] F sin T
where J is a phenomenology viscous damping coefficient,

F  F cos D , F sin D  is the external driving force, and D

is the angle between direction of F and the x direction.

A fourth-order Runge-Kutta algorithm[16,17] was Fig. 2

implemented to solve the Eqs.(1) and (2) numerically. The
system was initialized with the particle placed at a uniform However, it seems from Fig.2(a) that the magnitude of Fs
separation a . In order to eliminate transient behavior and
depends on the angle D . The similar numerical results are
reach a steady state, the dc force F was then increase
adiabatically from 0 to 1.5 in steps 'F =0.005. For every shown by Fig.2(b), Fig.2(c) and Fig.2(d), respectively, for
value of F , and with a sufficiently small time step T 20 , T 40 , and T 60 , here the other parameters are
( 't =0.006), Eqs.(1) and (2) were integrated over a time same as that of Fig.2(a). It is noted from Fig.2 that Fs
period( t =300). The average system velocity was then depend on both angles of T and D . Especially it strongly
calculated over a time t f  ti . depends on the T . It suggests that the static friction force

t
depends on the external driving force direction D and the
1 N

³
f
 v ! ¦ vd t misfit angle T . In order to understand how the friction force
N t f  ti
ti j 1

Fs , depend on both the external force direction, D , and the

We modeled the atomic layer by N 10 u 10 placed onto the
square lattice substrate and analyzed the locked-to-sliding misfit angle T , the numerical results of Fs as function T
transition for different values of the ratio of
in different D are given in Fig.3. It is shown that Fs for the
5 1
E b a (E 1 ,and E (golden mean case), here cases of T z 0 is much less than that for the case of T 0 .
2 Especially, as the case of T 0 and D 0 are concerned,
fixed a 1 ), the different lattice misfit angle T , the different it corresponds strictly to the 1D case, it suggests that there are
angle D , the different magnitude of the adhesive force f , great differences between 1D case and 2D case. The reason for
the different stiffness of the interatomic bonds K , and the this may be as follows: the magnitude of static friction force
different viscous damping constant J . We use the periodic
Fs depends on the atomic arrangement of the two solid layers
boundary condition to enforce a fixed density condition for
the systm[15]. that are in contact with each other.

221
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

n N n M 2S
¦ ¦ f [  sin T sin( ( xn,m cos T  yn,m sin T ))
n 1 m 1 b
2S
 cos T sin( ( xn,m sin T  yn,m cos T ))] (4)
b
Fig. 3
Fig. 4
For 1D commensurate case of T 0 and D 0 , the
contact between two layers where their lattice spacing ratio is
an rational number ( E 1 ), the magnitude and direction of the
forces received by atoms nearly same. Thus, for an infinite
system, the sum of the forces received by the atoms, namely,
the friction forces, is not zero. However, for 2D case of T z 0 ,
the magnitude and direction of the forces received by atoms do
not line along the direction of sliding at all. Then, for an
infinite system, the sum of the forces received by the atoms
may be much smaller than that of the case of T 0 and
D 0 or even be zero, in which case superlubricity takes
place. For the case of T 0 , it is also noted from Fig.3 that
thestatic friction force depends on the direction
(cos D , sin D ) of the external driving force F . The maximum
staticfriction force is reached when D S / 4 . The line of
D S / 4 is also the symmetric axis of the static friction force
Fs .The dependence of the static friction force Fs on the angle
D is periodic and the periodicity is the S / 2 which coincident
with periodicity of both the upper and lower layers. To further
understand this, we consider the possible stable atomic
configurations when the system is pinned. Summing over all
N u M particles in the system from Eqs.(1) and (2), we obtain
n N n M f 2S
¦ ¦ [cos T sin( ( xn,m cos T  yn,m sin T ))
n 1 m 1 b b
2S
 sin T sin( ( xn,m sin T  yn,m cos T b ))]
b although there are little differences between two cases, the
 N  M  F sin D
For large enough K , the particles are nearly equally
separated, xn,m na  ' x , yn,m ma  ' y ,where | ' x | a
and | ' y | a are uniformly shift for all atoms. If T z 0 , for
most choices of the parameters, the sums above will add to
zero for large enough N and M , i.e., for a classical finite area
of the layer. So there is no possible stable solution for F ! 0
and the static friction will vanish. However, when T 0 , then
summations will not vanish and a nonzero static friction will
result. The static friction force can be obtained as
2
Fs f 1  tan D (0 d D d S 4) (5)
2 §S ·
Fs f 1  tan ¨ D ¸ (S 4 d D d S 2) (6)
©2 ¹
This analytical results are in good agreements with
numerical ones, see Fig.3. ' x and ' y should satisfy the
sin[2S' y ]
relation of tan D .
sin[2S' x ]
We then conclude that, for the case of commensurate (1D
case), the static friction force is much larger than that of 2D
case. Therefore, although superlubricity may not be obtained
for 1D case (also 2D case for T 0 and D 0 ), it is likely
that the superlubricity can exist for more real 2D case. In order
to know if or how the superlubricity exists for a more real 2D
case, following we will investigate the dependence of both the
average velocity  V ! of the 2D system and the static friction
force Fs on the different system parameters.
We made a comparison between cases of higher damping
J 0.7 and lower damping J 0.1 .The mobility as a function
of the driving force for J 0.7 is numerically studied.
Comparing to the lower damping case of J 0.1 , we find
that the lock-to-sliding transition is smooth for large damping
value J 0.7 . On increasing the driving force, the atoms first
to start to move chaotically in the region where lattice atoms
are in a very disordered flow[10] which is called a plastic
phase by some researchers[11]. As the force increases, the area
with disordered motion spread over the whole lattice. At a
higher driving force, the process of ordering begin, and the
disordered flow transforms into the sliding phase. The
intermediate phase from the locked state to the ordered sliding
state strongly depend on the values of the system parameters
such as J , T and D , etc. The dependence of the Fs on the
different D and T for larger damping terms J 0.7 is given
(3) by Fig.4. Comparing the Fig.3 and the Fig.4 we note that
 N  M  F cos D magnitude of the damping term J can affect the static friction
force but not crucial.

222
 Frictional Dynamics in a Two Dimensional Frenkel-Kontorova Model with Square Lattice Symmetry
Fig. 5
We also checked the system behavior for smaller
value( f 0.25 ) of the magnitude of the adhesive force
between two layers with the other parameters set E 1 ,
J 0.1 , K 1 . The numerical results are shown in Fig.5.
The static friction force for T 0 is smaller than that for large
value of f 1 which can be approximately expressed by
Eqs.(5) and (6) (see Fig.5). It is also noted that except for the
case of T 0 , the average velocity of the system for other
cases such as T 0 , 40, 60 is not zero even for much small
external force F , namely, the static friction force is very
2
small  10 or zero, in which case superlubricity may take
place. In conclusion, we know that as the magnitude of the
adhesive force f decrease the static friction force decrease for
any values of both T and D .
Fig. 6
We have also investigated the dependence of the static
friction force Fs on the interatomic strength K .The
comparisons between the two cases of K 5 and K 1 are
given (see Fig.3 and Fig.6 ), where other parameters are f 1 ,
J 0.1 . By more calculations of different values of K , we
find that as the interatomic strength K increases the friction
force decreases. In order to clearly know how the misfit angle
affect the static friction force the numerical results of the
dependence of the Fs on the T for a given value of D 0 is
shown by Fig.7 for larger interatomic bond K 5 and
smaller one K 1 , respectively. It is easy to note that the
larger K , the less the static friction force Fs which is similar as
reported in Ref.[11].
223
Fig. 7
For different materials of upper and lower layers their
lattice constant a and b are usually different a z b . In order
to study how the static friction force varies between two
different material layers, the numerical simulation of the
mobility as a function of the driving force and the static
friction force as function of a in different values of T are
presented. The plot of static friction force for this case is given
(see Fig.8), where the system parameters are
E ( 5  1) / 2 , f 1, J 0.1. It is found that for the case
of T 0 the static friction force is less for the case of
a z b than that of the corresponding case of E 1 . However,
for any other values of T z 0 the static friction force Fs is much
larger for the incommensurate case of a z b than that of the
commensurate case E 1 . The similar conclusion are
obtained by numerical simulation for other cases such as
f 1, J 0.7, K 1 and f 0.25, J 0.1, K 1 etc. If two
layers are arbitrarily contacted the possibility of T 0 is
nearly zero, so we can say that the possibility to obtain
superlubricity is much larger between same materials than that
for different materials. This result is completely contrary to
one dimensional case[12].
Fig. 8
The phenomena described in this paper would be
fascinating if they could be observed in real system such as
diamond-like carbon film[14], in which superlubricity may be
realized. Our model may be applied to verified our results by
appropriate experiments. Anyway, the sliding of experiment
between two hard crystalline is conceivable. It is also possible
that our model can be used to other branches of real systems
such as the vortex lattices in superconductors, Josephson
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
junction, charge density waves(CDW), Wigner crystal, etc. The
possible study of the kinks and the relation to the lock-to
sliding transition will be a future topic based on more realistic
2D FK model we presented in this paper.
ACKNOWLEDGEMENTS
The authors are grateful to the National Natural Science
Foundationof P. R.China (Grant No.10875098, 50575217 and
50421502), theNatural Science Foundation of Northwest
Normal University (Grant No.NWNU-KJCXGC-03-48,
03-17).
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[8] R. Seshadri and R. M. Westervelt, Phys. Rev. B 46, (1992)
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Applications sSpringer-Verlag, Berlin, 1998d; Surf. Sci. Rep.
33, (1999) 83.
[10] Z. G. Zheng, B. Hu, and G. Hu, Phys. Rev. B. 58 (1998)
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[11] J. Tekic, O. M. Braun, and B. Hu, Phys. Rev. E. 71 (2005)
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79,(1997) 3692; M. Paliy, O. Braun, T. Dauxois, and B.
Hu,Phys. Rev. E 56, (1997) 4025; O. M. Braun, B. Hu,
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M. Braun, B. Hu, and A. Zeltser, Phys. Rev. E 62,
(2000)4235;O. M. Braun, H. Zhang, B. Hu, and J. Tekic,
Phys. Rev. E 67, (2003) 066602.
[13] M. Hirano, Wear. 254, (2003) 932.
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Tribology International 40, (2007) 132.
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 Advances in Investigation of Elasto-Aerodynamic Lubrication in Compliant Foil Bearings
Advances in Investigation of Elasto-Aerodynamic Lubrication in Compliant Foil Bearings
Lie Yu*, Shemiao Qi, Haipeng Geng
Institute of Mechatronics and Information Systems, School of Mechanical Engineering, Xi’an Jiaotong University,
Xi’an 710049, China
ABSTRACT
Advances in theoretical researches of the compliant foil
bearing are introduced, and emphasis is placed on the
generalized solution of elasto-aerodynamic lubrication, the
computation of the dynamic characteristics of compliant foil
bearings and the stability analysis of related rotor systems.
Systematical theories and methods are presented for purpose of
the prediction of dynamic behavior of a rotor system equipped
with compliant foil bearings.
Keywords: Compliant foil bearing, Elasto-aerodynamic
lubrication, Dynamic deformation, Dynamic stiffness and
damping
INTRODUCTION
Compliant foil bearings have been widely applied in a
number of turbo-machineries such as air cycle machines and
turbo compressors, and recent investigations indicate that foil
bearings can also find their usage in integrated high
performance turbine engine technology.
In spite of the successful application of this oil-free
supporting technology in engineering, theoretical researches on
static, especially dynamic performances of compliant foil
bearing seem rather difficult and far behind the experimental
investigations because of complexity [1-4]. As summarized by
Radil and Dellacorte, for lack of the in-depth research needed
to fully understand the basic operating fundamentals uniquely
inherent in compliant foil bearings as well as the data required
to validate computer models, the absence of reliable
performance-prediction methods and design guidelines has
become one of the most critical technical hurdles which
impede the application and widespread use of compliant foil
bearings.
For the research of compliant foil bearings, excellent
contribution was made by Heshmat [5-7]. An improvement
was made to the Walowit model [8], and the model presented
Furthermore, calculation of the structure damping must be
based on the evaluation of the limited cycle locus of the
journal motion, which forces people entering much more
complex analysis of nonlinear dynamics.
It must be pointed out that, in most previously published
papers, the structural stiffness and damping in fact are
steady-state ones, which differ from the dynamic ones applied
in the rotor dynamic analysis [3, 7].
Further investigation is necessary to have an in-depth
understanding of both static and dynamic characteristics of
compliant foil bearings:
(1) To find the generalized solution of elasto-aerodynamic
lubrication in compliant foil bearings.
(2) To find the mechanism of aerodynamic pressure due to
small disturbance of journal motion and calculate the dynamic
characteristics of compliant foil bearings, and dynamic
deformation of both the top foil and bump foil must be taken
into account.
(3) To predict the dynamic behavior of a rotor system
equipped with foil bearings.
Theoretical researches of the generalized solution of
elasto-aerodynamic lubrication, the computation of the
dynamic characteristics of compliant foil bearings and the
stability analysis of related rotor systems are systematically
presented in this paper.
GENERALIZED SOLUTION OF
ELASTO-AERODYNAMIC LUBRICATION
A typical compliant foil bearing design is shown in Fig. 1
(a). The foil bearing consists of top foil, bump foil and bearing
housing.
Elasto-aerodynamic coupling deformation in foil bearings
As shown in Fig. 1 (b), the top foil in a journal foil bearing
is generally leading-edge free and leakage-edge fixed. Forces
acting on the top foil can be divided into two parts: the first is
by Heshmat has become a classical method for analysis of both the gas film pressure P I , z  distributed on the surface of the
static and dynamic characteristics of foil bearings. In the top foil, and the second comes from the contact force W I , z 
Heshmat model, action of the support bump foils was between the top foil and the bump foil strips.
separated first and dealt with alone from the whole foil bearing Bearing housing
for simplicity, and the dynamic characteristics of the bump Bump foil
foils were described by the structure stiffness and damping Top foil I 0
coefficients [9]. From the point of the author, this method Air film
mentioned above seems doubtful and problematic because foil M 0
Journal
bearings are usually constructed asymmetrically. According to T0
the method presented by Heshmat, values of structural stiffness
and damping for a foil bearing are not independent, and
e0
parameters of the motion of the rotor are also enveloped in the x
Ob
structural stiffness and damping. This means that even for a Oj hg0
certain-structure foil bearing with bump foils supported, its Z
M
stiffness and damping cannot be predicted alone because of the
coupling of the motion of the rotor with the foil bearing. To a
great extent, the Heshmat model can provide estimation only.
The so-called structure stiffness and damping according to the
Hsehmat model have only the statistic meaning. y

*To whom all correspondence should be addressed. (a)

Lie YU: yulie@mail.xjtu.edu.cn

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

.
P I , z  z, O H bÛ M , O 
Top foil
Fixed end L
2R O p I , z  ,
P I , z  A W I , z 

I ,M Bump foil
O
Atb q M , O  ,
L H Û M , O  Fi

W I , z  2R I1 I2 Ni

(b) (c)

Fig. 1 Elasto-aerodynamic coupling deformation in compliant foil bearings

(a) Schematic of compliant foil journal bearings (b) Forces acting on top foil (c) Deflection of bump foil subjected to forces

Denote all the forces acting on domain A of the top foil of the action of N i and Fi can be dealt by using the method
3 I , z  , elastic deflection of the top foil at arbitrary point presented in reference [8], and details are neglected here for
simplicity.
q M , O  due to the action of all the forces can be written as
Substitution of Eq. (2) into Eq. (1) yields
follows.
H Û M , O  ³³ P I , z  f I , z,M , O  dI dz
H Û M , O  ³³ 3 I , z  f I , z,M , O  dI dz
t
t A
(1) (5)
 ³³ W I , z  f t I , z,M , O  dI dz
A

 M , O   A, I , z   A Atb

where A is the domain to be considered, and f t the Denote H Û M , O  H pÛ M , O   H wÛ M , O  , where

deflection coefficient of top foil. It is convenient to separate the
H pÛ M , O  is the deformation of the top foil at point M , O 
gas film force P I , z  and contact load W I , z  from
due to the gas film pressure P I , z  alone, and H wÛ M , O 
3 I , z  because of that P I , z  is related to gas-lubricated
the deformation of the top foil due to contact load W I , z  .
Reynolds equation, while W I , z  depends mainly on the
H wÛ M , O  ³³ W I , z  f I , z,M , O  dI dz
structure of bump foil strips. The force distribution 3 I , z  Atb
t

can be written as
3 (I , z ) P (I , z )  W (I , z ) (2)
 M , O   A, I , z   A  tb
(6)
Generally, the reaction force W I , z  due to contact H M , O  ³³ P I , z  f I , z,M , O  dI dz
pÛ t
A
differs from the gas film pressure P I , z  and takes place only  M , O   A, I , z   A
on local contact area Atb , and in most cases, contact between Within the contact area Atb between the top foil and the
the top foil and bump foil is linear-contact, with increased load, bump foil, the following deformation coordination condition
contact taking place in top foil and bump foil maybe becomes must be satisfied.
area-contact. So when the definition of contact load is in the
H pÛ M , O  H wÛ M , O   H bÛ M , O 
whole domain A , W I , z  can be written as (7-1)
 M , O   Atb 
­°W I , z 
W I , z 
 I , z   Atb , Atb  A
® (3) or
°̄ 0  I , z    A  Atb  
Similar to the expression of the deformation of the top foil, ³³ P I , z  f I , z,M , O  dI dz
A
t

deformation of the bump foil due to contact load W I , z  can

³³ W I , z  f I , z,M , O  dI dz
t (7-2)
be always expressed in the following form by using the Atb

deflection coefficient f b of the bump foil.  ³³ W I , z  f b I , z,M , O  dI dz  M , O   A  tb

H bÛ M , O  ³³ W I , z  f b I , z,M , O  dIdz Atb

A On above equations, I and z represent the coordinates

³³ W I , z  f I , z,M , O  dIdz
b (4) of the source point, and M and O the coordinates of the field
Atb point to be considered.
 M , O   A, I , z   A  tb
It must be pointed out that for the calculation of the
deformation of bump foil, reacting forces N i and friction
forces Fi , as shown in Fig. 1 (c), also take important roles and
So equation (7) in fact describes the constrained relation of
the film pressure and the contact load in contact areas.
General Solution of elasto-aerodynamic lubrication
As is well known, for a compliant foil journal bearing, the
dimensionless Reynolds equation to describe a gas film
must be also taken into account besides W I , z  , consideration
lubrication problem has a general form as follows.

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 Advances in Investigation of Elasto-Aerodynamic Lubrication in Compliant Foil Bearings

w § 3 wP · w § 3 wP · w  PH  w  PH  Reynolds equations simultaneously with the deformation

¨ PH ¸ ¨ PH ¸ /  2/
wM © wM ¹ wO © wO ¹ wM wT equations, and iterative procedure is needed.
(8-1) A solution of elasto-aerodynamically coupled lubrication
with the gas film thickness equation given by for a journal foil bearing (Fig. 1) is shown in Fig. 2, including
H Hg  HÛ (8-2) the static pressure distribution, the macroscopic and the
microscopic deformation of the top foil. Bearing configuration
where H is the total dimensionless gas film thickness, and
H g the film thickness respect to rigid surface, H Û the film and operation conditions are listed in Table 1. An important
conclusion is that the macroscopic deformation in top foil
thickness due to the deformation of top foil, P is the always dominates the load capacity and the domination action
dimensionless gas film pressure, and / is the compressible increases with the eccentricity [10].
number.
The generalized solution of elasto-aerodynamic lubrication Table 1 Bearing configuration and operation conditions
in a compliant foil bearing will have following features: Bearing length (mm) 60
(1) The deformations of both top foils and bump foils are Radius of the journal (mm) 25
three-dimensional. Nominal radial clearance (mm) 0.02
(2) The method of contact dynamics must be introduced to Thickness of the top foil (mm) 0.18
describe the contact action between the top foil and the bump Thickness of the bump foil (mm) 0.08
foil, including change of the contact position and the contact Bump height (mm) 0.28
Bump length (mm) 2.00
area of the top foil and bump foil. With the help of contact
Bump pitch (mm) 2.80
dynamics, it is possible to solve large preload and nonlinear
Angular frequency (r/min) 60,000
deformation problems in foil bearings.
(3) A generalized solution of the elasto-aerodynamically
coupled lubrication can be obtained by introducing both static
and dynamic deformations of foils and solving the compressible

2 u105
0.5
0
1.5
-1
-2
1 355 355
270 1.2 270
1.2 0 180 0 180
-1.2 8
90 I1 / degree O 90 I1 / degree
O -1.2 8
(a) (b)

u105
0.35
0
-0.5
-1
-1.5 355
270
1.2
180
O 0 90 I1 / degree
-1.2 8
(c) (d)

Fig. 2 Solution of elasto-aerodynamically coupled lubrication for a journal foil bearing ( H 0 0.4 )
(a) Static pressure distribution (b) Radial deformation of the top foil
(c)Macroscopic deformation of the top foil (d) Microscopic deformation of the top foil

For the multi-leaf foil journal bearing with large preload, parts.
the nonlinear finite element contact model of the foil bearings Numerical results for a five-leave journal foil bearing with
was developed by introducing the method of contact dynamics large preload are shown in Fig. 3 [11].
to describe the moving contact relationship among the bearing

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

(a) (b)

(c) (d)
Fig. 3 A five-leaf foil bearing with large preload
(a) State of foil bearing before assembly (b) State of foil bearing after assembly
(c) Static pressure distribution ( H 0 0.3 ) (d) Static pressure distribution ( H 0 0.8 )

distribution is not only related to the static eccentricity and

DYNAMIC STIFFNESS AND DAMPING COEFFICIENTS
For the air-lubricated bearing, difficulty of the analysis of
the dynamic characteristics comes from the compressibility of
attitude angle of air-lubricated bearing, but also to the
displacement, the velocity and also the acceleration of the
journal. Furthermore, effects of both the dynamic deformation of
the foils and the frequency of disturbance must be taken into
w  PH  account [12-19].
gas film. Occurrence of the term in the well-known
wT Theoretical analysis and numerical results indicate that:
Reynolds equation indicates that the dynamic pressure

14 6
Dxx
Dxy
12 Dyx
4 Dyy
Dxx f
10 Dxy f
Dyx f
K xx 2 Dyy f
8 K xy
K yx
K yy
D

6 0
K

K xx f
K xy f
K yx f
4 K yy f
-2

-4
0

-2 -6
0 2 4 6 8 10 12 14 16 18 20 0 2 4 6 8 10 12 14 16 18 20
: :

(a) (b)

Fig. 4 Variation of stiffness and damping versus different frequencies

(a) Stiffness coefficients Kij (i, j=x, y) (b) Damping coefficients Dij (i, j=x, y)

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 Advances in Investigation of Elasto-Aerodynamic Lubrication in Compliant Foil Bearings

(1) The dynamic characteristics of the compliant foil
bearing can be defined and predicted in linear range similar to
that of the oil-lubricated bearing.
(2) Both the dynamic deformations of the foil bearing and
the frequency of disturbance have great influences on stiffness
and damping coefficients in gas-lubricated bearings.
(3) Solution of the dynamic stiffness and damping
coefficients in air-lubricated bearings exists in the whole range
of the frequency of disturbance, furthermore, both the stiffness
and the damping coefficients in the case of small disturbance are
continuous and limited even in the case of : o 0 or
: o f . In general, the direct terms of the dynamic stiffness
K xx and K yy increase with the increase of the frequency of
disturbance, while the cross-coupling terms K xy and K yx tend
to an equal value when the frequency becomes infinite. All the
damping coefficients decrease in higher frequency region and
vanish when : o f .

(a) (b)
Fig. 5 Dimensionless dynamic coefficients of a five-leaf journal foil bearing with large preload
(a) Stiffness coefficients Kij (i, j=x, y) (b) Damping coefficients Dij (i, j=x, y)

in which matrixes >C @ and > K @ are all frequency dependent

PREDICTION OF THE DYNAMIC BEHAVIOR OF FOIL
BEARING-ROTOR SYSTEMS and can be expressed as follows:
Stability analysis of a rotor supported by compliant foil
bearings is quite different from conventional ones supported by
oil-lubricated bearings because of the dependency of the rotor
dynamic coefficients of the foil bearing on whirl frequency of
the journal.
For the stability analysis of a foil bearing-rotor system, Eq.
(9) must be solved.
>C @ ª¬C Zk º¼ , > K @ ª¬ K Zk º¼ .
where Ok is the ith eigenvalue, and Ok uk  jZk .
Because the natural frequency of the system and the
dynamic characteristics of the compliant foil bearings are
coupled with each other, iteration becomes necessary.
As an example, system stability of a rotor system equipped
with compliant foil bearings for a microturbine was analyzed,
Ok2 > M @^q`  Ok ¬ªC Zk ¼º ^q`  ¬ª K Zk ¼º ^q` ^0` (9) and numerical results are shown in Fig. 6.

Fig. 6 The whirl speed diagram of the foil bearing-rotor system

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
CONCLUSIONS
This paper introduces recent advances in investigation of
elasto-aerodynamic lubrication in compliant foil bearings.
Theoretical researches of the generalized solution of
elasto-aerodynamic lubrication, the computation of the
dynamic characteristics of compliant foil bearings and the
stability analysis of related rotor systems are systematically
presented.
The linear solution for dynamic characteristics of
compliant foil bearings and dynamics of related rotor systems
makes necessary theory preparations for nonlinear problems.
ACKNOWLEDGEMENTS
This work is supported by the National Natural Science
Foundation of China (Grant No. 50635060), the National
Program on Key Basic Research Projects of China (Grant Nos.
2007CB707705 and 2007CB707706) and the National
High-tech Research and Development Program of China
(Grant No. 2007AA050501).
REFERENCES
[1] Radil, K., Howard, S., Dykas, B., 2002, “The role of radial
clearance on the performance of foil air bearings,” STLE
Tribology Transactions, 45, pp.485-490.
[2] Dellacorte, C., Valco, M. J., 2000, “Load capacity
estimation of foil air journal bearings for oil-free
turbomachinery applications,” STLE Tribology
Transactions, 43, pp.795-801.
[3] Howard, S. A., Dellacorte, C., Valco, M. J. et al., 2001,
“Steady-state stiffness of foil air journal bearings at
elevated temperatures,” STLE Tribology Transactions, 44,
pp.489-493.
[4] Heshmat, H., 2000, “Operation of foil bearings beyond the
bending critical mode,” Journal of Tribology, Transactions
of the ASME, 122, pp.192-198.
[5] Ku, C.-P. R., Heshmat, H., 1992, “Compliant foil bearing
structural stiffness analysis: part I - theoretical model
including strip and variable bump foil geometry,” Journal
of Tribology, Transactions of the ASME, 114, pp.394-400.
[6] Ku, C.-P. R., Heshmat, H., 1994, “Structural stiffness and
coulomb damping in compliant foil journal bearings:
theoretical considerations,” STLE Tribology Transactions,
37, pp.525-533.
230
[7] Heshmat, H., Ku, C.-P. R., 1994, “Structural damping of
self-acting compliant foil journal bearings,” Journal of
Tribology, Transactions of the ASME, 116, pp.76-82.
[8] Walowit, J. A., Murray, S. F., McCabe, J. T. et al., 1973,
“Gas lubricated foil bearing technology development for
propulsion and power systems,” Technical report,
AFAPL-TR-73-92, Air Force Aero Propulsion Laboratory,
Wright-Patterson Air Force Base, Ohio.
[9] Ku, C.-P. R., Heshmat, H., 1994, “Structural stiffness and
coulomb damping in compliant foil journal bearings:
parametric studies,” STLE Tribology Transaction, 37,
pp.455-462.
[10] Hu, D. Y., Yu, L., 2008, Study on the influence factors of
the static characteristics of aerodynamic compliant foil
bearing, Xi’an Jiaotong University, Xi’an.
[11] Geng, H. P., Qi, S. M., Yu, L., 2006, “Analysis of the
multileaf foil journal bearings with large preload effect,”
Journal of Aerospace Power, 21, pp.569-574.
[12] Yu, L., Qi, S. M., Geng, H. P., 2005, “A generalized
solution of elasto-aerodynamic lubrication for aerodynamic
compliant foil bearings,” Science in China, Series E, 48,
pp.414-429.
[13] Qi, S. M., Yu, L., 2005, A Generalized Solution of
Elasto-aerodynamically Coupled Lubrication for
Compliant Foil Bearings, Xi’an Jiaotong University, Xi’an.
[14] Geng, H. P., Yu, L., 2007, Dynamics of an Aerodynamic
Compliant Foil Bearing-rotor System, Xi’an Jiaotong
University, Xi’an.
[15] Qi, S. M., Geng, H. P., Yu, L., 2007, “Dynamic stiffness
and dynamic damping coefficients of aerodynamic
bearings,” Chinese Journal of Mechanical Engineering, 43,
pp.91-98.
[16] Guo, T. L., Yu, L., 2008, Theoretical study on the static
and dynamic characteristics of aerodynamic bearings,
Xi’an Jiaotong University, Xi’an.
[17] Yang, L. H., Li, H. G., Yu, L., 2007, “Dynamic stiffness
and damping coefficients of aerodynamic tilting-pad journal
bearings,” Tribology International, 40, pp.1399-1410.
[18] Yang, L. H., Qi, S. M., Yu, L., 2008, “Numerical analysis
on dynamic coefficients of self-acting gas-lubricated
tilting-pad journal bearings,” Journal of Tribology,
Transactions of the ASME, 130, pp.011006-1-011006-11.
[19] Yang, L. H., Shi, J. H., Liu, H., Yu, L., 2006,
“Experimental study on dynamic performance of compliant
aerodynamic foil journal air bearings,” Tribology, 26,
pp.353-357.
 Normal Stress Effects in Journal Bearing Lubrication with Maxwell Fluid

Normal Stress Effects in Journal Bearing Lubrication with Maxwell Fluid

Li Xiaodi, Chen Haosheng*, Chen Darong, Wang Jiadao

State Key Laboratory of Tribology, Tsinghua University, Beijing China 100084.

*E-mail: chenhs@post.pim.tsinghua.edu.cn

ABSTRACT this paper, the Cartisian coordinate system is adopted. The

To analyze normal stress effects in Maxwell fluid
lubrication, modified form of non-Newtonian fluid lubrication
equation including the effects of normal stress is established,
the expression of the first normal stress difference in the
equation is derived from the Rivlin-Ericksen second order flow
equation and the fluid momentum equation. The
non-Newtonian fluid lubrication equation is solved by the
numerical method and the calculated Maxwell fluid lubrication
in the journal bearing is given. Under the condition of steady
laminar lubrication, the pressure and the load capacity of the
Maxwell fluid is increased by the effect of the first normal
stress difference, but the effect is constrained by the normal
velocity of the oil film and can be omitted in the calculation.
Under the condition of the dynamic load, the normal velocity
micro unit of Maxwell fluid in the coordinate systems is shown
in Fig. 1. The (x, y, z) is the fixed coordinate system for the
calculation, the ( x c, y c, z c ) is the reference coordinate system
and the (1, 2, 3) is the following coordinate system fixed on the
micro unit. Z ijc is defined as the angular velocity of the micro
unit to the following coordinate system, Z ij is defined as the
angular velocity of the following coordinate system to the
reference coordinate system. Then, the angular velocity of the
micro unit is Z ij Z ijc  Z ij .
y 2
yc
3

increases because of the radical movement of the axle center. 1

The effect of the first normal stress difference can not be Z
omitted, but it is far less than the extrusion effect caused by the xc
dynamic load.
Keywords: Maxwell fluid, first normal stress difference, x
journal bearing zc
z
INTRODUCTION Fig. 1 Maxwell micro unit in the coordinate systems
Some research results[1] have proved that lubricants which
contain sufficient additives of high molecular weight can The following coordinate system (1, 2, 3) is a rigid Cartisian
increase the viscosity and the load capacity. This kind of coordinate system [15]. The origin of coordinate is fixed on the
lubricants have properties of the non-Newtonian fluid. A lot of Maxwell micro unit, it moves and rotates with the movement of
theoretical analyses have been made on the non-Newtonian the unit. The direction of the following coordinate is always
fluid lubrication in journal bearings[2~8], but the normal stress same to that of the tensor of the shear rate. With Prager’s theory,
effect has not been considerated in these analyses. the material time derivative should be expressed by the
For most of non-Newtonian fluids, the viscosity is affected Rivlin-Ericksen shearing rate and the Jaumann covariant
by the shearing rate. The effects of the shearing rate and the derivative. In the following coordinate system, the new tensor
fluid dynamic parameters to the viscosity have already been dJij / dt is expressed by the partial derivative shown as Eq. (2)
illustrated [9,10]. Also, another research results [7,11-13] have and can be used to random coordinate system. vD is the velocity
proved that the effects of the normal stress in some lubricants
are obviously increased, and the first normal stress difference on the direction xD .
is far more than the second normal stress difference. In this d w wJ (2)
paper, the expression of the first normal stress difference of Jij Jij  ij vD  ZiD JDj  JiD ZDj
dt wt wxD
Maxwell fluid is derived and the lubrication equation which When the lubricant is an ideal viscosity fluid, the direction
contains the effect of the normal stress is established. of the principal axis of the following coordinate system is same
Numerical method is used to calculate the results in finite to the axis of the principal stress tensor in the reference
width journal bearing lubrication. coordinate system, that means Z 0 , and the first normal
stress difference is also zero.
1. Expression of the first normal stress The material time derivative in Eq. (2) is defined in the
The normal stress is derived from Rivilin-Ericksen [14] following coordinate system. So, if the material time derivative
flow Eq. (1). is in the reference coordinate, the angular movement of the
D Jij (1) micro unit to the following coordinate system should be added.
W ij  pG ij  2D 1Jij  2D 2  4D 3JiD JDj
Dt d w
In Eq. (1), p is the pressure, W ij is the tensor of the shear Jij Jij (1,2,3)  Z icD JDj  JiD Z Dc j (3)
dt wt
stress, Jij is the tensor of the shear rate, D 1 is the fluid
w
viscosity, D 2 ˈ D 3 are the second order coefficience of the W ij  pG ij  2D 1Jij  2D 2 [ Jij (1,2,3)  ZiD JDj (4)
wt
viscoelastic fluid, D Jij /D t is the material time derivative.  JiD ZDj ]  4D 3JiD JDj
Equation (1) is applicable for random coordinate system. In From the Eq. (4), the normal stress is expressed as Eq. (5):

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

w The method to calculate the differential viscosity is

W DD  pG DD  2D1JDD  2D 2 [ JDD (5) introduced in reference [9]. Over relaxation method is used to
wt
solve Eq. (12), some constant parameters are shown in table 1.
 ZDD JDD  JDD ZDD ]  4D 3JDD JDD
In Eq. (5), D1 is the viscosity of the fluid. The second item Table 1 Parameters used in calculation
on the right of the equation shows the effect of the viscosity to parameter implication value
the normal stress, the third item shows the effect of the first name
normal stress difference. D2 is expressed as Eq. (6). Geometric D Journal diameter 20 cm
parameters L Journal width 10 cm
D2 2OK (6)
C Bearing clearance 0.2 mm
The fourth item shows the effect of the second normal stress
difference. It is commonly recognized that the second normal H Eccentricity ratio 0.5
stress difference is far less than the first normal stress difference, Material K0 Initial viscosity 24.8 cP
the fourth item is omitted and the expression of the first normal parameters ] Damping ratio 0.5
stress difference is expressed as Eq. (7). Zn Natural frequency 5000 Hz

wu wv wa wa wu wv
W xx  W yy 2Kˆ(  )  2OKˆ[ x  y  2(Z xx  Z yy )] (7)
wy wx wy wx wy wx 3 Numerical results in steady laminar lubrication
In journal bearing lubrication, the thickness of the lubricant
Assuming that the temperature is constant, the first normal
film is far less than other dimensions. Compared with the
stress difference of Maxwell fluid will affect the pressure profile
dominating velocity u and velocity gradient wu , wv and wa y and the load capacity. The pressure of the intermediate
wy wx wx cross-section at L/2 is shown in Fig. 2. p 0 is the dimensionless
are omitted in Eq. (7), the first normal stress difference is pressure of the lubricant which is not affected by the first
simplified to Eq. (8). normal stress difference, p1 is the dimensionless pressure
wu wa wu
W xx  W yy 2Kˆ ( O x  2OZ ) (8) which is under the effect of the first normal stress difference.
wy wy wy M is the angular location along the circumference of bearing.
In Eq. (8), O is the relaxation time, Z is the angular velocity
Corresponding load capacities are shown in Fig. 3.
of the following coordinate to the reference coordinate. Z is
0.12 _
caused by the elasticity of Maxwell fluid and is considered as p1

the natural frequency Zn . Relaxation time O 2] / Z n , ] is the _

p0

damping ratio of the Maxwell element [9]. Thus, the first 0.08

normal stress difference is specified as Eq. (9).

wu wa wu
_
p

W W 2Kˆ (  O x  2OZ ) (9)

wy wy wy
xx yy n
0.04

Generally, the definition of the first normal stress difference is

W xx  W yy { X1 (J ) ˜ J 2 (10)
X1 (J ) is the function of the first normal stress difference,
0
0 80 160 240 320 400
M (DEG)

with Eq. (9) and (10), the X1 (J ) is expressed as Eq. (11). Fig. 2 Effect of the first normal stress difference to the
2Kˆ wa pressure profile.
X1 (J ) (J  O x  2OZ nJ ) (11)
J 2 wy 0.4

0.35

2. Numerical calculation of the journal bearing

lubrication 0.3
W
_

In this section, numerical method is used to acquire the

lubrication results. Based on the results, the effects of the first 0.25
W1

normal stress difference to the pressure profile and the load W2

0.2
capacity are analyzed. The dimensionless equation used in Wn

calculation is shown as Eq. (12). 0.15

w2 p 2 wp wh 3 w p
2 200 600 1000 1400 1800

h3  3h  h : (r.p.m)

wM 2 wM wM wz 2 Fig. 3 Effect of the first normal stress difference to the

(12) load capacity
wh w h
 12 M 1  2OZ n 
wM ³0
3M vdy
wM In Fig. 3, W1 is the dimensionless load capacity under the
D w h effect of the first normal stress difference, W2 is the
12 M 1  2OZ n  ³ v d y dimensionless load capacity not considering the effect of the
L wz 0 first normal stress difference. Wn is the dimensionless load
In Eq. (12), the dimensionless parameters are illustrated as capacity of Newtonian fluid. From the results shown in Fig. 2
follows. and Fig. 3, some conclusions can be drawn. The pressure and
h Ch , z Lz , x DM / 2 , y Cy , the load capacity of Maxwell lubricant increase under the effect
p pZD 2K (2C 2 ) , X1 KX1 / Z , M Kˆ / K 0 , of the normal stress. But the increment is not obvious. For
v Uv , U DZ / 2 . example, the increment of the load capacity at the working
speed 1000 r.p.m. is only 2.3%. So, the effect of the normal

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 Normal Stress Effects in Journal Bearing Lubrication with Maxwell Fluid
stress can be omitted in lubrication calculation. In real
lubrication, because the effect of the first normal stress
difference is to increase the load capacity, omitting the first
normal stress difference is also a safe design. From Fig. 3, we
may also find that the variation of the load capacity is caused
principally by the shearing rate. The reason is that the
differential viscosity is affected by the shearing rate greatly. In
Maxwell fluid lubrication, the variation of the viscosity is the
key factor to affect the lubrication effect, and the effect of the
first normal stress difference is to increase the load capacity in
small variation range.
The effect of the first normal stress difference is constrained
by two factors. One of the factors is the material dynamic
property. The first normal stress difference is determined by the
natural frequency and the damping ratio of Maxwell fluid, and it
is also affected by the shearing rate. The amplitude frequency
response of the first normal stress difference is shown in Fig. 4.
In Fig. 4, the first normal stress difference of Maxwell fluid
varies as the shearing frequency increases. Its amplitude reaches
the maximum value at the natural frequency. Different material
parameters, such as the damping ratios, affect the amplitude of
the first normal stress difference and its rate of change.
Choosing suitable lubricant may increase the effect of the first
normal stress difference and improve the lubrication effects.
The other factor is the normal velocity of the lubricant film.
In Eq. (12), the function of the first normal stress difference is
constrained by the normal velocity of the lubricant. Because the
normal velocity is small, it weakens the effect of the first normal
stress difference. For example, under the parameters used in
calculation, the value of the dimensionless first normal stress
difference is -36, but the calculated normal velocity v is no
more than 0.0021, so the effect of the second item on the right
side of the Eq. (12) is far less than the geometric effect.
100
80
Magnitude (dB)
] = 0.1
60
] = 0.6
]=1
40
102 103 104 105
Frequency (rad/sec)
Fig. 4 Amplitude frequency response of the first normal
stress difference
The calculated result is agreed with the theoretical analysis.
Generally, under the condition of the steady laminar lubrication,
the velocity u along the circumference direction is principal, the
velocity w along the bearing width direction is secondary, the
normal velocity v is far less than them. In the derivation of the
lubrication equation, it is commonly considered that the normal
velocity and the velocity gradient is far less than those in the
other two directions. So, either in numerical calculation or in
theoretical analysis, omitting the first normal stress difference is
appropriate.
If the normal velocity is large enough that, the effect of the
first normal stress difference should be considered in the
numerical calculation. The pressure profiles of Maxwell fluid
under different dimensionless normal velocities are shown in
Fig. 5. With the increment of the normal velocity, the effect of
the first normal stress difference to the pressure profile become
more and more important. When the dimensionless normal
stress is equal to 1% of the journal surface velocity, v 0.01 ,
233
the increment of the pressure peak is about 5%.
1
v = 0.1
v = 0.01
v =0
_
p
0.5
0
0
M
180
(DEG)
360
Fig. 5 Effect of the normal stress difference to the pressure
profile
Normal velocity may be considered under some condition in
the true journal bearing lubrication. For example, under the
condition of the dynamic load, the normal velocity of the
lubricant is increased by the axle center movement. The effect
of the normal velocity to the lubrication result should be
considered and is analyzed as follows.
4. Conclusions
From the Rivlin-Ericksen equation and the momentum
equation, integrated with the coordinates conversion, the
expression of the first normal stress difference is derived. The
function of the first normal stress difference is not only related
with the Maxwell fluid material parameters, but also is affected
by the shearing frequency.
In finite width journal bearing lubrication, under the steady
laminar flow, the pressure and the load capacity are increased by
the effect of the first normal stress difference. But constrained
by the normal velocity, the effect of the first normal stress
difference is not so obvious. Considered both from the
theoretical calculation and from the true application, the first
normal stress difference is omitted while the differential
viscosity is the principal factor that determines the lubrication
results.
ACKNOWLEDGEMENTS
Project (No. 50505020) supported by NSFC, and the Project
(2007CB707702) supported by National Basic Research
Program of China are thanked.
References
[1] Shankar P.M., Bhawani R. Viscoelastic effect in slider
bearing lubrication. Wear, 54, 1979, pp: 165-173.
[2] Dubois G. B., Ocvirk F.W. Analytical derivation and
experiment evaluation of short bearing approximation for
full journal bearings. Nat. Adv. Comm. Aero., Washington,
1953, Rep. 1157.
[3] Dubois G. B., Ocvirk F.W., Wehe R.L., Study of effect of a
non-newtonian oil on friction and eccentricity ratio of a
plain journal bearing. Nat. Aero. And Space Admin.
Washington, 1960, T.N.D-247
[4] Horowitz H.H., The calculated journal-bearing performance
of polymer-thickened lubricants, ASLE, Trans. 3,1960, pp.
124
[5] John Vlachopoulos ˈ The Role of Rheology in Polymer
Extrusion, “New Technologies for Extrusion” conference,
Milan, Italy, Nov. 20, 2003.
[6] Ferry, J.D., Mechanical Properties of Substances of High
Molecular Weight., J. Am. Chem. Soc.,72,1950, pp.3746
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
[7] Tanner,R.I. Stady of anosothermal short journal bearings
with non-newtonian lubricants. J. Appl. Mech. 1965, 12:
781-787.
[8] Rajalingham C., Prabhu B.S. The steady state performance
of a hydrodynamic journal bearing with a non newtonian
lubricant. Wear. 1979. (55): 107-120.
[9] Chen H.S., Chen D.R. Frequency-domain analysis of
Maxwell fluid lubrication in journal bearings, 2004,
preprint.
[10]Swamy, S.T. Caculated load capacity of non-newtonian
lubricants in finite width journal bearings. Wear, 1975,
31:.277-285.
234
[11]Christensen R.M., Saibel E.A. Normal stress effects in
viscoelastic fluid lubrication. Journal of Non-Newtonian
fluid mech. 1980, 7, pp: 63-75.
Harnoy A. Analysis of stress relaxation in elasitco-viscous
fluid lubrication of journal bearing. J. of Lubr. Tech. 1978,
100, pp: 287-291.
[12]Becker E. Simple non-Newtonian fluid flows. Advances in
Applied Mech. 1980, 20, pp 212-226.
[13]Rivlin R.S. The hydrodynamics of non-newtonian fluids.
Proc. Roy. Soc. A, 1948, 193, pp: 261-280.
[14]Chen Darong, An universal form of Reynolds equation
suited to non-Newtonian medium. Chinese Journal of
Mechanical Engineeringˈ1991(2), pp 21-32.
[15]Pinkus O. Theory of hydrodynamic lubrication, New York :
McGraw-Hill Book Co., Inc., 1961.
 Analysis of Bearing Outer Ring Creep with FEM

Analysis of Bearing Outer Ring Creep with FEM

Jianjun Zhan* (NSK Ltd.)

Kinji Yukawa (NSK Ltd.), Hiromichi Takemura (NSK Ltd.)

Extended Abstract

237
Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

238
 Effects of Content of MoS2 on Sliding Tribological Behavior of Copper-Based Powder Metallurgy Materials under Electrical Current

Effects of Content of MoS2 on Sliding Tribological Behavior of Copper-Based Powder

Metallurgy Materials under Electrical Current
Shangguan Bao1,2, Zhang Yongzhen2 , Xing Jiandong1, Sun Lemin1, Hu Daochun2, Qiu Ming2

1. School of Materials Science and Engineering, Xi’an Jiaotong University, Xi’an 710049, PR China
2. School of Materials Science and Engineering, Henan University of Science and Technology, Luoyang 471039, China
(Extended Abstract)

ABSTRACT 2.2 Wear test apparatus

Cu-0%,10%,20%MoS2 composite materials were prepared
by means of powder metallurgy. By using self-made pin-disk
tester, the electribological behavior of pin were investigated
against QCr0.5 bronze as disk under electrical sliding. The
experimental results indicate that friction coefficient of the Cu-
MoS2 powder metallurgy materialˋbronze pair and wear rates
of MoS2 powder metallurgy material are greatly decreased
because of MoS2 power added. Under conditions of the
electrical current, wear rates are alike between Cu-10%MoS2
and Cu-20%MoS2 composite materials
Keywords: tribological behavior, Electrical current,
MoS2, Powder metallurgy material.
The current sliding wear tests were carried out on HST-100
pin-on-disk electrical wear tester, the wear test apparatus is
shown in Fig 1. The pins samples were Cu-based powder
metallurgy material. Chromium bronze disk (china standard
QCr0.5) with a diameter of 180 mm served as counterpart.
All tests were carried out in lab environment .The electrical
currents of 25,50,75 and 100A were selected, sliding speed
were 10ˈ15ˈ20ˈ25ˈ30 m/sˈthe normal load was 40 N, the
duration of test run was 30 seconds.

1.INTRODUCTION
Contact strips used in the electrical railways is quite
important collecting electrical materials which transmit
electrical power from the wire to the electrical locomotive to
insure the electrical locomotive run safety, it is necessary for
contact strips to possess not only a good mechanical property,
tribological behavior ˈ but also an excellent electrical Fig.1 Schematic diagram of the wear test apparatus
conductivity[1-2].Service materials of contact strips are Cu-based 1-disk, 2-pin, 3- guide sleeve, 4- load shaft
powder metallurgy material, Cu-impregnated carbon material
and C-C composite material. With the technological
3. RESULTS AND DISCUSSION
developments of electric railways, speedup of train and
reduction of cost to maintain the facilities are strongly required, Fig.2 shows the relation between the electrical current and
it is necessary to decrease the wear of wire and contact strips. friction coefficient of the powder metallurgy materials under an
The addition of solid lubricants such as MoS2 to materials is applied load of 40N. It is noted that the friction coefficient of
used to improve the friction and wear properties of powder cu-based powder metallurgy material decreases with increasing
metallurgy material[3]. The tribological behavior of powder the electrical current. Adding 10% or 20%t MoS2, the friction
metallurgy material containing MoS2 were investigated[4-8], but coefficient of the materials are lower than that of no MoS2 and
the tribological behavior of the materials containing higher are changed within a narrow range with increasing the electrical
MoS2 under electrical sliding were less reported. In this paper, current.
the friction and wear of Cu-based powder metallurgy material
which contains 10% and 20% MoS2 as pin were investigated 
IULFWLRQFRHIILFLHQW

against QCr0.5 bronze as disk under electrical sliding.  


2. EXPERIMENTAL  

2.1 Materials
The specimens containing MoS2 solid lubricant were 
prepared by means of powder metallurgy. The composition of 
specimens contained approximately 10wt% (or 20wt %)MoS2,

66wt% (or 76wt%) copper powder, other components were
      
ferrum, tin, nickel, lead power. Grain sizes of electrolytic
HOHFWULFDOFXUUHQW$
copper powder and ferrum powder, tin powder, nickel powder,
lead powder were 45μm , MoS2 powders were 5μm. The Fig. 2 Influence of electrical current on the friction coefficient
powders were mixed by machine for 30 min, the mixture was of different MoS2 contents powder- metallurgy materials
compacted in a steel die under pressure of 400MPa at room
temperature. The green compacts buried in carbon powder were Fig.3 shows the relation between the electrical current and
then sintered for 1 h at 1093K. Pin specimens were machined by wear rate of the powder- metallurgy materials under an applied
sintered composite as Ü10mm × 22mm. load of 40N. It is noted that the wear rate of different MoS2
contain materials is different. As the electrical current increased,
Corresponding author.Tel.:+86 379 4231723 wear rate of containing 10% and 20%MoS2 composite material
E-mail addresses:shangguanbao1963@163.com(S.G.B) are slowly increased and wear rate of no containing MoS2

239
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

materials is obviously increased , wear rate of no containing Arc discharge, which were generated between the pins and
MoS2 materials is obvious higher than that of containing MoS2 the disk when the contact broke, made a significant contribution
materials at the same electrical current, especially at high to the wear rate of the material. The temperature of arc plasma at
current. electrode was known to reach 3500–4000 K, therefore, around
the spot where arc was discharged, the temperatures of the
 surface and the subsurface increased promptly[9], the material
could be melted, which resulted in severe arc erosion . Adhesive
ZHDUUDWHPJh P

  wear, abrasive wear and arc erosion were the dominant
 mechanisms during the electrical sliding processes[10]. As the
  electrical current increases, because of roughness, the
probability of arc discharge which generates between the pins
 and the disk increases, the wear rate of the materials increases
because of the arc discharge (Fig5)



      
HOHFWULFDOFXUUHQW$

Fig.3 Influence of electrical current on the wear rate of different

MoS2 contents powder- metallurgy materials

Fig 4 is SEM morphologies of worn surfaces of Cu-0% and

Cu-10%MoS2 powder- metallurgy Materials, it is seen that the
worn surface became smooth because MoS2 powder as lubricant
was added. As a result of smooth surface, probability of arc
discharge generated between the pins and the disk were lower,
so friction coefficient and wear rate of 10% or 20% MoS2
powder- metallurgy materials are smaller than material without
MoS2 as the sliding speed and electrical current increased.
Fig. 5 SEM morphologies of wear surfaces Cu-10% MoS2 powder-
metallurgy Materials under electrical current, 100A, 30m/s,40N
4.CONCLUSIONS
Based on the laboratory tests, our investigation on the sliding
wear behavior of powder metallurgy materials against the
chromium bronze under electrical current has led to the
following conclusions:
1. Because of MoS2 power added, the friction coefficient of
the Cu- MoS2 powder metallurgy materialˋbronze pair and
wear rates of MoS2 powder metallurgy material are greatly
decreased.
2. The friction coefficient and wear rate of the materials are
alike between Cu-10%MoS2 and Cu-20% MoS2 composite
materials under electrical current.

ACKNOWLEDGEMENTS
a) 0%MoS2, 100A,20Nˈ10m/s
The authors gratefully acknowledge the National Natural
Science Foundation of China (Grant No.50432020,
50775066) and the National 973Project (2007CB607603).

REFERENCES
[1] Da Hai He, Rafael R.Manory ,Norm Grady, 1998, “Wear of
railway contact wires against current collector materials,”
Wear,215,pp. 146-155.
[2] S.G. Jia , P. Liu. 2005, “Wear behavior of Cu–Ag–Cr alloy
wire under electrical sliding.” Materials Science and
Engineering A, 398,pp. 262–267.
[3] Chen Jie, Xiong Xiang, Yao Ping-ping,2003, “Application
and perspective of MoS2 in metallurgy power brake
materials for air plane” , Materials Science and Engineering
of Powder Metallargy,8(2),pp.141-146.
b) 10% MoS2,75A,40N,20m/s [4] Liu Rutie, Li Xibin. 2000, “Effects of MoS2 Addiction on
the Tribological Characteristics of Self – lubricating
Fig. 4 SEM morphologies of wear surfaces of different content
Nickel-base Material.” Power Metallargy Technology,
MoS2 powder- metallurgy Materials
18(1),pp.31-34.

240
 Effects of Content of MoS2 on Sliding Tribological Behavior of Copper-Based Powder Metallurgy Materials under Electrical Current
[5] XU Shao-fan, Jin Niu ,Wang Cheng-fu .2003, “Effects of
MoS2 on Structure and Properties of copper-graphite
composites.” Mining and Metallurgical Engineering, 23(3),
pp. 54-56.
[6] S.Dhanasekaran, R.Gnanamoorthy, 2007, “Abrasive wear
behavior of sintered steels prepared with MoS2 addition,”
Wear, 262, pp. 617-623.
[7] Surapol Raadnui, Sithipong Mahathanabodee, Ruangdaj
Tongsri, 2008, “Tribological behaviour of sintered 316L
stainless steel impregnated with MoS2 plain bearing,” Wear,
265, pp .546-553.
241
[8] Yoshitada. Watanabe, 2008, “High-speed sliding
characteristics of Cu–Sn-based composite materials
containing lamellar solid lubricants by contact resistance
studies,” Wear, 264, pp. 624-631.
[9] Shunichi Kubo,Koji Kato, 1998, “Effect of arc discharge on
wear rate of Cu-impregnated carbon strip in unlubricated
sliding against Cu trolley under electric current,” Wear,
216, pp. 172-178.
[10] J.P. Tu, W.X. Qi, Y.Z. Yang,2002, “Effect of aging
treatment on the electrical sliding wear behavior of
Cu–Cr–Zr alloy,” Wear, 249, pp. 1021-1027.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Research on Frictional Wear Properties of C/C Composite with Electric Current
L. X. Jia 1-3, Y. Z. Zhang 2, J. Li1, L. M. Sun 2, Y. W. Zhao2
1
Wuhan Research Institute of Materials Protection, Wuhan, Hubei 430030, China
2
The Key Laboratory of Materials Tribology, Henan University of Science & Technology,
Luoyang, Henan 471003, China
3
Department of Mechanical & electrical Engineering, Luoyang Institute of Science &Technology,
Luoyang, Henan 471023, China
ABSTRACT
Using C/C composite and chrome bronze as a friction couple,
the frictional wear properties of C/C composite with electric
current is studied in this paper. The results have shown that
current, velocity and load are important factors to affect the
frictional wear properties of C/C composite with electric current.
The coefficient of friction and the wear rate increase with the
increase of velocity when the electric current is constant of
100A. The coefficient of friction increases but the wear rate
decreases with the increase of load when the electric current is
constant at 100A. The coefficient of friction decreases but the
wear rate increases with the increase of current when the load is
constant of 80N. Comparing with no electric current, the
coefficient of friction of C/C composite with electric current
decreases but the wear rate of that increases obviously. The
wear mechanism of C/C composite is mainly of electric wear
caused by arc erosion under the condition of current-carrying.
Keywords: C/C composite, Frictional wear with electric
current, Coefficient of friction, Wear rate, Wear mechanism
INTRODUCTION
Friction wear with electric current is the friction wear
behavior of friction couples in electric field on condition that
electric current is conducting. One of it’s main research
background is the electric power transmission system of
electrical locomotives, including the electrical locomotives of
high-speed railway and the trolleybus of public transport in
cities[1~3].
Comparing with traditional friction couples, the contact
behavior of current-carrying friction couples is affected by the
action of electric field and arc due to the introduction of
electrical factor into tribology process. In the process of
frictional wear under the condition of current-carrying, the
electrical contact system and the frictional contact system
interact and inflence each other. But the whole system is not the
simple nestification of the two single systems.
Pantograph sliding plate is the key component of overhead
contact system of electrical locomotives. The quality of sliding
plate has an important effect on the current-carrying state of
electrical locomotives and the service life of overhead contact
system. The sliding plate should meet series of properties such
as: good electric conduction property, good antifriction property
and wear resistance property, lower damage to contact wire,
higher impact resistance and ductility, light mass and low price,
and so on. C/C composite is suitable for making pantograph
sliding plate owe to it’s advantages of low density, good wear
resistance(low coefficient of friction), good electrical and
thermal conductivity and good mechanical properties under
high temperature,etc[4~6].
Corresponding author: Li-xiao Jia.
Tel: +86-13849985157.
E-mail: jialx2001@163.com
242
Therefore, using C/C composite and chrome bronze as a
friction couple, the friction wear properties of C/C composite
with electric current is studied in this paper by HST-100 friction
wear testing machine, imitating the work condition of the
sliding plate and contacting wire in the overhead contact system
of electrical locomotives.
1. TEST METHOD
1.1 FRICTION WEAR TEST WITH ELETRIC CURRENT
The trial set is HST-100 friction wear testing machine with
high speed and electric current. This machine is a kind of
friction wear testing machine with high speed, using pin and
disc as samples. The sizes of pin sample and disc sample are
9×14×20 mm3 and 300×10mm2, respectively. And the
materials of pin sample and disc sample used in this experiment
were C/C composite (provided by podwer metallurgical
laboratory of ZhongNan university) and chrome bronze
(QCr0.5), respectively. Pre-grinding is essentially carried out
before each test in order to assure that the pin sample contact
with disc sample closely during the whole experiment. After
each test, the samples were cleaned with alcohol and dried with
hair dryer, and then weight them by BS210 electronic balance
with the precision of 0.0001g. Finally, the wear rate of samples
defined by weight loss after sliding ten thousand meters need to
be calculate. The moment of friction collected by pressure
sensor and data acquisition system was input into computer
during the whole trial. And after that, the coefficient of friction
was calculated using the following equation:
F
P
N
where the P is coefficient of friction, F is frictional force, and
the N is normal force applied to pin samples.
1.2 MICRO-ANALYSIS TO WEAR SURFACE
In order to analyze the influence of electric current, velocity
and load on the way and mechanism of frictional wear, the wear
appearance of C/C composite was observed with JSM-5610
scanning electronic microscope.
2. TEST RESULT
2.1 THE EFFECTS OF VELOCITY AND LOAD ON
FRICTIONAL WEAR PROPERTIES
The effects of velocity and load on the coefficient of friction
and wear rate of C/C composite on condition that current is
constant of 100A were shown in Fig.1 and Fig.2, respectively.
From Fig.1, it can be seen that the coefficient of friction and
wear rate of C/C composite present a increaser trend with the
increase of velocities under the condition of frictional wear with
electric current. Moreover, the coefficient of friction and wear
rate increase slowly when the velocity is low but increase
significantly when the velocity is high. The critical value of
velocity is about 30m/s. From Fig.2, it can be seen that the
coefficient of friction of C/C composite increases but the wear
rate decreases with the increase of load under the condition of
 Research on Frictional Wear Properties of C/C Composite with Electric Current

ZHDUUDWHJNP
 

FRHIILFLHQW
frictional wear with electric current. As shown in Fig.2(a), the

IULFDWLRQ


coefficient of friction of C/C composite is approximately 
proportional to the load applied to the pin sample. Whereas the 

wear rate of C/C composite decreases rapidly at the early stage
 
of experiment and slowly at the latter stage of experiment. The
           
wear rate of C/C composite is also approximately proportional FXUUHQW$ FXUUHQW
to the load when the load is over 70N.
Fig.4 the relationship of coefficient and wear rate to current


ZHDUUDWHJNP

 3. DISCUSSION
FRHIILFLHQW


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The reason for the results indicated in Fig.1 is that friction

 

velocity influents the degree of arc starting evidently under the
  condition of frictional wear with electric current. When the

 friction velocity is faster, the contant status between the pin
    sample and the disc simple gets worse even separated. Thus arc
   
YHORFLW\˄PV˅
YHORFLW\˄PV is formed on the contact interface. The intensive arc was
Fig.1 the effect of velocity on coefficient of friction and wear
observed during the trial. And the higher the velocity is, the
greater the intensity and frequency of arc are (see Fig.5). The
deposit carbon and carbon fiber of C/C composite is ablated and
evaporated generously with the effect of the strong arc. The
IULFDWLRQFRHIILFLHQW

 
ZHDUUDWHJNP

ablation and evaporation of carbon make the friction surface

  more irregular. Consequently, the frictional resistance increases.

 And the coefficient of friction becomes higher, too. The

 increase of arc intensity makes the aboation degree and wear


rate increase also.

      
      
Fig. 2 the effect of load on coefficient of friction and wear rate
2.2 THE EFFECT OF ELECTRIC
FRICTIONAL WEAR PROPERTIES
Fig.3 shows the contrast of the frictional wear properties of
C/C composite when the test is conducted under the condition
of current-carrying with that of C/C composite when the test is
conducted under normal conditions. It is obvious that
contrasting with friction wear under normal conditions, the
coefficient of friction of C/C composite is lower but the wear
rate is higher under the condition of current-carrying. Further
more, the change tendency of coefficient of friction is similar
but that of wear rate is very different in the two different cases.
The wear rate of C/C composite with electric current decreases
but that of C/C composite without electric current increases
with the increase of the electric current value. The effects of the
magnitude of electric current value on the coefficient of friction
and wear rate of C/C composite when the load is constant of
80N were shown in Fig.4. From this draft it can be seen that the
coefficient of friction of C/C composite decreases rapidly but
the wear rate increases with the increase of the electric current
value.

ORDG1 ORDG˄1˅
CURRENT ON
100A-40N-30m/s 100A-40N-40m/s 100A-40N-50m/s
Fig.5 the arc strength comparison of friction couples at different velocities
Fig.2 shows that the heavier load makes the coefficient of
friction higher but the wear rate lower. The reason of this fact is
that the contact area between pin simple and disc sample is
enlarged when the load applied to the pin simple is heavier. And
so the intensity and frequency of arc is reduced. Therefore, the
degree of ablation and gasfication of the carbon in C/C
composite falls down. The carbon film at friction interface
becomes thiner because the ablation and gasfication is
decreased. And the self-lubricating effect of carbon is also
decreased. Consequently, the frictional resistance and
coefficient of friction increase. Moreover, the wear rate
decreases with the decrease of ablation degree.
The coefficient of friction of C/C composite with electric
current is lower than that of C/C composite without electric
current but the wear rate of C/C composite with electric current
is higher than that of C/C composite without electric current
(see Fig.3),because the carbon fibre is cut off by the shearing
effect of frictional force when the trial is conducted without
$  $
:HDUUDWHJ.P
)ULFDWLRQFRHIILFLHQW

$  $

electric current. During the wear process, the deposit carbon

 and broken fibre was left after the carbon fibre was cut off. And

 then the longitudinal fibres were drawn out of the matrix and
 
nicks were formed. Consequently, mechanical wear was



occurred because the form of nicks and the draw out of carbon
       fibres. Reversely, the presence of electric current accelerated the
     
/RDGLQJ1
/RDGLQJ1 evaporation of carbon in C/C composite under the condition of
current-carrying. The evaporated small carbon particles adhered
Fig. 3 the contrast of coefficient and wear rate with and withnot current to the indentations of pin and disc. Then, the smooth carbon
films were formed because pin and disc press each other by the

243
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
function of load. The carbon films has self-lubrication effect
and the self-lubrication effect makes coefficient of friction
decrease. Further more, the electric current can improve the
degree of ablation and evaporation. This fact will add electrical
wear to C/C composite beside mechanical wear. Thus the wear
rate of C/C composite increases.
As shown in Fig.4, the coefficient of friction of C/C
composite decreases but the wear rate of that increases with the
increase of electric current. This fact may be caused arc
generated at the interface between pin and disk samples. The
energy of arc enhances continuously when electric current
increases. The enhancement of arc energy improves the degree
of the ablation and erosion of C/C composite. Thus the wear rate
increases. A lot of carbon particles adhere to the wear surfaces
of pin and disk samples after evaporating caused by arc effect.
And then the compact carbon films are formed by the press of
load. The carbon film can act as a lubricant so as to reduce
frictional resistance. Therefore, the coefficient of friction
decreases with the increase of electric current.
4. WEAR MECHANISM OF C/C COMPOSITE`
4.1 GENERATION OF ARC AND THE EFFECT OF ARC ON
WEAR PROCESS
Under the condition of friction wear with current-carrying,
poor contact may be appear in the course of sliding when load is
light or velocity is high because micro asperities are existed on
the surface of pin and disk samples. The contact area increases
gradually just at the beginning of that the pin sample is
separated from the disk sample. The electric resistance of the
contact area becomes greater and greater. And so the heat
emitted from the contact area becomes higher gradually.
Therefore, the temperature of contact points increases rapidly
and electrons are emitted. The electrons change into free eletron
and positive ion which can conduct electric after they strike
with the gas molecules at the space between pin and disk. Thus
gas discharge phenomenon is formed and this phenomenon is
called arc.
The deposit carbon and carbon fibres in C/C composite are
gasified due to the effect of arc. The C/C composite suffers from
arc erosion at different levels and ablation pits are left on wear
surface. The copper of disk sample adheres to the wear surface
and changes into small particles after gasifying and
condensating. The instantaneous high temperature caused by
arc makes the temperature gradient of samples to be increased.
The great temperature gradient induces heavy thermal stress and
the heavy thermal stress induces fractures formed in the matrix
of sample. The fractures extend and connect with each other
after they have been formed and eventually fatigue failure is
appeared in samples.
4.2 WEAR MECHANISM ANALYSIS
Fig.6 shows the wear surface feature of C/C composite with
and without electric current. From Fig.6 (a), it can be seen that
the wear surface of C/C composite is hackly when friction
experiment is conducted without electric current. The horizontal
carbon fibre was cut off by the shear effect of friction force and
the deposit carbon and broken carbon fibres were left in C/C
composite in the process of trial. The longitudinal carbon fibres
were drawn out of the matrix and the nicks were formed at wear
surface. This process is called of grain abrasive wear
mechanism. But from Fig.6 (b), it can be seen that the wear
surface of C/C composite is relatively smooth when friction
experiment is conducted with electric current. Along the
longitudinal carbon fibre, the deposit carbon and carbon fibres
in C/C composite were evaporated and gasified by the erosion
of arc. Thus holes were formed at these places. That is,
244
electrical wear mechanism is the main wear mechanism of C/C
composite. So the wear rate of C/C composite with electric
current is higher than that without electric current. The gasified
small carbon particles attached to the indentations of pin and
disk and change into carbon filmes throughing that pin sample
and disk sample press with each other by the effect of load. And
carbon films can be act as lubricants and lead the coefficient of
friction to decrease. These facts is consistent with the result in
Fig.3.
(a) 0A-120N-20m/s (b) 100A-120N-20m/s
Fig.6 the wear surface feature of C/C composite with and without electric current
The wear surface features of C/C composite with different
electric current are shown in Fig.7. The two pictures in Fig.7
indicate that under the condition of constant velocity and load,
there were carbon films, broken carbon fibres and a few small
holes caused by arc on the wear surface of C/C composite when
the electric current was low(Fig.7a). But there were carbon
films, big holes caused by arc and a few broken carbon fibres on
the wear surface of C/C composite when the electric current was
high(Fig.7b). The reason of this fact is that the arc energy
increases gradually with the increase of electric current
conducted by friction couples. The increased arc energy eroded
and ablated C/C composite pin sample and copper disk sample
intensively. Therefore, the wear rate of C/C composite increases
with the increase of electric current (see Fig.4b). A lot of carbon
particles distributed in the place between pin and disk after they
gasified on the effect of arc. Illuminated by arc light, fumes
were seen to disperse in atmosphere. And pungent odor was
smelled simultaneously. Carbon particles changed into compact
carbon films which had lubricating effect because pin and disk
press each other. The higher the electric current is, the more the
crabon films are. And so the coefficient of friction decreases
with the increase of electric current (see Fig. 4a).
(a) 40A-80N-20m/s (b) 160A-80N-20m/s
Fig.7 the wear surface feature of C/C composite with different electric current
Velocities affect the degree of arc-starting strongly when
friction experiment is carried out with current-carrying.
Therefore, velocities affect the wear mechanism strongly. Fig.8
shows the wear surface feature of C/C composite with different
velocities. It can be seen from the picture that the wear surface
of C/C composite is mainly composed of masses of carbon films
and a few small holes when velocity is low (Fig.8a). But the
wear surface of C/C composite is mainly composed of a few
 Research on Frictional Wear Properties of C/C Composite with Electric Current
carbon films and a lot of big holes when velocity is high
(Fig.8b). This fact indicates that the arc energy at high velocities
is more intensive than that at low velocities. The ablation effect
of arc makes the wear of C/C composite become more severe.
(a) 100A-40N-10m/s (b) 100A-40N-40m/s
Fig.8 the wear surface feature of C/C composite with different velocities
Loads affect the wear mechanism of C/C composite with
current-carrying, too. The contact state at heavy load is better
than that at light load and so the electric wear level is lower. As
shown in Fig.9, when load is light, arc is generated at the place
where pin is detached from disk on the effect of heat and electric
field. The arc eroded the surface of pin sample and gasified the
deposit carbon and carbon fibre on the wear surface so that
ablation holes were formed at the surface of C/C composite. The
ablation holes enlarged and deepened gradually due to the
ablation of arc periodically. So the contact area was diminished
and deeper holes were left at the surface of C/C composite. The
degree of electric wear is heavier. while the contact state
between pin and disk is improved when load is heavy.
Subsequently, the energy and frequency of arc were decreased
and the degree of electric wear is reduced. The ablation holes on
the wear surface were small and the wear rate was
correspondingly lower than that at heavy loads (see Fig. 2b).
(a) 100A-40N-40m/s (b) 100A-120N-40m/s
Fig.9 the wear surface feature of C/C composite with different loads
245
 As illustrated above, the wear mechanism of C/C
composite with electric current is mainly of electric wear
caused by arc erosion as compared with that without
electric current.
5. CONCLUSION
This paper studied the frictional wear properties and main
wear mechanism of C/C composite with electric current.
Conclusion can be drawn as follows:
(1) When the current is constant, the coefficient of friction and
wear rate of C/C composite increase with the increase of
velocity. And the frication coefficient increases but wear rate
decreases with the increase of load.
(2) When the load is constant, the coefficient of friction of C/C
composite decrease but wear rate increase with the increase of
current.
(3) Contrast with friction without current, the coefficient of
friction of C/C composite decreases obviously but the wear rate
increases evidently under the condition of friction with current.
(4) The wear mechanism of C/C composite is mainly of
electrical erosion caused by electric arc on the condition of
current-carrying.
ACKNOWLEDGEMENTS
This study was financially supportted by the National Natural
Science Fundation of China (No: 50432020 and 50775066) and
the National Basic Research Program of China (No.
2007CB607603) is gratefully acknowledged.
REFERENCES
[1] Yu, L., 2002, “Study on the Wear Mechanism of Au-Rare
Earth Alloy Wires,” Tribology, 22 (4), pp.282-285.
[2] Kubo, S., Kato, K., 1998, “Effect of arc discharge on wear
rate of Cu-impregnated carbon strip in unlubricated
sliding against Cu trolley under electric current,” Wear,
216(2), pp. 172-178.
[3] Nagasawa, H., Kato, K., 1998, “Wear mechanism of
copper alloy wire sliding against iron-base strip under
electric current ,” Wear, 216(2), pp. 179-183.
[4] ZHAO, J.G., etal., 2006, “The influence of thermal
gradient on pyrocarbon deposition of carbon/carbon
composites during the CVI process,” Carbon, 44(4), pp.
786 -791.
[5] Golecki, I., 1997, “Rapid vapor-phase densification of
refractory composites,” Materials Science and Engineering,
20(2), pp. 37-124.
[6] Savage, G., 1994, Carbon-carbon Composites, Chapman
˂ Hall Press, London.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Friction Behavior of C/C-SiC Braking Composites Fabricated by Warm

Compacted-in situ Reaction

Zhuan Li 1, Peng Xiao1, Xiang Xiong 1,2, Su-hua Zhu 2

1. State Key Laboratory of Powder Metallurgy, Central South University, Changsha 410083, China;
2. Hunan Boyun New Material Co., LTD, Changsha 410205, China

ABSTRACT compacted-in situ reacted process (WCISR) [6]. In comparison

C/C-SiC braking composites, based on reinforcement of to former routes, the WCISR exhibit many advantages, such as
carbon fiber and matrices of carbon and silicon carbide, were simple technology, large range choice of raw materials and low
fabricated by warm compacted-in situ reaction. Rules about the preparation cost. C/C-SiC braking composites fabricated by
influence of different component on the friction and wear WCISR have been applied on magnetic levitation vehicle,
characteristics of the C/C-SiC composites are ascertained. high-speed train, advanced car and so on.
There is a best volume fraction of carbon fiber to improve the The friction and wear of ceramic materials is a complicated
composites tribological performance. As hard particles, the SiC topic and involves several variables [13]. Since the volume
has the function formation of friction film, which is in favor of fraction of component affect the mechanical properties of the
increasing the coefficients of friction (COF) and decreasing the composite, they certainly influence its tribological properties.
wear rate. The resin carbon plays the role of enhancing the COF, Although some researchers investigated the friction and wear of
but they are easy to be cut and increase the wear rate. The C/C-SiC braking composites, most of their studies were
graphite plays the lubrication function, and right volume performed with the composites fabricated by CVI and RMI. In
content of graphite is helpful to forming friction film to reduce this study, C/C-SiC braking composites fabricated with WCISR
the wear rate. The COF and the wear rate of the C/C-SiC were tested against steel disks to investigate their wear
braking composites fabricated by the warm compacted-in situ mechanisms and the effect of different volume fractions of
reaction can reach the maximum and the minimun value of 0.44 component on the friction and wear.
and 1.1m/cycle respectively.
Keywords: C/C-SiC; Tribology; Carbon; Brake materials 1. EXPERIMENT
1.1 Materials processing
Table 1 shows the compositions of samples used in this
INTRODUCTION
study. The diameters and lengths of the T700 carbon fiber used
C/C–SiC composites, carbon fiber reinforced carbon and in this study were 7 m and 3-10 mm, respectively, according to
SiC matrices, have been developed for their use as braking information supplied by the Toray Corp.of Japan. Matrices were
materials since the end of 20 century [1-4]. It is reported that originated from graphite powders (grain size 40-50m),
they are promising candidates for advanced braking system [2]. phenolic resin, agglutinants and Si powders (grain size
In comparison to grey cast iron or carbon/carbon, C/C–SiC 10-20m) containing 99.3 mass% Si. WCISR was based on four
braking composites exhibit high COF, extremely low wear rates, steps (as shown in Fig.1). Firstly, these materials were mixed in
and high thermal shock resistance, especially strong a fiber-mixing machine. Secondly, the manufacture of C/C-Si
environmental adaptability. Some countries, such as Germany, green preforms at moderate temperature and pressure. Thirdly, a
America, China and France have launched their theoretic and subsequent carbonization of the green preforms at temperature
applied research gradually [1, 5-7]. For example, researchers of between 800ć and 1100ć, and phenolic resin transformed to
Stuttgart University and German Aerospace Center (DLR) have resin carbon as parts of carbon matrices. Finally, the C/C-Si
applied C/C-SiC composites to friction field since the Middle of
green performs had a in-situ reaction between 1500ć and
1990s, and have developed C/C-SiC braking lining for 911
Turbo of Porsche. 1750ć during high temperature treatment (HTT). Thereby, the
Nowadays, the main preparation methods of C/C-SiC Si reacted with the carbon matrices and then formed SiC matrix.
composites include: (1) a gas phase route, also refer to as The density of the resulted C/C–SiC was about 2.0g/cm3, and
chemical vapor infiltration (CVI), (2) a liquid phase route the open porosity was about 10%.
including the polymer impregnation/pyrolysis (PIP), and liquid
silicon infiltration (LSI) also called (reactive) melt infiltration Table 1 Formulation of the investigated C/C-SiC materials
(RMI or MI) processes, as well as (3) a ceramic route, i.e. a
technique combining the impregnation of the reinforcement Sample Main components(Vol.%)
with a slurry and a sintering step at high temperature and C fiber SiC Graphite Resin
pressure, also refer to high pressure-sinter process (HP-Sinter). F1 10.5 37.0 22.1 20.8
Each method displays advantages and drawbacks. CVI and PIP F2 15.5 37.0 22.1 20.8
with a long preparation process are mainly used to manufacture F3 20.0 37.0 22.1 20.8
hot structural C/C-SiC composites for spaceflight [8-10]; RMI S1 15.5 30.0 22.1 20.8
has the best figuration and short fabrication period, but the cost S2 15.5 22.0 22.1 20.8
of preforms is high [11-12]. HP-Sinter does harm to carbon G1 15.5 10.0 52.5 10.7
fibers and further reduces the composites performance. G2 15.5 10.0 29.4 41.4
Therefore, preparation method has become an obstruction on the R1 15.5 20.0 29.4 26.8
development of C/C-SiC. In order to promote the application of R2 15.5 33.0 29.4 6.3
C/C-SiC braking composites, the authors invented warm

246
 Friction Behavior of C/C-SiC Braking Composites Fabricated by Warm Compacted-in situ Reaction

increasing SiC volume fraction. However, with the same volume

fraction of carbon fiber and graphite, the COF of the samples of
G2ǃ R1 and R2 doesn’t reduce as the resin carbon reduces but the
SiC increases, which means the resin carbon has the function of
enhancing COF. But the resin carbon has litter effect on the wear
rate. Although the SiC volume fraction of the samples of G1 and
G2 is the same, and the gross volume fraction of the graphite and
the resin carbon is also basic homology, the COF and the wear
rate of the two samples are different, which indicates although
both graphite and resin carbon are carbon matrics, they have
different function to the tribological characteristices of C/C-SiC
braking composites for their different crystal structure.
It can be seen from the Table 1 as well, the highest COF
(0.44) and the lowest wear rate 1.1 m/cycle were obtained for
F2. However, the G1with the lowest SiC volume fraction while
the highest graphite has the lowest COF (0.20), and its wear rate
is the highest that reaches as high as 5.7 m/cycle.

2.2 SEM micrographs of the worn surface

Fig.1 Schematic representation of the manufacturing process for
the C/C-SiC braking composites
1.2 Materials testing
Tribological behavior was studied by using a MM-1 000
friction testing machine with C/C-SiC composites as static plate
and corresponding steel disk as moving plate. The sizes of test
samples and corresponding steel disks are Ý75×Ý53×16mm. The
experimental conditions were: the braking linear speed was
20m/s, the rotary inertia was 1kg·cm·s2 and the braking pressure
was 50N·cm-2. Each wear test was repeated three times and the
average value were expressed as the results.
The wear rate of the test samples were measured with the
help of micrometer. The bulk density of the C/C-SiC composites
was measured by Archimedes method. The microstructure of the
composites, morphology of worn surfaces and wear debris were
examined using POLYVAR-MET optical microscopy (OM)ǃ
JSW-5600LV scanning electron microscope (SEM) equipped
with a VANTAGE energy dispersive analysis of X-ray (EDAX).
The components were analyzed by X-ray diffraction (XRD).
Under the same braking condition, different sample has
different worn surface appearances (as shown in Fig. 3). The
sample of F2 with lowest graphite volume have formed
complete friction film, and the F1 and F3 samples have similar
worn surface micrographs. The S1 and S2 samples form friction
film as well, but a small mount of carbon fiber reveal in the worn
surface. The friction film of G1 which has the highest graphite
volume is uneven, and the worn debris accumulate together on
the worn surface. Many plow furrow and much carbon fiber on
the G2 worn surface. Certain friction film on the R1, but the
friction film are incomplete and there are flaking phenomenon in
the middle of the worn surface, and the friction film of R2 are
not continuous.
In a word, the formation of friction film indicating different
components has different tribological mechanism during
braking, and the samples display different worn surface
appearances under the combined effect of their components.
(a) (b)

2. RESULTS
2.1 Friction and wear properties
Fig.2 shows the values of the average friction and wear
properties of the test samples. The samples of F1ǃF2 and F3
(c) (d)
show different tribological performance depending on the
carbon fiber volume fraction. It can be seen that the COF
increases at first but decreases at last with the increasing of the
carbon fiber volume fraction, while the wear rate has contrary
current. In comparison to the S2ǃS1 and F2 samples, the COF
enhance slightly but the wear rate reduce sharply with

R2 R2
(a) (b)
R1 R1
(e) (f)
G2 G2
G1 G1
S2 S2
S1 S1
F3 F3
F2 F2
F1 F1

0.00 0.10 0.20 0.30 0.40 0.50       

Coefficient of friction  Wear rate m/cycle

Fig.3 SEM pictures of the worn surfaces of C/C-SiC braking
Fig.2 Comparison of friction coefficients and wear rates of
composites with different components volume fraction for (a)
C/C-SiC with different components volume fraction
F2, (b) S2, (c) G1, (d) G2, (e) R1 and (f) R2

247
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
3. DISCUSSION
3.1 The influence of carbon fiber
It is reported that there has a best volume fraction of fiber in
the short fiber reinforced ceramic matrix composites
(SFRCMC). If the fiber volume is few, then the space between
each fiber will be large. The reinforcement of the fiber will be
very small and even not, and then the fiber instead become
impurity and decrease the composites performance. Some
researchers have pointed out the fiber can not strengthen the
matrix unless the space between each fiber is less than 0.8 mm
[14]. At the same time, the larger fiber volume is, the more
uniform distribution in the matrix and the reinforced effect is,
for braking composites the wear rate is lower. However, when
the fiber volume surpasses certain limit, the bonding strength
between the fiber and the matrices will decrease, then the fiber
will be easier to be stripped and drawn, which leads to the wear
rate increase.
3.2 The influence of SiC
The XRD results show that all the SiC in the samples are
face-centered cubic -SiC. -SiC has high hardness, good
wear-resistance, good corrosion-resistance and high heat
conduction. The SiC exists in the C/C-SiC composites as hard
particles, which has the function of increasing COF and fixing
the worn debris during the braking process. The graphite and
carbon fiber which have lower hardness and strength are tending
to be cut to worn debris. Some parts of the worn debris
accumulate in the worn surface, as the SEM micrographs of S1
worn surfaces shown in Fig. 4. These worn debris forms the
friction film and play the role of lubrication, then the composites
have better tribological performance [15].
The higher of the SiC volume fraction is, the smaller
interspace between hard particle is. Then the worn debris are
easier to form friction film on the worn surface, so the
tribological performance of S1 is better than S2. However, it
does not mean higher SiC volume fraction brings better
tribological characteristics. The former researches of the authors
show the best SiC volume fraction of C/C-SiC braking
composites is about 36~38%.
Fig.4 SEM micrographs of worn surfaces for sample S1
3.3 The influence of graphite
In contrast of the COF change curves between the G1 and
the G2 (as shown in the Fig.5). The curve of the G1 is steady and
without obvious vibration. However, the curve of the G2 has
great vibration correspondingly, and its average COF is obvious
higher than the G1’s. This indicates that the graphite, which with
layer structure and is easy to slip, has the lubrication function
and prevents vibrating during the braking process.
The graphite was added in the form of powers during the
composites preparation process, and it felt the other components
248
(a)
(b)
Fig.5 Friction coefficient curves of C/C-SiC composites with
different components for (a) Sample G1, (b) Sample G2
depends upon the Si-C reaction, so the felted strength is decided
by the volume of SiC. The volume fraction of graphite in G1 is
as high as 52.5% while SiC is only 10%. Although the graphite
worn debris is easy to form friction film, they can not form
complete friction film under the condition of the SiC is not much
enough. Then the felted intensity is low and the graphite is easy
to fall off during braking, so the tribological performance of G2
is better than G1.
3.4 The influence of resin carbon
The resin carbon is amorphous carbon and its crystal
structure is not complete [16]. Its degree of hardness and
strength are higher than that of the graphite. The main function
of resin carbon in C/C-SiC composites is integrating the other
components during the composites preparation process and
adjusting the COF.
In compare to the tribological properties and the worn
surface SEM pictures of the samples G2ǃR1 and R2, there has
not obvious changes of the COF when the SiC volume fraction
changes a lot, which indicates that the resin carbon has the
function of increasing COF. But the G2 has the largest wear rate,
while the R1 has the smallest wear rate. Under the condition of
lower SiC volume fraction, the harder resin carbon grain
enhances the friction force in the form of attrition, then the COF
does not decrease obviously because of the reducing of SiC.
4. CONCLUSIONS
Generalized analysis about the tribological properties of all
the samples, it is obvious that there are a best volume fraction for
the carbon fiber to improving the tribological performance. The
SiC has the function to the formation of friction film, which is in
favor of increasing the COF and decreasing the wear rate. The
resin carbon plays the role of integrating the other components
and enhancing the COF, but they are easy to be cut and increase
the wear rate. The graphite plays the lubrication function, and a
proper volume content of graphite is helpful to form friction film
to reduce the wear rate. At the same time, the friction film forms
 Friction Behavior of C/C-SiC Braking Composites Fabricated by Warm Compacted-in situ Reaction
on the C/C-SiC composites worn surface during braking is
propitious to reducing the wear rate.
The COF and the wear rate of the C/C-SiC braking
composites, which fabricated by the WCISR, can arrive the
maximum value of 0.44 and the minimun value 1.1m/cycle,
respectively.
ACKNOWLEDGEMENTS
The authors gratefully acknowledge the financial support
for this study provided by the National Hi-Tech Research
Development Program of China (2006AA03Z560) and
Excellent Youth of Hunan Province, China (06JJ1007).
REFERENCES
[1] Krenkel, W. Heidenreich, B. and Renz, R. 2002, “C/C-SiC
Composites for Advanced Friction Systems, ”Advanced
Engineering Materials, 4,8, pp.427-436.
[2] Gadow, R. and Kienzle, A. 1997, “Processing and
manufacturing of C-fibre reinforced SiC-composites for disk
brakes,” Proc 6th Int Symp on Ceramic Mat and Components
for Engines, Arita, Japan, pp. 412-418.
[3] Muhlratzer, A. and Karlsfeld. 1999, “Production, properties
and applications of ceramic matrix composites,” Ceramic
forum international, 76,4, pp.30-35.
[4] Developing ceramic materials for heave vehicle brake
rotors.Internet: http://www.trucks.doe.gov/research/materials
/CMC-brakes.html accessed February 18, 2002.
[5] Stadler, Z. Krnel, K. and Kosmac,T. 2007, “Friction behavior
of sintered metallic brake pads on a C/C-SiC composite brake
disc,” Journal of the European Ceramic Society. 27,2-3,
pp.1411-1417.
[6] Xiao, P. Xiong, X. Zhang, H. B. and Huang, B. Y. 2005,
“Progress and application of C/C-SiC ceramic braking
materials,” The Chinese Journal of Nonferrous Metals, 15,5,
pp.667-674. (in Chinese)
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[7] Heidenreich, B. Renz, R. and Krenkel, W. 2001, “Short fiber
reinforced CMC materials for high performance brakes,” 4th
International Conference on High Temperature Ceramic
Matrix Composites (HT-CMC4), Munich, Germany,
pp.68-74.
[8] Xu, Y.D.Cheng, L.F. and Zhang, L.T. 1999, “Carbon/silicon
carbide composites prepared by chemical vapor infiltration
combined with silicon melt infiltration,” Carbon, 37, 8,
pp.1179-1187.
[9] Krenkel, W. and Berndt, F. 2005, “C/C-SiC Composites for
space applications and advanced friction systems,” Materials
Science and Engineering A, 412, 1-2, pp.177-181.
[10] Gadow, R. 2000, “Current status and future prospects of
CMC brake composites and their manufacturing
technologies,” Ceramic Engineering and Society Proceeding,
21,3, pp.15-29.
[11] Krenkel, W. 200), “Cost effective processing of CMC
composites by melt infiltration (LSI-process),” Ceramic
engineering and science proceeding, 22,3, pp.443-454.
[12] Hillig,W. B. 1994, “Making ceramic composites by melt
infiltration,” American Ceramic Society Bulletin, 73,4,
pp.56-62.
[13] Osterle, W. KloS H. Urban, I. and Dmitriev, A.I. 2007,
“Towards a better understanding of brake friction materials,”
Wear, 263,7-12, pp.1189-1201.
[14] Naslain, R. 1999, “Processing of ceramic matrix
composites.” In: Niihara K, Nakano K, et al. edited High
temperature ceramic matrix composites ċ. CSJ Series
-Publications of the Ceramic Society of Japan. 3 pp.3-8.
[15] Osterle, W. and Urban, I.2004, “Friction layers and friction
films on PMC brake pads,” Wear 257, 1-2, pp.215–226.
[16] Li, Y. H. and Jing, X. L. 2007, “Pyrolysis and structure of
hyperbranched polyborate modified phenolic resins,” Carbon,
45,10, pp.1965-1971.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Tribological Properties of Hybrid Ag4SiW12O40 Nanoparticles Multilayer Films

Yanbao Guo*, Deguo Wang, Siwei Zhang, Yuqi Xiao

School of Mechanical and Electronic Engineering, China University of Petroleum,

18 Fu Xue road, Changping, Beijing, 102249

ABSTRACT within the pre-assembled MD films according to the literature

Inorganic–organic hybrid nanoparticles molecular
deposition films were fabricated by extending the method of
nucleation and growth of particles in polymer assemblies. Poly
(diallyldimethylammonium chloride) (PDDA) and poly
(styrenesulfonate) sodium salt (PSS) were applied as polycation
and polyanion respectively. At first, PDDA/PSS films were
obtained by alternately depositing PDDA and PSS on the
cleaned substrate with molecular deposition (MD) method.
Then, follow’s alternately dipped the precursor polyelectrolyte
multilayer MD films into AgNO3 and H4SiW12O40 aqueous
solutions. Repeating the above synthesis process, Ag4SiW12O40
nanoparticles were synthesized in the polyelectrolyte multilayer
films in-situ. UV–vis absorption spectra indicate that the
Ag4SiW12O40 nanoparticles grew gradually in the synthesis
process. The structure and nanotribological properties of hybrid
nanoparticles multilayer films were analyzed by atomic force
microscope (AFM) and the antiwear life was analyzed by
micro-friction and wear test machine. It was found that these
films had small friction force and high antiwear life. The MD
film had best tribological properties when the cycle number is
six. Nanoparticles within the MD films can enhance antiwear
life of MD films attributed to nanoparticles possess
load-carrying capacity, and decrease the mobility of the
polymer chain segments which can undergo reversible shear
deformation.
Keywords: Molecular Deposition (MD) Films, Nanoparticle,
Tribology
[7]. The UV–vis absorption spectra, XPS and atomic force
microscope (AFM) indicate that the Ag4SiW12O40 nanoparticles
have grown in the MD films during the synthesis process.
Except the characterization of hybrid in-situ nanoparticles MD
films, we have also tested the nanotribological properties and
the antiwear properties. It was found that these films had small
friction force and high antiwear life.
1 EXPERIMENTAL
1.1 MATERIALS
All materials were used without further purification. Poly
(diallyl dimethylammonium chloride) (PDDA, 20 wt.% in water,
MW ~ 100,000–200,000) and poly (styrenesulfonate) sodium
salt (PSS, MW ~ 70,000) were purchased from Aldrich. The
chemical structures of PDDA and PSS are shown in Figure 1.
H4SiW12O40·nH2O (SiW12) and AgNO3 were purchased from
Sinopharm Chemical Reagent Co., Ltd. All of the other
chemicals are of analytical grade. Glass and quartz were used as
the substrates.
Deionized water (>18MÔcm, Millipore Milli-Q) was used
for preparation of all aqueous solutions, and during rinsing
procedures.

poly(diallyl dimethylammonium chloride) PDDA

INTRODUCTION N+
As a new technique to prepare ultrathin films, molecular
deposition (MD) method can be used to assemble a monolayer
or multiplayer film with nanometer thickness by way of Cl-
intermolecular electrostatic forces [1,2]. This film is termed
molecular deposition (MD) film. The molecular deposition
technique is ideally suited to combat the tribological challenges
in microelectromechanical systems (MEMS), because it is
simple in preparation, easy to automate and friendly to the
environment. Especially, it can be deposited on a wide variety
of substrates, and devices with complex architectures can be
coated uniformly over large areas. poly(styrenesulfonate) sodium salt PSS
It has been found that MD film is able to decrease the
adhesive force on a surface, and so as to modify the friction
surface and reduce the friction force. However, MD film has SO3-Na+
poor antiwear behavior [3]. In the present years, nanoparticles Fig. 1 Chemical structures of Poly (diallyl
complex ultrathin films have attracted widespread attention dimethylammonium chloride) (PDDA) and poly
because of their lowfriction coefficient and relatively long (styrenesulfonate) sodium salt (PSS)
antiwear life [4]. It is been found that the nanoparticles play a
key role in inceasing antiwear life of ultrathin films, enhancing
the load-carrying capacity of the films. 1.2 ASSEMBLE OF FILMS
In situ-synthesized nanoparticles in ultrathin films have been Quartz slide or glass substrates were cleaned according to
suggested by Rubner [5] and others [6]. the following procedures. The substrates were ultrasonic treated
We prepared the in-situ nanoparticles of Ag4SiW12O40 in acetone, chloroform and anhydrous ethanol (3:3:1 v/v/v) bath
for 30 min and cleaned in a 80ć piranha solution (H2SO4/H2O2
*To whom all correspondence should be addressed. 70:30 v/v) bath for 1 h and rinsed in water (CAUTION: Piranha

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 Tribological Properties of Hybrid Ag4SiW12O40 Nanoparticles Multilayer Films

solution reacts violently with organic solvents and is a skin 267 nm is ascribed to the oxygentungsten charge-transfer
irritant. Extreme caution should be exercised when handling (CT) transition of polyoxometalate. Plotting the absorbance at
piranha solution) [8]. The piranha treatment allows removal of 267 nm versus the cycle n resulted in nearly straight lines
residues of organic and inorganic impurities from the substrates (Figure 3). This indicates that Ag4SiW12O40 nanoparticles are
and makes the slides completely hydrophilic at the same time. involved in the multilayer films and the forming process is
Then, follow’s by rinsing with plenty of deionized water and reproducible.
drying with nitrogen.
The polyionoc solutions of PDDA and PSS were prepared
0.65
into 2g/L and 1g/L respectively. All concentrations were
0.60
calculated based on the monomer molecular weight.
0.55
Pristine MD films were obtained using the molecular
0.50
deposition of opposite charge on substrates, which were built by
dipping the substrates into solutions of PDDA and PSS 0.45

above-mentioned for 20min. Deionized water was used for 0.40

Absorbence
rinsing after each immersion step. One monolayer of PDDA and 0.35 n=0~7
one of PSS form a bilayer. 0.30
Nucleation of Ag4SiW12O40 nanoparticles within the MD 0.25
films occurred by as follows process. When the desired number 0.20
of bilayers was achieved, the substrate was then dipped into 0.15
AgNO3 (0.01mol/L) and H4SiW12O40 (0.01mol/L) aqueous 0.10
solution for 1min and 2min, respectively. And the step of 0.05
rinsing with deionized water and drying with N2 was performed 0.00
after each deposition step. This process is called one synthesis -0.05
cycle and repeated. The above procedure results in the 200 220 240 260 280 300 320 340
construction of the multilayer MD films containing Wavelength(nm)
Ag4SiW12O40 nanoparticles, which can be expressed as
(PDDA/PSS)m/(Ag4SiW12O40)n, where m is the number of
Fig. 2 UV-vis spectra of (PDDA/PSS)4.5/ (Ag4SiW12O40)n
bilayer and n is the cycle number.
films with n=0~7 on quartz substrates
1.3 CHARACTERIZATION OF FILMS
UV–vis absorption spectra of the in-situ nanoparticles filled 0.26
MD films in the 190–350 nm range were recorded on a Unico
2102 UV–vis spectroscopy which was used to monitor the 0.24
influence on the in situ synthesis Ag4SiW12O40 nanoparticles
within MD films. 0.22

X-ray photoelectron spectroscopy (XPS) was performed on

0.20
PHI-5300 spectroscope with Al K (hÖ=1486.6 eV) X-ray
Absorbence

source. The vacuum inside the analysis chamber was 1.333×10-6 0.18
Pa during the analysis. The binding energy has been corrected
used the benchmark C1s = 284.8eV. 0.16
TMX2000 atomic force microscopy (AFM, made by) was
used to evaluate the morphology and the roughness of the films, 0.14
and it was operated in contact mode under ambient conditions
0.12
(20±3ć) using commercial silicon nitride probes (force
constant 0.032 N/m). 0.10
0 1 2 3 4 5 6 7 8

1.4 TRIBOLOGICAL TEST Wavelength(nm)

Nanotribological behavior of Ag4SiW12O40 nanoparticles

filled MD films was studied using AFM in lateral force mode.
Antiwear life of MD films was studied using micro-friction
and wear test machine (made by Lanzhou institute of Chemical
Physics, China).
2 RESULT AND DISCUSSION
2.1 UV-VIS SPECTRA
UV-vis apectroscopy was used to monitor the growth
process of multilayer MD films containing in-situ Ag4SiW12O40
nanoparticles. Figure 2 shows the UV-vis absorption spectra of
(PDDA/PSS)4.5/(Ag4SiW12O40)n multilayer MD films with n
from 0 to 7. Since PDDA does not have absorption above 200
nm, the absorption band at 223 nm is due to the aromatic group
of PSS molecule in the pristine film. The characteristic band at
Fig. 3 The plot of the absorbance values at 267nm versus the
synthetic cycle n
2.2 XPS SPECTRA
To provide further evidence for the formation of
Ag4SiW12O40 nanoparticles, the sample was characterized by
XPS. Figure 4 shows the typical high resolution XPS spectra of
Ag3d, Si2p and W4f. The Ag3d spectrum is split by the 3d
spin-orbit interactions into the 3d3/2 and 3d5/2 regions. It shows
two peaks with binding energies of 373.7 and 367.7eV. The
spectrum of Si shows the 2p main peak at 101.4eV. The W4f
spectrum is split by the 4f spin-orbit interactions into the 4f5/2
and 4f7/2 regions. These are consistent with the binding energy
values repoeted by Lan et al. [7].

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

1300 gradually in the PDDA/PSS films on glass substrates (Figure 5

367.7 (b) (c) (d) (e)) and the surface morphology of PDDA/PSS
pristine film is given as contrast (Figure 5(a)). Some linear
1200 373.7 nanoparticles appear in the film when the synthetic cycle is 8
(Figure 5(f)). Preliminary analysis its possible reason is that the
matrix structure destruct partial when rinsing after each
Intensity(CPS)

1100
immersion step used deionized water, accordingly same
Ag3d5/2 nanoparticles grown linearly.
Ag3d3/2

1000
2300 nm 2300 nm
30.82 nm 38.18 nm

900

385 380 375 370 365 0.00 nm 0.00 nm

1150 nm 1150 nm
Binding energy(eV)

1500
0 nm 0 nm
101.4 0 nm 1150 nm 2300 nm 0 nm 1150 nm 2300 nm

1200
(a) (b)
Intensity(CPS)

2300 nm
900 48.17 nm 2300 nm
42.89 nm

Si2p
600
0.00 nm
0.00 nm
1150 nm 1150 nm

300

110 105 100 95 90 0 nm 0 nm

0 nm 1150 nm 2300 nm 0 nm 1150 nm 2300 nm
Binding energy(eV)

(c) (d)

3000
2300 nm 2300 nm
34.6 50.06 nm
24.57 nm

36.7
2000
Intensity(CPS)

0.00 nm
0.00 nm
1150 nm 1150 nm

1000
W4f5/2 W4f7/2
0 nm 0 nm
0 nm 1150 nm 2300 nm 0 nm 1150 nm 2300 nm

(e) (f)
0

45 40 35 30 25
Fig. 5 The AFM images of (PDDA/PSS)4.5/ (Ag4SiW12O40)n ((a)
Binding energy(eV)
n=0; (b) n=2; (c) n=4; (d) n=6; (e) (f) n=8)

Fig. 4 XPS in the Ag3d, Si2p, W4f regions for

2.3.2 FRICTION PERFORMANCE
(PDDA/PSS)4.5 / (Ag4SiW12O40)5 film
Different synthetic cycle hybrid Ag4SiW12O40 nanoparticles
multilayer molecular deposition films have been prepared on
glass substrates according to the above experimental technique.
2.3 AFM STUDIES These films’ nanotribological properties are tested using AFM.
We studied the nanotribological properties using AFM by
lateral force model (LFM) with Si3N4 probe (normal elasticity
2.3.1 TOPOGRAPHIC
coefficient is 0.32N/m). The properties have been studied in
We may obtain the sample real and the rich microscopic different loads or different scanning speed to character the
surface morphology through examining the interatomic action, tribological properties of lubricating films from nanoscale.
using relational curve between the atomic force and the spacing. From Figure 6(a) we can see that the friction force is first
Figure 5 is the AFM images of samples in different synthetic decrease then increase with the scanning speed increase. This is
cycle. We can see the Ag4SiW12O40 nanoparticles grew due to that the adhesion forces of films are very obvious at low

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 Tribological Properties of Hybrid Ag4SiW12O40 Nanoparticles Multilayer Films
scanning speed, and at the higher scanning speed, the friction
heat and shedding of exterior nanoparticles made the friction
forces increase.
From Figure 6(b) we can see that the friction forces of
hybrid Ag4SiW12O40 nanoparticles molecular deposition films
increase reposefully with the load increase. It is linear
approximatively. The friction force variety law of the clean
glass substrate is given in Figure 6(b) as contrast.
Judging from Figure 6, the hybrid Ag4SiW12O40
nanoparticles molecular deposition films have the best
tribological performance when the cycle number n=6. Which
may be due to the nanoparticles grew uneven at lower cycle
number, and at higher cycle number the size and range of
nanoparticles diameter increased, also the strange morphology
of nanoparticles appeared. These all may cause the friction force
increase.
(a)
(b)
Fig. 6 the friction force curve under different scanning speed
and load
2.3.3 WEARING PERFORMANCE
The wearing performance was tested using AFM by contact
model (reciprocating friction movement itinerary is 500×500
253
nm, load is 20nA, scanning speed is 4m/s, 20°C at room
temperature, relative humidity is 51%).
(a) (PDDA/PSS) 4.5/ (Ag4SiW12O40)6 molecular deposition
film

(b) The glass substrate
Fig. 7 The AFM images of surface topography for
before and after the friction movement
Figure 7 is the comparison chart of surface topography for
before and after the friction movement. We can see the hybrid
Ag4SiW12O40 nanoparticles molecular deposition film has no
obvious signs of wear after the friction movement (Figure 7(a)),
and obvious signs of wear can be found in clean glass substrate
after the friction movement (Figure 7(b)). It shows that the film
has a protective effect to the substrate, which also verified the
excellent antiwear performance of the film.
2.4 MICRO-FRICTION AND WEAR TEST MACHINE
STUDIES
Antiwear performance of hybrid Ag4SiW12O40 nanoparticles
molecular deposition films was studied using a micro-friction
and wear test machine which was taken with single
reciprocating model at sliding speed of 100 mm/min under a
relative humidity of 50% at room temperature. In all tests, the
film surfaces were subjected to wear with 3mm 440C stainless
steel balls over a 5mm path length at 50g load. The steel ball
was cleaned with acetone in a supersonic bath before each test.
Antiwear life was determined by the number of sliding cycles
when friction coefficient increases suddenly.
Figure 8 shows the friction coefficient as a function of the
number of single reciprocating sliding cycles for the
(PDDA/PSS)4.5/(Ag4SiW12O40)6 film in comparison with
pristine (PDDA/PSS)4.5 film. It can be see that the
(PDDA/PSS)4.5/(Ag4SiW12O40)6 film have a lower friction
coefficient than pristine (PDDA/PSS)4.5 film. The antiwear life
of pristine film is 100 times approximate, and the
(PDDA/PSS)4.5/(Ag4SiW12O40)6 film’s is more than 900 times.
In other words, at the same normal load and the same number of
bilayers, the hybrid nanoparticles MD film showed antiwear
performance better than the pristine MD film. It is quite evident
that nanoparticles within the MD films can enhance antiwear
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
life of MD films. This may be attributed to nanoparticles
possess load-carrying capacity [9]. It indicates that the MD
films matrix hybrid nanoparticles would decrease the mobility
of the polymer chain segments which can undergo reversible
shear deformation [10].
Fig. 8 Friction coefficients as a function of the number of
single reciprocating sliding cycles
3 CONCLUSIONS
From the above, the following conclusions can be drawn:
(1) With the molecular deposition method, hybrid Ag4SiW12O40
nanoparticles MD films were obtained on substrate. The
nanoparticles are distributed proportionedly in films and
the agglomerate of nanoparticles is unconspicuous.
(2) AFM studies showed that the hybrid Ag4SiW12O40
nanoparticles molecular deposition films have good
tribological performance; the films have a protective effect
to the substrate, which also verified the excellent antiwear
performance of the films.
(3) Hybrid Ag4SiW12O40 nanoparticles MD films can improve
the antiwear life of MD films, which is attributed to
nanoparticles’ load-carrying capacity.
254
ACKNOWLEDGEMENTS
This research is sponsored by the National Natural Science
Foundation of China (Grant No. 50575151), the National Basic
Research Program of China (973, 2007CB607604) and the
State Key Laboratory of Tribology Opening Fund at Tsinghua
University.
REFERENCES
[1] Decher, G., Hong, J. D., Schmitt, J., 1992, “Buildup of
ultrathin multilayer films by a self-assembly process: I
Consecutively alternating adsorption of anionic and cationic
polylectrolytes on charged surface,” Thin Solid Films,
210-211, pp.831-835.
[2] Decher, G., 1996, “Layered nanoarchitectures via directed
assembly of anionic and cationic molecules,” Comprehensive
Supramolecular Chemistry, 9, pp.507-528.
[3] Feng, D. P., Wang, D. G., Zhang, S. W., 2004, “Preparation
and nanotribological behavior of PAH/graphite oxide
molecular deposition film,” Science in China Ser. E., 47(4),
pp. 385-390.
[4] Gu, G.T., Zhang, Z. J., Dang, H. X., 2004, “Preparation and
characterization of hydrophobic organic–inorganic composite
thin films of PMMA/SiO2/TiO2with low friction coefficient,”
Appl. Surf. Sci., 221, pp.129–135.
[5] Joly, S., Kane, R., Radzilowdki, L., et al., 2000, “Multilayer
nanoreactors for metallic and semiconducting particles,”
Langmuir, 16, pp.1354–1359.
[6] Dante, S., Hou, Z., Risbud, S., et al., 1999, “Nucleation of
iron oxy-hydroxide nanoparticles by layer-by-layer
polyionic assemblies,” Langmuir, 15, pp.2176–2182.
[7] Lan, Y., Mao, B. D., Wang, E. B., et al., 2007, “In-situ
fabrication of hybrid polyoxometalate nanoparticles
composite films,” Thin Solid Films, 515, pp.3397-3401.
[8] Chickneyan, Z. S., Briseno, A. L., Shi, X. Y., et al., 2003,
“Polyelectrolyte-mediated assembly of copper phthalocyanine
tetrasulfonate multilayers and the subsequent production of
nanoparticulate copper oxide thin films,” J. Nanosci.
Nanotech., 4(2), pp.1-7.
[9] Yang, L., Luo, Y. F., Jia, X. R., et al., 2004,
“Microtribological property of self-assembly multilayer
films based on PAMAM dendrimers,” Acta Polymerica
Sinica, 5, pp.780-784 (in chinese).
[10] Arrighi, V., McEwen, I. J., Qian, H., et al., 2003, “The
glass transition and interfacial layer in styrene-butadiene rubber
containing silica nanofiller,” Polymer, 44, pp.6259–6266.
 Study on Fatigue Crack Behavior of Rail in Different Curve Radius

Study on Fatigue Crack Behavior of Rail in Different Curve Radius

Wen ZhongˈWenjian WangˈQiyue Liu*
Tribology Research Institute, Traction Power State Key Laboratory, Southwest Jiaotong University, Chengdu 610031,
China
(Extended Abstract)

ABSTRACT of geometric size calculated by Hertz simulation rule is shown

Among the rail ∗ defects, the transverse fatigue crack, which has in Fig.1.
been the most dangerous damage, is developed near the rail
running face and grows perpendicular to the rail surface.
Finally, the transverse fatigue crack would result in the failure
of railway rail. In this paper, the rolling tests were performed
using a JD-1 wheel/rail simulation facility without any
lubricant. The tester is composed of a small wheel served as rail
and a larger wheel served as wheel. The fatigue behavior of rail
rollers with different materials and curve radius were
investigated in detail by examining wear volume and wear scar
using optical microscopy (OM) and scanning electronic
microscopy (SEM). The results indicate that with curve radius Fig.1 The scheme size of simulation specimens
decreasing, the wear volume of rail roller increases rapidly and
the fatigue damage becomes severe. Furthermore, the cracking
The rail roller is made of real rail steel. Their chemical
propagation angle increases obviously with curve radius
compositions were listed in Table 1 and Table 2. The carbon
decreasing and fatigue wear is dominating during the wear
content of large wheel in weight percentage is about
process. There appears distinct plastic deformation on the
0.62%~0.67%.
section of rail roller under small curve radius condition. For the
Table1 The chemical composition of rail material
same curve radius, the wear volume of PD3 rail is more than
that of PG4 rail and the plastic deformation is more obvious. Rail C% Si% Mn% S% V%
Moreover, the cracking propagation angle of PD3 rail material
PG4 0.71~0.80 0.50~0.80 0.70~1.05 0.030 0.04~0.12
is smaller than that of PG4 rail. In conclusion, PG4 rail material
is not suitable for the high-speed railway. PD3 0.71~0.75 0.50~0.78 0.70~1.05 0.030 0.04~0.11
Keywords: Rail; Curve radius; Fatigue crack; Plastic All experiments were performed in the ambient condition
deformation (temperature: 18~23ć, relative humidity: 50~70%) and all the
contact surfaces were cleaned with acetone before testing. The
1 INTRODUCTION number of cycles of simulating rail is 106, the simulating axle
In curves railway operations, control of wear and rolling load is 25t and the simulating speed is 160 km/h. The fatigue
contact fatigue (RCF) related defects are an ongoing concern damage behavior of rail rollers with different materials and
for both safety and cost reasons. With increasing the speed of curve radius were investigated by examining wear volume and
passenger trains and the tonnage of freight trains to increase the wear scar using optical microscopy (OM) and scanning
efficiency of rail transport, wear and RCF of wheel and rail electronic microscopy (SEM).
material have been becoming severe. Rail wear is visible and
controllable, whereas RCF cracks are often difficult to detect, 3 RESULTS AND DISCUSSION
and potentially dangerous if left to grow [1].
With curve radius decreasing, the wear volume of rail roller
RCF failure is a permanent and quite severe problem and a increases rapidly (Fig.2) and the fatigue damage becomes
major concern to the modern railway industry. For years, severe. For the same curve radius, the wear volume of PD3 rail
investigations in this direction have been going on in all major is more than that of PG4 rail.
research groups around the world [2]. Wear is in competition
with RCF surface cracks propagation. Good wear-resistance 3.0
does not always lead to good fatigue resistance. Once the line
fatigue cracks are formed, they can propagate provided that the 2.5 curve radius:2000m
associated stress intensity factor exceeds the threshold [3]. curve radius: 1200m
W ear volume(g)

Wear that results in uniform material removal from the surface 2.0
region can partially or entirely remove the surface cracks,
counteracting therefore crack propagation. So a high wear rate 1.5
can reduce RCF by removing newly initiated cracks.
1.0
2 EXPERIMENTAL DETAILS
To investigate such damages, the rolling fatigue and wear tests 0.5
were performed using a JD-1 wheel/rail simulation facility
without any lubricant. The tester is composed of a small wheel 0.0
served as rail and a larger wheel served as wheel. The schema
PG4 PD3
∗
Corresponding author. E-mail:lqy9065@yahoo.com.cn. Fig.2 Wear volume of rail rollers

255
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Fig.3 shows that the degree of plastic flow is also significantly
increased with curve radius decreasing. It can be seen that the
plastic deformation becomes thicker with decreasing curve
radius. The plastic deformation of the PD3 rail material which
it was from the high rail of a 1200m curve is thickest. From the
experimental results, the plastic deformation of the PD3 rail is
thicker than of the PD3 rail. As well as its poor performance on
resisting wear, the tiny cracks will be wiped off by wear, so the
PD3 rail behaves better performance of fatigue.
(a) Line condition (b) Curve radius 1200m
Fig. 3 Plastic flow of PD3 rail rollers
A rail head contact zone is subject to three creepage (slippage)
directions, axial (in the direction of traffic), spin and transverse,
whilst rolling is generally in the axial direction, with small yaw
angles during curving. Reduced life due to RCF is mainly
associated with an increase in transverse creepage due to
curving forces, vehicle hunting or track/vehicle irregularities.
There is thus a vector of creepage from the three directions
where along which a combination of contact stress and strain is
at a maximum resulting in RCF cracks forming normal to that
direction. Angled sectioning along this vector, in addition to
axial and transverse sections, has shown the true regularity of
crack formation.
Crack initiation was at the surface (at these contact conditions)
as initiation sub-surface in the high strain region is inhibited by
the compressed matrix and compressive residual stresses. Some
of the initiating small cracks adjacent to the main crack were
found. Fig.4 show that the cracking propagation angle increases
obviously with curve radius decreasing and fatigue wear is
dominating during the wear process. The small cracking angle
would make the crack propagation close more the wear surface
of rail.
(a) Line condition (b) Curve radius 1200m
Fig. 4 SEM photographs of fatigue crack of PD3 rail rollers
Rail-wheel contact is often assumed to produce a Hertzian
pressure profile on the rail surface, and the cracks are often
assumed to be semicircular or semi-elliptical. These
assumptions are necessary for the reduction of computing and
model construction time, and also for generation of results in
which trends with external conditions (loads, friction force, etc)
are clear. Fatigue crack propagation is related to the cycling
variation of the stress intensity factors. Cracks of this size are
subject to a number of influences such as severe plastic
256
deformation of the material in which they lie, and high surface
roughness derived stresses.
In this case the problem is complicated by the fact that surface
cracks propagate in mixed mode conditions and can involve
contact (partial or global) between the crack faces. The
coefficient of friction can play an important role in determining
the kinetics of crack propagation. Fig.5 shows the relationships
between the friction force and curve radius, and it can be seen
that the friction force decreases rapidly with the curve radius
increasing from 1200 to 1800m, and then increases a little and
becomes steady. When the friction force between wheel and
rail increase, the cracking propagation angle would reduce.
30
25
Friction force (kN )
20
15
10
5
0
1200 1400 1600 1800 2000 2200
Curve radius (m)
Fig.5 Friction force vs. curve radius
4 CONCLUSIONS
In this paper, the fatigue damage behavior of rail roller has
been studied using JD-1 wheel/rail simulation facility. The
conclusions from this study are as follows:
1. It may be considered that curve radius is a key factor for the
fatigue damage of rail material. With curve radius decreasing,
wear volume of rail roller increases rapidly and the fatigue
damage becomes severe.
2. The cracking propagation angle increases obviously with
curve radius decreasing. For the same curve radius, the wear
volume of PD3 rail is more than that of PG4 rail and the plastic
deformation is more obvious. Furthermore, the cracking
propagation angle of PD3 rail material is smaller than that of
PG4 rail.
ACKNOWLEDGEMENTS
The work was supported by the National Natural Science
Foundation of China (No.50675183), the Funds for the
National Innovative Research Teams (No.50521503) and the
National Basic Research Program of China
(No.2007CB714702).
REFERENCES
[1] D.I. Fletcher, J.H. Beynon, Development of a machine for
closely controlled rolling contact fatigue and wear testing, J.
Test. Eval.2000, 28(4):267-275.
[2]H.D. Grohmann, Klaus Hempelmann, Arnold Grob-Thebing.
A new type of RCF, experimental investigations and theoretical
modelling. Wear, 2002. 25(3):67-74.
[3] Keisuke, Tanaka. Fatigue crack propagation from a crack
inclined to the cyclic tensile axis. Engineering Fracture
Mechanics, 1974, (6):493-507.
 Improvement in Wear Resistance of TiNi Alloy Processed by Equal Channel Angular Extrusion and Annealing Treatment
Improvement in Wear Resistance of TiNi Alloy Processed by Equal Channel Angular
Extrusion and Annealing Treatment
1 2,*
Z.H. Li , X.H. Cheng
1
College of Electromechanical Engineering, Zhejiang Ocean University, Zhoushan 316004, P.R.China
2
School of Mechanical Engineering, Shanghai Jiao Tong University, Shanghai 200030, P.R.China
ABSTRACT
In the present paper, the equal channel angular extrusion
(ECAE) and subsequent annealing treatment are applied to the
Ti-50.6at.%Ni alloy. The microstructure and pseudo-elasticity
of TiNi alloy after ECAE and annealing treatment are
investigated, and the wear behavior of the alloy under dry
sliding condition is studied.
Keywords: Equal channel angular extrusion (ECAE),
Pseudo-elasticity, Shape memory alloy, Wear
INTRODUCTION
Recently, a number of investigations have demonstrated
that TiNi alloy has high resistance to wear in different wear
conditions compared it with many conventional wear-resistant
materials such as steels, Ni-based and Co-based tribo-alloys
[1-5]. This makes TiNi alloy attractive for application in many
environments. Extensive researches have confirmed that the
high wear resistance of TiNi alloy is mainly attributable to its
special martensitic phase transformation [4-9] which is also
called pseudo-elasticity. Liang et al. [7] has noticed strong
correspondence between the wear behavior and the
pseudo-elasticity. Specimens with pseudo-elasticity show
higher wear resistance than those with little pseudo-elasticity.
Ultra-fine grained materials have attracted much attention
owing to their better mechanical properties. Of several
techniques developed for producing fine-grained materials by
severe plastic deformation (SPD), the equal channel angular
extrusion (ECAE) technique introduced by Segal et al. has
been successfully applied to produce various fine-grained
materials [10-14]. Many studies have confirmed that ECAE
process can not only refine the microstructure, but also
improve the mechanical properties of materials.
The microstructure of a material remarkably affects its
mechanical properties and the wear behavior. Till now, some
results on the microstructure and phase transformation
behavior of TiNi alloy processed by ECAE have been reported
[15-16]. However, the wear behavior of TiNi alloy processed
by ECAE has not been well reported yet. The objective of this
research is to understand the wear behavior of TiNi alloy
processed by ECAE against GCr15 steel under dry sliding
condition. The microstructure, pseudo-elasticity, and wear
behavior of TiNi alloy processed by ECAE and annealing
treatment are studied to evaluate the effects of ECAE and
annealing treatment on the wear properties. The wear
mechanisms of the TiNi alloy are discussed based on the SEM
examination of the worn surfaces.
EXPERIMENTAL PROCEDURE
Experimental materials were Ti-50.6at.% Ni alloy rod with
a diameter of 25mm. The rod had been hot forged at 1123K
and annealed at 773K for 2 hours. Billets for ECAE process
were cut from the TiNi rod and had dimensions of 9.4 mm×9.4
mm×100 mm. The ECAE die was designed to yield an
257
effective strain of ̚1 by a single pass. The inner contact
angle (Þ) and the arc of curvature (ß) at the outer point of
contact between channels of the die were both 90°, as shown in
Fig. 1. Two ECAE processes were conducted at high
temperature. Keeping the die at 823K, billets were preheated at
1123K for 20 min before the first extrusion, and at 1023K for
20 min before the second extrusion. During ECAE process, the
billet was not rotated between passages. To obtain
homogeneous and fine microstructure, the billets processed by
ECAE were annealed at 500ć for an hour.
Fig.1 Schematic illustration of the ECAE process in the
experiment
Specimens for microstructure observation, pseudo-elasticity
and wear behavior measurements were cut along the extrusion
direction from the TiNi billets processed by ECAE and
subsequent annealing treatment. After mechanically polished
and etched with a mixture solution of HF:HNO3:H2O with a
ratio of 1:3:10, the microstructure of specimens was observed
on a NEOPHOT-1 type optical microscope.
Tensile testing was done to investigate the effect of ECAE
and annealing treatment on the pseudo-elasticity of TiNi alloy.
Tensile test specimens with a reduced gage section of 1 mm
thick, 2 mm wide and 20 mm long were machined from
as-received TiNi alloy and the ECAE processed TiNi alloy.
Tensile tests were performed using an Instron Universal
Testing machine at room temperature (24ć). The rate of
extension was 0.1 mm/min.
The wear behavior of the Ti-50.6at.%Ni alloy sliding
against a GCr15 steel ring under dry sliding condition was
evaluated using a block-on-ring tribometer. The size of the
TiNi block for wear tests was 20 mm×7 mm×8 mm. Wear tests
were carried out at a sliding speed of 0.42 m/s and sliding time
of 30 min. The applied load was ranged from 50 N to 100 N. A
BP211D electron scale to evaluate the wear resistance was
used to measure wear of TiNi specimens. The morphology of
worn surfaces was observed using an OPTON CSM 950
scanning electron microscope (SEM) equipped with an energy
dispersive spectroscopy X-ray analysis system.
RESULTS AND DISCUSSION
1. Microstructure
For comparison, the as-received and the ECAE processed
TiNi alloy were investigated. Fig.2 shows the cross-section
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

microstructure of the TiNi alloys. It can be seen that the processed TiNi alloy exhibited lower wear in the load range of
microstructure of the as-received TiNi alloy (Fig. 2a) was 50 -100 N than the as-received one. This can be rationally
coarse equiaxed structure with the mean grain size of 60 m. explained by the following reasons. Firstly, the ECAE
After ECAE and subsequent annealing treatment, the processed TiNi alloy had more fine grains than the as-received
microstructure of TiNi alloy was refined markedly, having an TiNi alloy, leading to the smaller stress concentration. Under
average grain size of approximately 5 m. the same external stress, the smaller stress concentration caused
by fine grains made it difficult adjacent grains deform
plastically, so the larger external stress was needed to make
adjacent grains plastic deformation. It means that the plastic
deformation resistance of the ECAE processed TiNi alloy is
enhanced after the microstructure was refined, which reduces
the initiation probability of crack and decreases stress
concentration, resulting in the increase of wear resistance of the
alloy. Secondly, the ECAE processed TiNi alloy has better
pseudo-elasticity than the as-received one, which was recorded
(a) (b) in Table 1. Liang et al. [7] had demonstrated the strong
Fig.2 Microstructures of TiNi alloy: (a) as-received TiNi correspondence between the wear resistance and the
alloy; (b) the ECAE processed TiNi alloy pseudo-elasticity. The greater the pseudo-elasticity, the higher
the wear resistance. ECAE and annealing treatment enhanced
2. Pseudo-elasticity the pseudo-elasticity of TiNi alloy, which was certainly
Results of the measurement demonstrated that the TiNi beneficial to the wear resistance of TiNi alloy.
alloys showed pseudo-elastic characteristics, which was
illustrated by Ê – Ò curve of the TiNi alloys (Fig. 3). The 120 As-received TiNi alloy

pseudo-elasticity was evaluated based on the value of The ECAE processed

TiNi alloy

'H
100

J H p , H p was the overall residual strain which was

80

Wear (10 g)
-5
60

supposed to remain when the applied load was removed, and 40

'H was the recoverable strain which was not caused by the 20

operation of slip systems but by stress-induced martensitic 0

50 60 70 80 90 100
transformation. The permanent residual strain was, therefore, Load (N)

equal to H p  'H . The higher the J value is, the greater Fig.4 Variation of wear with applied load at a sliding speed of
0.42 m/s
the pseudo-elasticity. Table 1 showed J value of the TiNi
alloys. It can be seen that the J value of the TiNi alloy after The worn surfaces of as-received TiNi alloy under different
ECAE and annealing treatment increased obviously, which applied loads were shown in Fig. 5, respectively. It can be seen
suggests that the TiNi alloy processed by ECAE and annealing that the worn surfaces of the as-received TiNi alloy had
treatment had better pseudo-elasticity than the as-received TiNi different morphologies under different applied loads. At the
alloy. load of 50 N, the worn surface was smooth. However, a strong
550
iron contamination transferred from the steel ring counterpart
500

450
was observed by EDS analysis (as shown in Fig. 6), suggesting
400 that adhesion occurred during friction. At a higher load, deep
350

plough tracks were observed on the worn surface of

V(N/mm )
2

300

250

200 as-received alloy. Fig. 7 shows worn surfaces of the TiNi alloy
150

100
with ECAE and annealing treatment. It can be seen that there is
50

0
not significant difference in the worn surface between low
0.0 0.5 1.0 1.5 2.0 2.5 3.0 3.5 4.0 4.5 5.0 5.5 6.0

Òp
àÒ
H(%) applied load and high load. The surface scuffing was primary
wear mechanism under both low and high loads. The
Fig.3 Ê – Ò curve of TiNi alloy
morphological difference in worn surface of the ECAE
processed TiNi alloy under different loads was not significant
Table 1 The J value of TiNi alloy as that of the as-received TiNi alloy.
As-received processed by ECAE
J value 40ˁ 63ˁ

3. Wear behavior
The effects of applied load on the wear resistance of TiNi
alloys were investigated under dry sliding wear condition. The
variation of wear of TiNi alloys with applied load was given in
Fig. 4. It can be seen that the wear of both the as-received TiNi
alloy and the ECAE processed TiNi alloy increased with
applied load. This can be explained by the friction-induced
thermal and mechanical effects which may increase the actual (a) (b)
contact area and the adherence between the frictional pair as Fig.5 Worn surfaces of as-received TiNi alloy: (a) worn under
the load increased. Moreover, it was found that the ECAE a low load of 50 N; (b) worn under a high load of 100 N

258
 Improvement in Wear Resistance of TiNi Alloy Processed by Equal Channel Angular Extrusion and Annealing Treatment
Fig.6 Results of the energy dispersive spectroscopy X-ray
analysis performed on the wear tracks of the initial TiNi alloy
after sliding against GCr15 steel under a load of 50 N and a
sliding speed of 0.42 m/s
(a) (b)
Fig.7 Worn surfaces of the ECAE processed TiNi alloy: (a)
worn under a low load of 50 N; (b) worn under a high load of
100 N
CONCLUSIONS
(a) After ECAE and annealing treatment, both the
microstructure and the pseudo-elasticity of the TiNi alloy were
improved markedly;
(b) The wear of the as-received TiNi alloy and the ECAE
processed TiNi alloy both increased with load. When the load
ranged from 50 to100 N, the ECAE processed TiNi alloy
exhibited higher wear resistance than the as-received alloy;
(c) The wear mechanism of as-received TiNi alloy was
adhesion and delamination under low load; while under high
load, deep plough tracks were observed. After ECAE and
annealing treatment, the surface scuffing was primary wear
mechanism of the TiNi alloy under both low and high loads.
ACKNOWLEDGEMENTS
The authors would like to thank the financial support from
the National Natural Science Foundation of China (Grant No.
50071034) and State Key Laboratory of Tribology, Tsinghua
University, Beijing, P.R. China.
259
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[2] Zimmerly C.A., Inal O.T., Richman R.H., 1994,
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alloy to low-carbon steel,” Mater. Sci. Eng. A, 188,
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[3] Imbeni V., Martini C., Prandstraller D., 2003, “Preliminary
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[5] Clayton P., 1993, “Tribological behavior of a
titanium-nickel alloy,” Wear, 162, pp.202.
[6] Li D.Y., Liu R., 1999, “The mechanism responsible for
high wear resistance of Pseudo-elastic TiNi alloy-a novel
tribo-material,” Wear, 225-229, pp.777.
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TiNi alloy,” Wear, 198, pp.236.
[8] Li D.Y., 2003, “Development of novel tribo composites
with TiNi shape memory alloy matrix,” Wear, 255, pp.617.
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Alloy,” Scripta Mater., 34, pp.195.
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“Bulk nanostructured materials from severe plastic
deformation,” Progress in materials Science, 45, pp.103.
[11] Zhilyaev A.P., Furukawa M., Horita Z., 2003, “Processing
and properties of bulk ultrafine-grained materials produced
through severe plastic deformation,” Diffusion and Defect
Data Pt.B: Solid State Phenomena, 94, pp.3.
[12] Markushev M.V., Bampton C.C., Murashkin M.Y., et al.,
1997, “Structure and properties of ultra-fine grained
aluminum alloys produced by severe plastic deformation,”
Mater. Sci. Eng. A, 234, pp.927-932.
[13] Shin D.H., Park K.T., 2005, “Ultrafine grained steels
processed by equal channel angular pressing,” Mater. Sci.
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ferrite-marten site dual phase steels fabricated via equal
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[15] Li Z.H., Cheng X.H., ShangGuan Q.Q., 2005, “Effects of
heat treatment and ECAE process on transformation
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[16] Stolyarov V.V., Prokof'ev E.A., Prokoshkin S.D., 2005,
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Metallography, 100(6), pp.608.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Self-Healing of a Soft Primer Coating Caused by Plasticization during Sliding against UHMWPE
Pieter Samyn*
Ghent University – Department of Textiles
Technologiepark 907, B-9052 Zwijnaarde, Belgium
Pieter.Samyn@UGent.be
Gustaaf Schoukens
Ghent University – Department of Textiles
Technologiepark 907, B-9052 Zwijnaarde, Belgium
(Extended Abstract)
ABSTRACT
Sliding of a soft primer coating at 150 MPa under flat-on-
flat conditions reveals the capability of defects reparation,
which cannot be simulated on a standardized laboratory test
with concentrated contact and test conditions. The contri-
butions of plasticization, softening and melting are discussed.
Keywords: Polymer, Soft coating, Friction, Wear,
Plasticization
INTRODUCTION
Ultra-high molecular weight polyethylene (UHMWPE) has
good abrasion resistance and is therefore suited for use in
marine applications. Under those conditions, however, steel
counterfaces must be protected against corrosion. As often
large surface areas should be covered and in-situ application is
desired, a soft primer coating is most likely used. Other two-
component coatings, ceramic coatings and hard metallic
coatings (e.g. stainless steel, TiN, Al) cannot be used due to
practical application problems and lack of adhesion in respect
to the original counterface roughness. Instensive research has
been performed on sliding of polymers against hard coatings
[1]. The tribological behaviour of soft coatings in combination
with polymers is relatively scarcely investigated. Benabdallah
[2] investigated the sliding of polyoxymethylene against epoxy
layers, concluding that the soft coating failed at high loads
and/or high sliding velocities, likely due to thermal effects and
low mechanical resistance of the coating. For organic coatings,
Bexell et al. [3] concluded from a combination of SEM and
ToF-SIMS analysis that mechanical failure dominates, i.e. no
tribochemical changes of the coatings could be detected in the
wear track. Other soft coatings such as molybdenium disul-
phide, protecting against corrosion and serving as a solid lubri-
cant, can easily be applied by spray-coating, but are worn from
the counterface due to low adhesion and delamination [4].
In the present research, the sliding of polymers in contact
with a soft primer coating under optimum working parameters
of low sliding velocities and extremely high contact pressures
are closely simulated, revealing that the soft coating has unique
self-healing properties under certain conditions. These
conditions should be exactly simulated in laboratory tests, as it
is shown that the intensification of sliding para- meters in order
to shorten the testing time reveals completely different
performance.
EXPERIMENTS
Steel counterfaces St 37-2N with roughness Ra =1.12 μm
are coated with an alkyd-resin based zinc-phosphate primer
*To whom all correspondence should be addressed.
260
Koenraad Bonny
Ghent University – Department of Mechanical
Construction and Production
Sint-Pietersnieuwstraat 41, B-9000 Gent, Belgium
coating (density 1.4 kg/l, 47 vol% solids). Different application
methods are investigated: brushed, sprayed and rolled. The
average coating thickness in wet conditions is 175 μm and 40
μm to 80 μm in dry conditions (drying time 1 hour, curing time
1 week). The steel counterfaces are fixed into the tribometer
and UHMWPE is reciprocating slid under flat-on-flat or cylin-
der-on-plate conditions. Flat-on-flat (FOF) tests are done under
high contact pressures and low sliding velocities on a large-
scale tribotester. Cylinder-on-plate (COP) tests are done on
standard test equipment, in order to simulate the high contact
pressures during Hertz contact and slightly increasing the
sliding velocity to decrease the testing time:
• Large-scale FOF-tests are done under 0.005 m/s and 15 to
150 MPa contact pressures, using polymer discs with
diameter 175 mm and thickness 40 mm.
• Small-scale COP-tests are done under 0.3 m/s and 10 to
200 N normal loads, using polymer cylinders with length
15 mm and diameter 5 mm. The average Hertz contact
pressures vary between 9 and 40 MPa.
TEST RESULTS: PRESENTATION & DISCUSSION
Friction on large-scale and small-scale
The coefficients of friction for UHMWPE against steel and
soft coating are presented in Table 1, with the maximum tem-
perature T* calculated from formula (1), depending on thermal
conductivity k, sliding velocity v, semi-contact width in sliding
direction , coefficient of friction μ and contact pressure p.
___
T* = 23°C + 1,126.10-3 μ p √(.v) (1)
For COP-tests, the soft coating does not provide favourable
sliding conditions, with high static coefficients of friction (μstat
= 1.00 to 0.70) and dynamic coefficients of friction (μdyn =
0.50 to 0.30), compared to steel counterfaces. For FOF-tests
under comparable contact pressures, the coating is favourable
in reducing friction. The initial static friction μs1 is higher than
static friction at subsequent reversals of the sliding direction,
own to the original steel or coating roughness and application
method: brushing or spraying and polishing cause lower initial
static friction than rolled coatings own to the intrinsic
roughness, while the application method has minor influences
on dynamic friction. From roughness profiles, it is demonstra-
ted that the coating asperities flatten, while the waviness
remains visible after sliding. The stabilization time of dynamic
friction with sliding distance is longer on soft coatings than of
steel due to progressive smoothening.
 Self-Healing of a Soft Primer Coating Caused by Plasticization during Sliding against UHMWPE

Table 1 Coefficients of friction and sliding temperatures Coating wear depending on contact conditions
Due to stress concentrations and thermal effects for COP-
Cylinder-on-plate (COP) tests, the soft coating is easily removed and shows features that
Static (MPa) Steel Soft coating correspond to the previously outlined sliding regimes (Figure
F (N)
pmax pavg μdyn T* (°C) μdyn T* (°C) 2). The combination of plasticization and softening for FOF-
10 11 9 0.32 33 0.50 39 tests at 150 MPa allows for self-healing of cracks initiating in
20 16 13 0.28 39 0.45 48 the coating due to the incorporation of carbon fiber debris in
30 20 16 0.28 45 0.40 54 the sliding interface (Figure 3). As such, the life-time of the
40 23 18 0.25 47 0.36 60
present sliding couple is expected to be about 100 years, which
50 25 20 0.22 48 0.38 64
is confirmed by an in-the-field application for ball-joint repair.
75 31 25 0.20 54 0.38 71
100 37 28 0.20 62 0.40 90 50 N plasticization 150 N melting
125 41 32 0.20 68 0.40 113
150 45 35 0.20 74 0.28 130
175 48 38 0.20 80 0.30 135
200 52 40 0.18 85 0.33 137
Flat-on-flat (FOF)
360 k 15 0.10 50 0.08 56
720 k 30 0.09 64 0.07 89
1440 k 60 0.06 87 0.04 95
2880 k 120 0.04 110 0.03 110
3600 k 150 0.03 112 0.02 120
Fig. 2 Failure of the coating on COP-tests

Polymer wear depending on contact conditions 60 MPa cracks and de-adhesion 150 MPa homogenization
In agreement with the good wear resistance of UHMWPE,
no material loss is observed after sliding for 1 hour in contact
with the soft coating. However, important deformation mecha-
nisms influence the sliding properties.
For COP tests, the deformation during testing is recorded
and compared to creep of UHWMPE cylinders under static
conditions (Figure 1). Plastic deformation occurs above 50 N,
with the average Hertz contact pressure pavg = 20 MPa corres-
ponding to the yield strength of UHMWPE. The limit between
visco-elastic and plastic behaviour on COP is clearly observed Fig. 3 Self-healing of the coating on FOF-tests
from the regimes with recoverable and permanent deformation.
Plasticization of the polymer in contact with steel results in the
stabilization of friction. Softening is not dominating in contact CONCLUSIONS
with steel, as the temperatures T* are below the glass transition
temperature Tg = 85°C. Only at 200 N, there is an additional A soft coating is successfully used under extremely high
decrease in friction own to thermal effects. In contact with the contact pressures, with good adhesion to the counterface and
soft coating, however, plasticization at 50 N results in higher ability for self-healing of defects eliminating wear. Homogene-
friction (0.36 to 0.38), while additional softening at 100 N ous contact pressures and thermal conditions are required, as a
further reduces the sliding performance until the melting simulation test with concentrated test conditions is not repre-
temperature Tm = 133°C is approached at 150 to 200 N. sentative for this exceptional coating behaviour.
For FOF tests, both plasticization and softening contributes
to a decrease in friction at higher contact pressures. The
deformation of the polymer element can be controlled by the REFERENCES
design of a carbon fiber reinforcing structure [5], causing the
polymer sample to be under hydrostatic pressure conditions. [1] Heinze, M., 1998 “Wear resistance of hard coatings in
plastics processing,” Surf Coat Techn, 105, pp. 38 - 44.
[2] Benabdallah, H., 2003, “Friction and wear of blended
Diameter reduction (µm)

Visco- Plastic polyoxymethylene sliding against coated steel plates,”

elastic Wear, 254, pp. 1239-1246.
[3] Bexell, U., Carlsson, P., Olsson, M., 2003, “Tribological
characterisation of an organic coating by the use of
ToF-SIMS,” Appl Surf Sci, 203-204, pp. 596-599.
[4] Hiroaka, N., 2001, “Wear life mechanism of journal
bearings with bonded MoS2 film lubricants,” Wear, 249,
pp. 1014-1020.
[5] Samyn, P., Van Schepdael, L., Van Paepegem, W.,
Leendertz, J.S., Suister, E., De Baets, P., Degrieck, J., 2006,
“Fracture assessment of carbon fibre / epoxy reinforced
Normal load (N) rings through a combination of full-scale testing,
Fig. 1 Deformation of UHMWPE in COP tests small-scale testing and stress modelling,” Appl Comp
during static creep (○) and dynamic sliding (●) Mater, 13, pp. 57-85.

261
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Performance of an Infinitely Long Transversely Rough Hydrodynamic
Slider Bearing
G.M.Deheri1, Chandaniben D. Changela2, H.C.Patel3, Nikhilkumar D. Abhangi4
1. Department of Mathematics, Sardar Patel University, Vallabh Vidyanagar-388120, Gujarat, India.
2. M.Phil. Student, Department of Mathematics, Sardar Patel University, Vallabh Vidyanagar-388120, Gujarat, India.
3. H.C. Patel, Government Engineering College, Patan-384265, Gujarat, India.
4. Research Student, Department of Mathematics, Sardar Patel University, Vallabh Vidyanagar-388 120, Gujarat, India.
Extended Abstract
By now, it is well-known that the standard
deviation associated with the roughness plays an
important role in the performance of a hydrodynamic
slider bearing. Thus, it has been thought appropriate to
study and analyze the effect of standard deviation on
the performance of an infinitely long transversely rough
slider bearing. The concerned Reynolds equation is
solved with suitable boundary conditions to get the
pressure distribution, in turn, which is used to obtain
load carrying capacity. Besides, the friction at the
runner plate and the bearings surface has been
calculated. The results are presented graphically. It is
observed that the effect of standard deviation is
significantly adverse. Further, the friction decreases at
the bearing surface while there is an almost negligible
increase at the runner plate. In addition, it is noticed
that the aspect ratio has a significantly positive effect in
the sense that the load carrying capacity increases and
the friction decreases at the bearing surface and the
runner plate with respect to increasing values of the
aspect ratio. Also, it has been noted that the ratio of
outlet film thickness to the bearing length tends to
enhance the performance of the bearing system. This
article makes it clear that the adverse effect of standard
deviation can be compensated upto considerable extent
by choosing a proper combination of the aspect ratio
and the ratio of outlet film thickness to the length of the
bearing.
Keywords: Infinitely long slider, Reynolds Equation,
Standard deviation, Load carrying capacity, Frictional
force
Introduction:
The analysis of hydrodynamic lubrication of
non-porous slider is a classic one, for instance, one can
have a look at Pinkus and Sternlicht (1961). The
infinitely long slider bearing is the idealization of a
single sector shaped pad of a hydrodynamic thrust
bearing. Such a bearing consists of a fixed or pivoted
pad and a moving pad which may be plane, stepped,
curved or composite shaped. [Such bearings are widely
used in hydrodynamic generators and gas
turbines].Exact solutions of Reynolds equations for
thrust bearing with various simple film geometries are
presented in a number of books and research
papers.(Cameron (1966), Gross et.al.(1980), Boegli
(1947), Archibald (1950,1956), Charnes and Seibel
(1952), Rayleigh (1918), Basu et.al.(2005)). Lord
corresponding author
2. Chandaniben D. Changela,
changela.chandni@gmail.com
262
Reyleigh (1918) applied the calculus of variation to
determine the optimum film geometry for the
incompressible fluid subject to the conditions of given
slider length and minimum film thickness and he found
that the optimum slider profile was a step function.
Plane inclined porous slider bearing was
analyzed by Prakash and Vij (1973) and it was
concluded that the effect of porosity was to decrease
the load carrying capacity and friction. Patel and Gupta
(1983) extended this analysis by considering this
problem with slip velocity.
All the above analyses assume the bearing
surfaces to be smooth. However, we know that the
bearing surfaces after having run-in and wear develop
roughness. In order to study and analyze the effect of
roughness several investigators have proposed an
approach to mathematically model the random
character of the roughness (Tzeng and Seibel (1967),
Christensen and Tonder (1969.a), (1969.b), (1970)).
Subsequently these approaches of Christensen and
Tonder formed the basis of the methods to analyze the
effect of surface roughness on the performance of the
bearing system in a number of investigations (Ting
(1975), Prakash and Tiwari (1983), Prajapati (1991),
Guha (1993), Gupta and Deheri (1996)).
The standard deviation associated with the
characterization of roughness plays a crucial role
especially, when the effect of variances and skewness is
relatively not that sharp. Here, we propose to analyze
the performance of transversely rough infinitely long
slider bearing in which the standard deviation plays a
pivoted role.
Analysis
The configuration of the bearing system
which is infinite in Z-direction is given below in
Figure1, where in the slider moves with the uniform
velocity u in the X-direction. The length of the bearing
is L and breadth B is in Z-direction. The bearing
surfaces are considered to be transversely rough.
Taking in to account the predominant nature
of standard deviation the governing Reynolds equation
( Basu, Sengupta and Ahuja (2005), Andharia, Gupta
and Deheri (2001), Andharia, Gupta and Deheri (1997))
turns out to be
⎡ ⎤
dp
= 6μu ⎢
⎢ [ ( )]
h2 1 + m 1 − x − λh 2
L
⎥
⎥
dx ⎢ 3⎡
( ) 3⎤
[ ( )]
⎢ h2 ⎢⎣1 + m 1 − L ⎥⎦ + 3σ h2 1 + m 1 − L ⎥
⎣
x 2 x ⎥
⎦
(1)
The associated boundary conditions are
P=0 at X=0, X=L (2)
 Performance of an Infinitely Long Transversely Rough Hydrodynamic Slider Bearing

Introducing the dimensionless quantities Results and discussions

The pressure distribution of the bearing
h2 − h1 x h23 p σ h2
m= , X = , P= , σ = , h2 = system is determined by equation (3) while equation (4)
L μuL
L 2 L L presents the variation of load carrying capacity. The
and fixing the following symbols friction at the runner plate is calculated from equation
(5) while equation (6) gives the friction at the bearing
1+ J 2 (m J )
1 + [(1 + m ) ],
C= , A= surface. Thus, these above performance characteristics
(1 + m)2 + J 2 J2 depend on various parameters such as σ , m and h2 .
⎞ ⎛ 3σ Taking, standard deviation to be zero this study reduces
3σ L
J = , L= , λ =⎜
⎟G , to the performance of an infinitely long slider bearing.
h2 h2 ⎟ ⎜ h2
⎠ ⎝ It is observed that the effect of standard

tan −1 ⎨
⎧
⎪ (
m h 2 3σ ⎫
⎪
⎬
) deviation is significantly adverse. It is noticed that the
aspect ratio has a significantly positive effect in the

G=
(
⎪⎩1 + h 2 3σ (1 + m ) ⎪⎭
2

,
) sense that the load carrying capacity increases and the
friction decreases at the bearing surface and the runner
⎧ 2 ⎫
⎪ (1 + m ) 1 + 3σ h 2 ⎪
ln ⎨
(
⎬
) plate with increasing value of the aspect ratio. The
effect of σ is almost negligible upto 0.005 when
⎪ (1 + m )2 + 3σ h 2 2 ⎪
⎩ (
⎭ ) considered for the combined effect with respect to m
and h2 .
we obtain the dimensionless pressure distribution
determined by the expression Key References
¾ Christensen, H. and Tonder, K.C., Tribology of

P=
2 3 h2
2 ⎧
tan −1 ⎨
(
⎪ − h 2 3σ [m(1 − x)] ⎪
⎫
⎬+
) rough surfaces: Stochastic models of

( )
hydrodynamic lubrication. SINTEF report no.
mσ ⎪⎩1 + h 2 3σ [1 + m(1 − x)]⎪⎭
2
10/69 – 18, 1969.
(3) ¾ Christensen, H. and Tonder, K.C., Tribology of
3
2h 2
⎧
⎪
λ ln ⎨
1 + m(1 − x) 1 + 3σ h 2 ⎪
2 ⎫

⎬
( ) rough surfaces: Parametric study and
comparison of lubrication models. SINTEF
( )
2
σ ⎪ [1 + m(1 − x)]2 + 3σ h2 ⎪⎭
2
report no. 22/69 -18, 1969.
⎩
¾ Christensen, H. and Tonder, K.C., The
The dimensionless load carrying capacity per unit hydrodynamic lubrication of rough bearing
width is given by surfaces of finite width. ASME-ASLE

W=
2 ⎧
2 3 h2 ⎪⎛⎜ m2 − 1 ⎞⎟ −1
⎨ tan ( A) −
J
ln(C) −
2⎫
J tan−1( A) ⎪
⎬
( ) Lubrication conference, Cincinnati, Ohio, 1970,
paper no. 70-Lub-7.
mσ ⎪⎜⎝ m ⎟⎠ 2m ln[C(1 + m)] ⎪
⎩ ⎭ ¾ Andharia, P.I., Gupta, J. L. and Deheri, G.
(4) M., “Effect of longitudinal surface
Frictional force at the runner surface is given by roughness on hydrodynamic lubrication of

( )
slider bearings”. Proceedings of Tenth
⎛ 3h 2 L ⎞ ⎧⎪ ⎫
2
1 + h 2 3σ ⎪
F =⎜ ⎟ ln ⎨
2⎬
+ International Conference on Surface
⎜ 2m ⎟
⎝ ⎠ ⎪⎩1 + (1 + m) h 2 3σ ⎪⎭
2
( ) Modification Technologies, the Institute of
Materials, Singapore, 1997, pp.872-880.
⎛ 3 3σ LG ⎞ ⎧⎪ (1 + m )2 + 3σ h 2
⎜ ⎟ ln ⎨ ( ) ⎫⎪⎬ + 1 ln(1 + m)
2
¾ Andharia, P. I., Gupta, J. L. and Deheri, G. M.,
⎜
⎝ 2 ⎟
⎠ ⎪⎩ 1 + 3σ h 2
2
( ) ⎪⎭ m
“Effect of surface roughness and hydrodynamic
lubrications of slider bearings”, Tribology
Transaction, Vol. 44, No.2, 2001, pp. 291-297.
(5)
Lastly, frictional force at the bearing surface is obtained
as
⎛ 3h2 L ⎞ ⎧⎪1 + (1 + m)2 h2 3σ ⎫⎪
F =⎜ ⎟ ln⎨
2

⎬+
( )
⎜ 2m ⎟
⎝ ⎠ ⎪⎩ 1 + h2 3σ
2
(
⎪⎭ )
⎛ 3 3σ G L ⎞ ⎧⎪ 1 + 3σ h2
⎜ ⎟ ln⎨
2
( ) ⎫
⎪ 1
+ ln(1 + m)
2⎬
⎜
⎝ 2 ⎟
⎠ ⎪⎩ (1 + m)2 + 3σ h2 ( ) ⎪⎭ m

(6)

263
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Investigation of Fretting Fatigue Behavior of Ti811 Alloy at Elevated Temperature
*
Xiaohua Zhang , Daoxin Liu
(Corrosion and Protection Research Laboratory, Northwestern Polytechnical University, Xican 710072, China)
ABSTRACT
The fretting fatigue behavior of the Ti811titanium alloy, as
influenced by temperature, slip amplitude, and contact pressure,
was investigated E\using a high frequency fatigue machine and
a home-made high temperature apparatus. The fretting fatigue
failure mechanisms were studied by observing the fretting
surface morphology features. The results show that the
sensitivity to fretting fatigue is high at both 350°C and 500°C.
The higher the temperature is, the more sensitive the alloy is to
fretting fatigue failure. Creep is an important factor that
influences the fretting fatigue failure process at elevated
temperature. The fretting fatigue life of the Ti811 alloy does not
change in a monotonic way as the slip amplitude and contact
pressure increase. This is due to the fact that the slip amplitude
affects the action of fatigue and wear in the fretting process, and
the nominal contact pressure affects the distribution and
concentration of the stress and the amplitude of fretting slip at
the contact surface, and thus further influences the crack
initiation probability and the driving force for propagation.
Keywords: Fretting fatigue, Elevated temperature; Titanium
alloy; Wear; Creep
INTRODUCTION
Fretting fatigue (FF) occurs whenever a small amplitude
oscillatory motion between the two contacting bodies is
combined with an applied cyclic axial load. Damage caused by
FF leads to premature crack nucleation and results in a
reduction of fatigue life as compared with plain fatigue. FF
exists widely in many industries, such as the aviation, space,
traffic, and nuclear industries. FF damage is universal and
prevalent in the aviation industry [1, 2].
The Ti811 titanium alloy has many advantages, including
low density, high Young’s modulus, excellent vibration
damping capacity, good thermal stability, and good welding and
molding performance; particularly, its ratio of tensile strength to
density is the highest among industrial titanium alloys. As a
result, this alloy has become one of the important materials
selected for rotating components of the high temperature parts
of advanced aircraft engine compressors [3]. However, titanium
alloys are also characterized by poor tribological properties,
such as a high and unstable friction coefficient, severe
adhesive wear, susceptibility to fretting, and poor FF resistance
[4]. As a result, the reliability and service life of titanium alloy
blade/disk attachments in gas turbines are affected by FF
damage. Research has been carried out on the thermal stability,
oxidation resistance, thermohaline stress corrosion resistance,
and creep properties of Ti811 alloy at elevated temperatures [5,
6]. However, very little attention has been paid to the FF
behavior of Ti811 alloy at elevated temperature. But the FF
process is very complex and is affected by multiple factors,
including frictional wear, fatigue, and corrosion (including
oxidation). It has been reported that up to 50 variables might
influence the FF process. So the mechanism of FF damage at
elevated temperatures is not understood in depth; as a result,
* Corresponding author. Tel: +86 13193391986; Fax: +86 29 88492344;
E-mail address: yhzhangxh@nwpu.edu.cn
264
some blind attempts have been made to control FF damage [7].
On the basis of the above background, this paper presents a
study of the effects of temperature, fretting slip amplitude, and
contact pressure on the FF behavior of Ti811 alloy at elevated
temperature.
EXPERIMENT PROCEDURES
FF specimens and fretting pads were obtained from Ti811
titanium alloy bars (‡ 16 mm). Ti811 alloy is almost all
D-phase and contains 7.9% Al, 1.0% Mo, 0.99% V, 0.05% Fe,
0.1% C, 0.01% N, 0.001% H, 0.06% O, and balance, Ti. The
material was treated by double annealing (910 °C for 1 h, cooled
in air, 580 °C for 8 h, cooled in air). The resulting
microstructure is an equiaxial D-phase and intergranular
E-phase. The mechanical properties of the alloy are: Êb=931
MPa, Ê0.2=890 MPa, G=23% and <=46%.
A PLG-100C high-frequency fatigue machine was used to
conduct FF tests. The load was set in pull-pull. The contact state
between the pad and specimen was flat to flat, with a
rectangular contact area of 2 mmu 6 mm. Relative slip between
the specimen and pad was introduced by the difference in elastic
deformation between them. The relative slip amplitude could be
changed by adjusting the fretting pad length. The contact
pressure of the pads to the specimen was controlled using the
stressing ring. The FF susceptibility of the titanium alloy to the
temperature was evaluated by the S-N curves. The cycle load
was in a sinusoidal form at 110 Hz with a stress ratio of 0.1. Test
temperatures of 350 and 500 °C were adopted to simulate the
working conditions of aircraft engine compressors. An
electrical resistance furnace was used for heating and the
temperature was controlled at 350r1 or 500r1 °C using a
feedback temperature controller with a rectifier and a K-type
thermocouple.
RESULTS and DISCUSSION
Effect of temperature on fretting fatigue life
Fig.1 shows the plain fatigue (PF) and FF S-N curves of
750
ć3)
Maximum fatigue stess ³PD[03D
700
ć))
650
600
550
500
450
400
350
300
1 10 100

Cycles to failure, /h
Fig.1 S-N curve of plain fatigue and fretting fatigue of
Ti811 alloy at 350°C
 Investigation of Fretting Fatigue Behavior of Ti811 Alloy at Elevated Temperature
Ti811 alloy at 350°C. All FF samples fractured in the fretting
contact area. The length of the fretting pads was 15 mm. The
nominal contact pressure was 85MPa between the fretting pads
and the samples. The results indicated that the alloy was
susceptible to FF damage. The fatigue limit was reduced by
40% because of the fretting damage in the contact area. The
fretting damage accelerated the initiation and incipient
propagation of cracks, and thus imposed an obvious effect on
the fatigue limit. Compared with the effects at low stress levels,
the fretting damage was not obvious at high stress levels.
Because the axial cyclic load was in the dominant position at
high stress levels, cracks were easily initiated and the fatigue
life was shortened for both the PF specimen and the FF
specimen. So the contrast between the plain fatigue life and the
fretting fatigue life (FFL) was small.
The working temperature of compressor components
increases along the sequence of compressors in an aircraft
engine. The maximum temperature is about 500°C. Fig. 2
shows the FF S-N curves of the Ti811 titanium alloy at room
temperature, at 350°C, and at 500°C. The results show that the
FF limit decreased and the FFL was reduced at the same cyclic
stress when the temperature is increased. Especially at high
stress levels, the FFL was reduced more significantly.
Fig. 2 S-N curve of fretting fatigue of Ti811 alloy at
different temperature
Two effects were introduced when the temperature increased.
One was that the effect of creep was augmented, so the holistic
fatigue capability of the material decreased; the other was that
the oxidation of the material surface was accelerated. Three
major factors that affected the creep behavior of the material
were the stress level, the temperature, and time. The results
indicated that the effect of the temperature was more significant
at high stress levels, mostly owing to the role of creep. Previous
research has indicated that the diffusion mechanism was
dominant in the creep mechanism when the temperature was
below 425°C. The creep sensitivity of the alloy increased at
temperatures above 425°C owing to an increased number of slip
systems and the initiation of intergranular sliding. Though the
FF specimen fractured in the fretting contact area under a test
condition of 530 MPa (maximal cyclic stress) and 500°C, most
of the cracks that were produced by plain fatigue existed outside
the fretting area of the specimen. The results further illuminated
the fact that creep produced by the synergism of the stress and
temperature severely affected the FF at high temperature and
stress.
The surface of the titanium alloy was oxidized at high
temperature. Black fretting spots were generated in the fretting
area as a result of the high strain and deformation induced by the
friction. An obvious boundary was formed between the fretting
265
and nonfretting areas (Fig. 3(a)). Observation by SEM indicated
that the damage in the fretted surface consisted of delamination
(Fig. 3(b)). Debris was generated in the fretting contact area
because of the delimitation. Under high temperature conditions,
the debris would be expected to oxidize into hard abrasive
grains of TiO2, which would accelerate the abrasion and in turn
affect the process of FF damage. In addition, the abrasive grains
of TiO2 would be subsequently forced into the crack mouths by
the fretting pad when cracks were generated in the fretting area.
The presence of debris in crack mouths would accelerate the
propagation of the cracks by wedge action.
Effect of slip on FFL
Fig.3 FF specimen surface morphology at 350ď
XQGHU85 MPa pressure: (a) mac-rograph of fretting
damage, and (b) micro-morphology of fretting
damage
Fig. 4 shows the effect of slip on the FFL of the Ti811
titanium alloy. The maximal stress in the cycle was 530 MPa
and the contact pressure was 85 MPa. The results indicated that
the FFL changed nonmonotonically with increasing slip
amplitude. A minimum FFL was observed in a certain range of
relative slip. A similar characteristic was discovered in a study
of the FF of Ti6Al4V at room temperature [18]. The fact that the
contact condition in the fretting area was affected by the slip
amplitude was the primary reason. In the range of large relative
slip, the contact condition was gross slip. The area and degree of
60
,

Fretting fatigue life,F\FOHh
50
40
30
20
10 ,
0
,
20 30 40 50 60 70 80
Slip amplitude­P
Fig. 4 Slip amplitude on FF life of Ti811 alloy
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
wear on the surface increased when gross slip occurred. Not
only was the probability of forming propagating cracks reduced,
but also the cracks formed could be removed. The position of
the stress concentration was at the edge of the contact area in the
case of partial slip, but this position changed to the central
section of the contact area in the case of gross slip (Fig. 5(a)).
Simultaneously, the surface energy of the contact area was
altered by the oxidized debris. Hence the degree of stress
concentration in the material surface could be reduced, and the
fatigue effect of the partial contact could be reduced. Therefore
the FFL increased when the relative slip was large.
In the range of small relative slip, the contact condition was
partial slip. The sticking region (the region where the pads and
the material surface were immobile relative to each other) was
enlarged and the slip region decreased (Fig. 5(c)). Elastic
deformation occurred in tiny peaks on the material surface in the
sticking region; this was caused by the tangential displacement.
The area and degree of wear on the surface were small in the
case of partial slip. The probability of forming propagating
cracks was reduced, and so the FFL increased. A mixed state
existed when the range of relative slip was between those of
gross slip and partial slip. The sticking region was surrounded
by a slip region (Fig. 5(b)). The tangential friction force varied
wildly during the slip. The rather large tangential friction force
acted iteratively on the contact area, which was the boundary
between the slip region and the sticking region. A very large
partially compressive stress appeared in front of the slip region,
and the maximal tensile stress occurred behind the slip region.
Intensive plastic deformation and partial wear occurred at the
surface of the material. Cracks were then easily initiated at the
boundary between the slip region and the sticking region and
rapidly propagated, and so the minimum FFL was observed in
this range of relative slip.
Fig.5 Morphology of Slip amplitude on FF surface scar of
Ti811 alloy: (a)Slip amplitude 72­m; (b) Slip amplitude
36 ­m; (c) Slip amplitude 18 ­m
Effect of contact pressure on FFL
Fig. 6 shows the effect of the nominal contact pressure on the
FFL of the Ti811 titanium alloy. The maximal cycle stress was
530 MPa and the length of the fretting pad was 15 mm. The
results indicated that the FFL changed nonmonotonically with
increasing contact pressure. Because the sticking region was
266
enlarged and the plastic deformation of the contacted
microasperities increased at the surface of the material when the
contact pressure was increased, the true contacted area
increased and the true contact pressure was reduced, and so the
probability of forming propagating cracks was reduced and the
FFL increased. Gross slip and intensive wear occurred in the
contact area when the contact pressure was low. Under these
conditions, the nucleation pit of the microcracks might be
removed and the probability of forming propagating cracks
reduced. The debris which collected at the interface might
reduce the direct action between the surface and the tangential
force by becoming compacted into powder beds. The
non-fretting area of the contact surface was narrow and the
contact pressure was concentrated at the boundary between the
slip region and the non-slip region when the contact pressure
was in a certain range, and so the number of cracks initiated in
this area was low, and the FFL was low. In addition, the relation
between the changes of the contact pressure and the slip
amplitude was one of coupling adjustment. The true slip
amplitude was smaller when the contact pressure was larger
under the condition of the same fretting-pad span and cyclic
stress. In contrast, the results in the previous paragraph indicate
that the FFL increased when the slip amplitude was small.
100

Fretting fatigue lifeF\FOHh
10 , ,
,
40 60 80 100 120 140 160 180
Normal pressure03D
Fig. 6 Surface nominal pressure on FF life of Ti811
allo\
The effect of contact pressure on the FFL of the alloy was
reflected in the macroscopic and microscopic damage
morphology (Figs. 3, 7, and 8). When the contact pressure was
large, the gross wear was light and the pressure was the
dominant factor among all factors that influenced the FF
damage. Severe plastic deformation flow occurred near the
fracture. When the contact pressure was low, the gross wear was
severe. The mechanism of wear was a mixed mechanism of
delamination and abrasion. The number of propagating cracks
was reduced, and the fracture position transferred from the edge
of the contact area to the middle of the contact area (Fig. 8).
When the contact pressure was in a certain range between the
preceding two conditions, the synergistic action of pressure and
partial wear resulted in the FF cracks initiating and propagating,
and so the FFL decreased.
 Investigation of Fretting Fatigue Behavior of Ti811 Alloy at Elevated Temperature
Fig. 7 FF surface feature of Ti811 under different pressure:
(a) Macrograph of normal pressure170 MPa;
(b) Micro-morphology of normal pressure170MPa
(c) Macrograph of normal pressure 45MPa
(d) Micro-morphology of normal pressure 45MPa
Fig. 8 FF fracture feature under 45 MPa pressure
CONCLUSIONS
The Ti811 titanium alloy studied here was susceptible to FF
damage at both 350°C and 500°C. The sensitivity to FF
increased when the temperature increased. Creep was the
dominant factor in the FF damage at the elevated temperature.
The FF life changed non-monotonically with increasing slip
amplitude because the slip amplitude affected the action of
fatigue and wear in the FF process. The FF life changed
non-monotonically with increasing contact pressure because the
267
change of the nominal contact pressure altered the stress
distribution, the stress concentration, the fretting slip amplitude,
the degree of wear, and the wear mechanism in the contact area,
and affected the probability of initiating cracks and the driving
force for propagation.
ACKNOWLEDGEMENTS
This work was supported by National Natural Science
Foundation of China(Nos.50771070 and 50671085) and
National High Technical Research and Development program
of China (No. 2007AA03Z521)
REFERENCES
[1] Chakravarty. S, Koul. A. K, The effect of surface
modification on freting fatigue in Ti alloy turbine
components, Journal of metals, 47 (1995) 31-37.
[2] Lindley, T.C. Fretting fatigue in engineering alloy. Int. J.
Fatigue, 19 (1997) 39-49.
[3] Zhao, R. Q, Liu, B. N. Effect of alloying composition on the
mechanical properties of Ti811 alloy rods. Rare Metal
Materials and Engineering, 23 (1994) 59-65.
[4] Liu, D. X, Tang B, He, J W. MoS2 composite films on
titanium alloys prepared by ion beam enhanced deposition.
The Chinese Journal on Nonferrous Metals, 11 (2001),
454-460.
[5] Zhao, R. Q, Zhu, K. Y., Li, Z. C. Thermal stability and creep
behavior of Ti811 alloy rods. Development and Application
of Materials, 10 (1995) 16-21.
[6] Zhang, W. F., Liu, X. L., Zhao, W. G., Investigation on
oxidation behaviors of titanium alloy at temperature from
500ć to 650ć. Transactions of Materials and Heat
Treatment, 24 (2003) 55-61.
[7] WU, L. L., Holloway, B.C., Beesabathina, D.P., Analysis of
diamond-like carbon and Ti/MoS2 coatings on Ti6Al4V
substrates for applicability to turbine engine applications,
Surface and Coatings Technology, 130 (2000) 207-213.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Dry Sliding Wear Behavior of a Tribological Couple: Spray-Deposited Al-Si/SiCp
Composites/Brake Pads
Teng Jie (College of Materials Science and Engineering,
Hunan University, Changsha, 410082, P.R.China)
Chen Zhenhua (College of Materials Science and
Engineering, Hunan University, Changsha, 410082, P.R.China)
(Extended Abstract)
ABSTRACT
The spray deposited Al–Si/SiC composites, with Si
contents between 9% and 20% and 15vol% SiC particles were
fabricated by a novel spray deposition technology. The coupled
brake pad material was prepared by a novel dry-powder
processing route. The tribological couple was investigated by
using a ring-on-ring test at room temperature under dry
conditions. Moreover, the effect of silicon content and
thermomechanical treatment on the dry sliding friction and
wear properties of the Al-Si/SiCp composites were
determined.It has been found that the wear rate decreases with
the increase of hardness of composites due to silicon content
increasing. The wear resistances of the composites are
improved dramatically through thermomechanical treatment,
compared to as-sprayed composite, due to increasing hardness
and elimination of porosity. The wear mechanism of aluminum
matrix composite brake rotor is abrasive wear and
delamination wear, accompanied oxidative wear. And it is
greatly affected by the formation of friction plastic
deformation due to plowing effect. The wear mechanism of
brake pad is abrasive wear including filler breaking-off,
reinforced fiber fracture and interfacial debonding due to
plowing effect, and heat wear.
Keywords: Al-Si/SiCp composite; Spray deposition;
Microstructure; Dry sliding wear; Wear mechanism
INTRODUCTION
In the car-making industry, any reduction in the weight
of moving parts lowers the level of vibration and fuel
consumption, leading eventually to a more efficient vehicle.
The properties of metal matrix composites (MMCs), such as
increased wear and temperature resistance, as well as low
density, have been the subject of many studies[1-3].
Consequently, MMCs can compete with the traditional
materials in many tribological applications such as braking
system for automobiles.
The brake pad material is a composite material consisting
of metal fiber, resin and friction adjusting agent. The wear and
frictional behavior of brake rotor and brake pad material is
very complex. We need to regard brake rotors and pads as a
tribological couple that is different from others. This study was
carried out to define a characterization methodology, so as to
identify the wear mechanisms of this tribological couple, and
to evaluate the behavior of these new materials. Effects of the
silicon content and thermomechanical treatment on the dry
sliding wear behaviour of spray-deposited Al–Si/SiCp
composites were investigated. Effect of modification of the
brake pad material was also studied.
EXPERIMENTAL
In this investigation, Al-Si/SiCp composites with
different silicon used to make brake rotors were investigated,
and the details of the composites were described in
Chen Ding (College of Materials Science and
Engineering, Hunan University, Changsha, 410082,
P.R.China)
literature[4].The brake pad material used in the present study
contains of 10% phenolic resin, 10% powder rubber, 45%
reinforcing metal and inorganic fiber, 30% friction adjusting
agent (along with other constituents). Dry sliding wear tests
were carried out on a MM1000-type ring on ring machine in
air at room temperature. The wear rate was calculated from the
weight-loss measurements. To investigate the wear mechanism,
the worn surface and subsurface wear sample were examined
in scanning electron microscopy (SEM) and optical
microscopy (OM).
RESULTS AND DISCUSSION
The variations of wear rate of the composites as function of
Si content obviously show that the wear rate of the composites
decreases with increasing Si content. The primary Si phases
that act as load-supporting elements greatly affect the wear
property of the as-sprayed composites [5]. Silicon
particles resist against destructive action of abrasive and
protect the surface. So the plouging-grooves in worn surface
are much shallower and finer at higher silicon content
condition. Furthermore, it can be seen that the hardness of
composites increases with increasing Si content. The wear rate
is often considered to be inversely proportional to the hadness
of the composite, according to the well-known Archard’s law
[6].
Thermomechanical treatment processing can greatly
improve the wear resistance of composites. The hardness of
composites is increased after T6 heat treatment, it is
advantageous in improving deformation–adhesion resistance.
In addition, heat treatment reduces propensities for crack
nucleation at both Al/Si and Al/SiC interface [7], which results
in improved wear resistance.
Porosity in the as sprayed composite is a kind of serious
microstructure defect that affects the wear resistance of
materials [8]. Cracks can be precedently created from these
porosity during wear test. Therefore, the porosity is equal to
crack sources. But the porosity in the as-sprayed composite can
be eliminated through densification, which improves the wear
resistance. In addition, it is well
known that the wear behavior of hard particle reinforce
composite depends primarily on the type of interfacial bonding
between the Al matrix and reinforcement. Densification
enhances the bonding strength between particles and the matrix.
Therefore, the improvement in wear resistance of as-densified
composite can be attributed to the combined effects of the
elimination of porosity and enhancement of bonding strength,
which causes improvement in hardness and better wear
resistance of composite.
Modification of the brake pad material improves the
hardness and heat resistance of the brake pad materials. The
brake pad modificated is a good match for the brake rotor.So
the wear rates of the brake rotor and brake pad can be greatly
268
 Dry Sliding Wear Behavior of a Tribological Couple: Spray-Deposited Al-Si/SiCp Composites/Brake Pads
reduced.
The wear process should be controlled by different wear
mechanism for these composites. The dominant wear
mechanism is delamination wear, accompanied by adhesion
wear for brake rotor. With increasing hardness, the degree of
abrasive wear is decreased. The transfer layer, formed on the
worn surface, protects the surface from direct friction with
counterpart and further improves the wear resistance of
composite, and the dominant wear mechanism is slight
abrasive and oxidative wear. The dominant wear mechanism is
heat decomposition for brake pad.
CONCLUSIONS
Several conclusions can be drawn from the present
study:
(1) The wear rate of spray-deposited Al–Si/SiCp composites
isdecreased with increasing Si content, and the wear resistance
can be further improved by heat treatment and densification.
(2) Modification of the brake pad material improves the wear
resistance of the brake rotor and brake pad.
REFERENCES
[1] Du Jun, Liu Yaohui , Yu Sirong , Li Wenfang. Effect of
heat-treatment on friction and wear properties of Al2O3 and
carbon short fibres reinforced AlSi12CuMgNi hybrid
composites. Wear,2007,262:1289–1295.
269
[2] R.K. Uyyuru, M.K. Surappa, S. Brusethaug. Tribological
behavior of Al–Si–SiCp composites/automobile brake pad
system under dry sliding conditions. Tribology
International,2007, 40: 365–373.
[3] N. Natarajan , S. Vijayarangan , I. Rajendran. Wear
behaviour of A356/25SiCp aluminium matrix composites
sliding against automobile friction material. Wear,2006, 261:
812–822.
[4]Chen Zhenhua, Teng Jie, Chen Gang, Fu Dingfa, Yan
Hongge. Effect of the silicon content and thermomechanical
treatment on the dry sliding wear behavior of spray-deposited
Al-Si/SiCp composites.wear,2007,262:362-368.
[5] B.K. Prased, K. Venkateswarlu, O.P.Mode, Sliding wear
behavior of some Al–Si alloys: role of shape and size of Si
particles and test conditions, Metall. Mater. Trans,1998,A 29:
2747–2752.
[6] P.K. Rohatgi, Y. Riu, S. Ray, Friction, Lubrication and
Wear Technology, American Society for Metals, Metals Park,
OH, 1992, p. 85.
[7] S. Sawla, S. Das, Combined effect of reinforcement and
heat treatment on the two body abrasive wear of aluminum
alloy and aluminum particle composites, Wear,2004, 257:
555–561.
[8] P.N. Bindumadhavan, T.K. Chia, M. Chandrasekaran,
Effect of particleporosity clusters on tribological behavior of
cast aluminum alloy A356–SiCp metal matrix composites,
Mater. Sci. Eng, 2001,A 315:217–226.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Wear Behaviors of a Cu-Based Bulk Metallic Glass under Various Gas Atmosphere
G. Q. Zhangab*, L. N. Wanga, H. Z. Liub
a
Key Laboratory of Advanced Textile Materials and Manufacturing Technology (Zhejiang Sci-Tech University), Ministry of
Education, Hangzhou 310018, P.R. China
b
College of Chemical Engineering and Materials Science, Zhejiang University of Technology, Hangzhou 310008, P.R.
China
(Extended Abstract)
ABSTRACT
Wear behaviors of Cu45Zr48Al7 bulk metallic glass are
investigated by ball-on-disk method at room temperature. The
alloy exhibits different wear resistance under air, low vacuum
(102 Pa) and pure nitrogen atmosphere. Oxidation occurs
clearly during wearing under all the atmospheres studied here.
However the oxidation degree decreases as the atmosphere
transforms from air to low vacuum, then to pure N2 gas.
Meanwhile wear resistance also decreases correspondingly. It
seems that oxides brought from wearing, such as ZrO2 and
Al2O3, significantly enhanced the wear resistance of the
Cu-based alloy.
Keywords: Metallic glasses, Wear, Oxidation
1. Introduction
Owing to their unique physical, mechanical and chemical
properties bulk metallic glasses become the research focus
[1–8]. Today several Zr-based BMGs already show the
potential applications in biomedical materials, this largely
enhances the possibility of industrial applications. Hiromoto et
al. [9-12] firstly reported the electrochemical behavior of
Zr65Cu17.5Ni10Al7.5 BMG and found that the BMG exhibited a
similar polarization resistance to that of pure titanium. Horton
and Parsell [13] demonstrated the biocompatibility of the
Zr65Cu17.5Ni10Al7.5 BMG as good as that of titanium, and
Stefano Buzzi et al. [14] further demonstrated that the surfaces
of the Zr–Cu–Fe–Al glasses containing zirconium oxide also
yields good biocompatibility. However, the friction and wear
properties are of direct concern when the BMGs are used as
biomedical materials such as artificial bone. Many metallic
glasses, especially Zr-based BMGs, exhibit excellent
tribological and wear-resistant properties [15-23]. Several
studies reported that metallic glasses have higher wear
resistance compared to its crystallized counterpart [15-18]. In
addition, most of the Zr-based BMGs developed to date
contain the element Ni, which usually elicits an allergic
response from the human body [24, 25]. Recently several
Ni-free Cu–Zr–Al bulk glassy alloys [26] were developed,
which exhibit good plasticity together with a high yielding
strength making them attractive for medical applications.
Considering the various using surroundings, like vacuum or
other atmospheres, the wear properties of the alloys under
these atmospheres are significant and should be studied. In this
study, dry sliding wear behavior of the Cu45Zr48Al7 alloy was
investigated under air, low vacuum (102 Pa) and pure nitrogen
atmosphere respectively using ball-on-disk method.
*To whom all correspondence should be addressed:
zgq@zstu.edu.cn (Dr Guoqing Zhang)
270
2. Experimental
Master ingots of the Cu45Zr48Al7 alloy were prepared by
arc-melting a mixture of pure Zr (99.8 at.%), Cu (99.9 at.%),
Al (99.99 at.%) and Ag (99.9 at.%) in a Zr-gettered argon
atmosphere and each ingot was arc-melted at least four times.
Then, the rod samples of 5 mm in diameter with nominal
composition of Cu45Zr48Al7 were prepared by copper mould
casting. The structure of the samples was examined using a
Thermo ARL X’tra diffractometer with Cu Kα radiation. The
thermodynamic parameters of the sample were analyzed on a
PerkinElmer Pyris Diamond differential scanning calorimeter
under a continuous argon flow at a heating rate of 0.33 K/s.
The Vickers hardness of as-prepared samples was measured
under 100 g load by a Vickers diamond pyramidal
microhardness tester (MH5, China) at room temperature.
The ball-on-disk apparatus was used for wear testing. The
specimen, Cu45Zr48Al7 BMG rods with 5 mm in diameter, was
cut into disks with 1 mm thickness. The surfaces of these disks
were polished with 1200 grit wet SiC paper. The disk
specimens were worn against a rotation silicon nitride ball with
diameter of 3 mm under the normal force 1.47 N. Each test
was held on for 120 min with 1200 r/min rotation speed. The
mass lose for each specimen was calculated by accurately
weighing the specimens before and after wear tests with an
electronic balance of ±0.00001 g precision. According to
Archimedes’ law, the density of the Cu-based BMG was
measured using densitometer (Meteler-Toledo XS105). The
worn surfaces of the specimens were observed using a JEOL
JSM-5610 scanning microscope equipped with Oxford EDS
(Energy Dispersive X-ray Microanalysis), and the oxygen
content of the alloy surface is measured simultaneously.
3. Results and discussion
Figure 1 shows the DSC scan of the as-cast Cu45Zr48Al7
BMG alloy, and the insert shows the corresponding XRD
pattern. Only broad diffraction peaks were detected from the
XRD pattern, indicating that the specimen is monolithic
amorphous structure. The glass transition temperature (Tg),
crystallization temperature (Tx) together with plastic strain (ε)
are summarized in Table 1. Both the density () and Vickers
hardness (Hv) measurements are done repeatedly ten times to
ensure reproducibility of the results. And the average values of
the density and Vickers hardness are also shown in Table 1. It
is found that the alloy exhibits good thermal stability with high
values of Tg (698 K) and TX (758 K) and high hardness.
 Wear Behaviors of a Cu-Based Bulk Metallic Glass under Various Gas Atmosphere

Cu45Zr48Al7


Ę
Endothermal
Intensity (arb. unit)

Fig. 2 SEM images of the worn surfaces of the specimen after

20 40 60
© (degree)
600 700
Temperature (K)
Fig. 1 DSC scan of as-cast Cu45Zr48Al7 at a constant heating
rate of 0.33 K/s. Insert is XRD pattern of as-cast rod of the
alloy
Table 1 The values of the thermal and mechanical parameters
for as-cast Cu45Zr48Al7 BMG prepared by copper mold casting
Alloy system Tg Tx
(K) (K)
Zr48Cu45Al7 698 758
Dry sliding wear testing was carried out under air, low
vacuum and pure nitrogen atmosphere respectively at room
temperature. During the course of wearing, the disk specimen
was worn under a normal force of 1.47 N, and each test was
held on for 120 min with 1200 r/min rotation speed. Fatigue
and even scars easily occurred in the sub-layer after running
for a period of time, which led to the removing of debris from
the alloy surface, leaving scars on the surface. In the present
paper, the worn surfaces of the specimens are mainly
composed of scars and smooth plane with grooves from the
SEM graphs in Figure 2 (a, b, c). More severe scars are found
in the surface of Cu45Zr48Al7 alloys when the atmosphere
transforms from air to pure nitrogen, which means wear
resistance decreases with the changing of the atmosphere.
According to the Archard equation [27, 28],
SN
Vw = K
H
Where Vw is total removed volume of material, H is the
material hardness and K is the wear coefficient, S and N
describe the total relative sliding distance and the normal load
respectively.
testing, under the atmospheres of (a) air, (b) low vacuum and
(c) pure nitrogen respectively. Oxygen content is measured by
EDS spectroscopy (d)
80
Wear resistance is also defined as
SN
800 900 Rw =
Vw
The volume lose Vw=m/² can be calculated by weighing
precisely the mass lose of the specimens after wearing test,
including wear coefficient (K) and wear resistance (Rw) were
summarized in Table 2. It is also found that remarkable
oxidation occurs on the alloy surface from EDS spectroscopy
shown in Figure 2 (d). Values of oxygen content obtained from
EDS under these atmospheres are listed in Table 2.
Table 2 Wear testing results of the Cu45Zr48Al7 BMG under
different atmosphere
 Hv100g  Vw K Oxygen
Atmosphere Rw
(×10-4cm3) ×10-4 (×1013Pa) (at%)
g/cm3 (GPa) (%)
Air 3.47 4.49  56.55
7.05 5.16 2.4
Low vacuum 3.61 4.67 1.10 45.52
Pure
4.02 5.20 0.99 25.02
nitrogen
It is clear that the volume lose, wear coefficient and
frictional coefficient of the alloys increase obviously with the
atmosphere transforms from air to pure nitrogen, while wear
resistance decreases. As a fundamental parameter to describe
the severity of the wear, typical value of wear coefficient K is
range from 10–2 to 10–4 for severe wear and from 10–4 to 10–6
for mild wear [29]. It seems that it is close to severe wear for
the Cu45Zr48Al7 BMG. Wear resistance of the metallic material
is directly related to mechanical properties of the material.
Previous studies [30, 31] have verified that wear resistance is
proportional to the material hardness. However, in this study,
the wear resistance shows remarkable difference after worn
under air, vacuum and N2 gas atmosphere for the same one
alloy. Therefore oxygen element content on the alloy surface,
which was picked from a scar, is measured by EDS (see Table
2). As the atmosphere transforms from air to pure nitrogen,
oxygen atomic percent on the alloy surface largely drops from
56.55% for air atmosphere down to 25.02% for pure nitrogen
surrounding, which suggests that oxidation degree on the alloy
surface decreases. Several studies [32-34] reported that metal
oxides such as ZrO2 and Al2O3 on the alloy surface can
improve the wear resistance of the alloy. The possible
mechanism is that alloy surface layer gets to more compact
because oxygen element enters into alloy matrix, which
improves the hardness of the alloy surface. For the present
Cu45Zr48Al7 BMG, oxidation such as ZrO2 and Al2O3 are
unavoidable to occur on the surface of the alloy, and the
thicker oxide film is, the higher wear resistance of the alloy

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
becomes. Oxidation degree decreases with the atmosphere
transforming from air, low vacuum to pure nitrogen, which
bring on wear resistance decrease. So it is oxidation make the
Cu45Zr48Al7 alloy exhibit different wear property under various
atmospheres.
4. Conclusions
In the present work, dry sliding wear behaviors of
Cu45Zr48Al7 BMG is investigated by ball-on-disk method
under various atmospheres at room temperature. It is found
that the volume lose, wear coefficient and frictional coefficient
of the alloys increase obviously with the changing of the
atmosphere from air to pure nitrogen, but wear resistance
decreases. The SEM images illustrate that more severe scars
appear when worn under low vacuum and pure nitrogen gas. It
is also found that remarkable oxidation occurs on the alloy
surface, which is the main reason for the wear property
changing of the Cu45Zr48Al7 bulk metallic glass under various
atmospheres. The results demonstrate that metal oxides, such
as ZrO2 and Al2O3 produced on the alloy surface, can improve
the wear resistance of the Cu45Zr48Al7 BMG alloy.
Acknowledgements
The authors would like to thank financial support from the
Department of Education of Zhejiang Province (Grants Nos.
20070434), and Key Laboratory of Advanced Textile Materials
and Manufacturing Technology (Zhejiang Sci-Tech University),
Ministry of Education is gratefully acknowledged.
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 A Study of the Correlation between Gear Wear and Vibration

A Study of the Correlation between Gear Wear and Vibration

Cao Yibo1, Xie Xiaopeng2, Liu Yan1, Ding Tianhuai3

1
Research Institute of Tsinghua University in Shenzhen, RITS Optomechatronics Key Lab. 518057, China
2
South China University of Technology of Automotive Engineering, Guangzhou510061, China
3
Department of Precision Instruments and Mechanology, Tsinghua University, Beijing 100084, China

ABSTRACT increasing of relative humidity within the observe range [13].

In the paper, the objective of the study is to investigate the
correlation between gear wear and vibration analysis. The study
is made of two parts, which are theory analysis and experiment
analysis. The theory analysis is achieved by analyzing the
dynamics equation of a couple of gear. These results of
experiments are achieved by investigating eight experiments of
simulating gear wear. These experimental gears are different,
while the operating conditions of the eight simulating tests are
kept the same. These experimental gears are one normal gear,
three fault gears simulating three types of pitting corrosion,
three fault gears simulating three types of spalling and one fault
gear simulating one tooth break. These experimental simulating
gear wears are conducted in a test-bed, the normal gear is
initially run as a comparative test. Oil samples and vibration
data are - collected. After comparing numerical data produced
by oil analysis with vibration analysis, the experimental results
Then how to integrate these two techniques is unknown because
that the correlation between wear and vibration is uncertainty.
The work of the paper is to study the correlationship
between gear wear and vibration in detail by using of theoretic
analysis and some simulation tests. Firstly, the correlation
between gear wear and vibration is discussed through
analyzing the dynamics equation of a gear pair. Secondly, eight
simulation tests are chosen to study the correlation between
gear wear and vibration through oil samples [14] and vibration
data. In the end, the conclusion is obtained by comparing the
theoretical analysis and experimental results.
2 THEORETICAL ANALYSIS
n1

of the correlation of gear wear and vibration analysis are

achieved. At the end, from the theoretical analysis and the
experimental results, the preliminary results about the m1
N1
correlation between gear wear and vibration analysis could be
achieved, which are as follows: the correlation is not direct Y
proportion if the main influencing factor of gear wear to gear
vibration is rotation error; the correlation is direct proportion if
X
the main influencing factor of gear wear to gear vibration is e

falling-in error.
Keywords: Gear, Wear, Vibration Analysis, Simulation Test
K C

n2
1 INTRODUCTION
Gear is the most widely used machinery, wear and vibration
analysis are two main conditions monitoring techniques for gear
maintenance and fault diagnosis [1]. These two techniques have N2 m2
their advantages and disadvantages. When these two techniques
are conducted independently, only part of machine faults can be
diagnosed [2]. However, many practical experiences has shown
that integrating these two techniques in a machine condition
monitoring program can provide greater and more reliable
information of machine fault diagnosed[3-6]. Many scholars
had done some researches to combine gear wear and vibration to
Fig.1 The dynamic model of one gear pair
diagnose the machinery faults [7-9]. In 2003, Z. Peng and N. J.
Kessissogloub had investigated the correlation of vibration
m1 and m2 are the masses, n1 and n2 are the speed,
analysis and wear debris analysis by using an experimental
test ring consisting of a worm gear box, and found that z1 and z2 are the number of teeth of two different gears in
combining the vibration analysis and wear debris analysis can one gear pair, fig.1 shows the dynamics model of one gear
improve the ratio of the machinery faults diagnosed [10-11]. pair. The dynamics equation of a couple of gear can be written
Wear influence vibration, and vibration influence wear [12]. As as follows [15]:
common, the correlation between gear wear and vibration MX  CX  K g  t  X K g  t  E1  K g  t  E2  t  (1)
analysis is believed to be directly proportional, but the result is
Where M is the equivalence mass of the gear pair, and
lack of enough proofs. For example, Mohammad Asaduzzaman
M m1m2  m1  m2  ; X is the displacement along the line
Chowdhury and Md. Maksud Helali’s researches show that the
values of wear rate of a mild steel decreases with the increasing of action; E1 is the average quiescence elasticity distortion
of frequency of vibration and the wear rate decreases with the

273
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

under load; E2  t  is called error function, which is rotation error. Gear wear may increase or decrease the value of
represented by the relatively displacement among two different the gear pair vibration.
gears caused by gear’s error and fault. 2) Let the vibration error caused by gear wear be meshing
From equation (1), the sources of gear vibration are from error, that is the value of Bn is variable and the value of A
two parts, which are K g  t  E1 and K g  t  E2  t  . K g  t  E1 is constant, then the value of the part 1, 2 of equation (4) is
represents the source of the general gear engaging vibration, constant and the value of the part 3, 4 part of equation (4) is
which has no relation with those gear errors or faults. changing. Let k n , the part 3 of equation (4) by using of
K g  t  E2  t  represents the source of the variation gear Bessel function could be described by following equation (5).

vibration, which is related with K g  t  and E2  t  [12]. J 0  E  cos  kZ g t   J1  E 

E2  t  is consisted of two parts, which are gear mesh error u ª¬cos  kZ g  Z0  t  cos  kZ g  Z0  t º¼ (5)

and rotation error. E2  t  can be described by following  J 2  E  u ª¬ cos  kZ g  Z0  t  cos  kZ g  Z0  t º¼  

equation. Where J i  E  is the coefficient of Bessel function. From
f
E2  t  A sin Z0t   ¦ Bn cos  nZk t  M n  (2) equation (5), a conclusion can be obtained that the values of
n 1
the vibration of the gear pair increase when the gear wear
Where Z0 is the original angular velocity of became worse. By using the same method, from the part 4 of
gear, Z0 2S f 0 . Zk is the angular velocity of meshing gear, equation (4), the same conclusion can be obtained.
Zk 2S f k ; A is the rotation error of engaging tooth; Bn is 3) Let the vibration error caused by both the meshing error
and the rotation error, by integrating the analysis above, a
the mesh error of engaging tooth; M n is the angle of gear conclusion can be obtained that if the most part of the gear
mesh error. vibration error caused by gear wear is meshing error, gear wear
K g  t  is the stiffness of engaging tooth which is a periodic always increase the vibration, and if the most part of vibration
function of t , and can be described by Fourier series. error caused by gear wear is rotation error, gear wear may
Supposed the gear pair is in the condition of double meshing increase or decrease the value of the gear pair vibration.
condition when t 0 , K g  t  can be described by following In fact, the vibration error of gear is made up of rotation
error and meshing error. So, if the value of rotation error is
equation. bigger than the value of meshing error, the gear wear may not
f
k0  ¦ Cn cos  nZ g t  M n 
increase the value of vibration of the gear pair; if the value of
K g t  (3)
n 1
Where k0 is the average stiffness of the gear pair; Z g is
the angular velocity of the gear pair, Z g
k g 2 are the stiffness of the gear pair being single meshing
condition and double meshing condition; Cn is the harmonic
and M n is the harmonic angle of the stiffness of the gear pair.
meshing error is bigger than the value of rotation error , the
gear wear increase the value of vibration of the gear pair.
2S f k ; k g1 and 3 EXPERIMENTATION
3.1 Test equipment
The test equipments are made up of a CGTS transmission
test-bed and a set of data acquisition system, figure.2 shows its
construction. The set of data acquisition system is made up of
Let y  t  K g  t  E2  t  , then the gear error function can be two sub-systems, which are oil collected system and vibration
described by equation (4). signal sample system. The vibration signal sample system
y  t  Ak0 sin Z0t   A sin Z0t  consists of acceleration sensor type B K4321, electric current
f f amplifier type B K2653, DAS multifunctional interface box
u¦ Cn cos  nZ g t  M n   k0 ¦ Bn cos  nZk t  M n  (4) and a portable PC-Signal collected system. The sensitivity of
n 1 n 1 senor is 1.0. The CGTS transmission test-bed is supplied by
f f
 ¦ Bn cos  nZk t  M n  u ¦ Cn cos  nZ g t  M n  Chongqing University.
n 1 n 1
Supposed that the equation (4) is made up of four parts,
which Portable PC- Singal collected system DAS multifunctional interface box B&K2653
f
are Ak0 sin Z0t  , A sin Z0t  u ¦ Cn cos  nZ g t  Mn  ,
n 1
Vibration sensor
f f f
k0 ¦ Bn cos  nZk t  Mn  , ¦B n cos  nZk t  Mn ¦ Cn cos  nZ g t  M n  . Electromotor Transmission The test gearbox Drag electromotor
n 1 n 1 n 1

From equation (4), some analysis can be obtained as follows: The place of oil collected
1) Let the vibration error caused by gear wear be rotation
Spacer
error, that is the value of A is variable and the value of Bn
Fig.2 The system diagram of Gear wear simulation test
is constant, then, from equation (4), the value of K g  t  E2  t 
would change with the value of A . Because the value of A
may be increased or decreased, a conclusion can be obtained
that the value of the vibration of the gear pair may be increased
or decreased, if the gear vibration error caused by gear wear is
274
The type of test gearbox is K727840ZW. The test gear is the
second gear of the gearbox. The material of test gear is
20CrMnTi, and the gear was case hardened to a depth of
0.2mm with a Rockwell hardness of C58/60. The number of
 A Study of the Correlation between Gear Wear and Vibration
teeth is 23. Fig. 3 shows the photos of eight types of test gears,
which are named as T1 , T 2 , T3 , T 4 , T5 , T 6 , T 7 , T8 . T1 is
normal gear, the others are fault gear which T 7 , T8 are from
factory, and the others are made in laboratory. These details of
fault characters of gears are shown in the table.1. BP 45 is
selected to be lubricating oil in these tests.
(a) (b) (c) (d)
(e) (f) (g) (h)
Fig.3 The photos of experimental gear: (a) T1 ; (b) T 2 ; (c) T3 ;
(d) T 4 ; (e) T5 ; (f) T 6 ; (g) T 7 ; (h) T8
Table 1 the characters of experimental gears
type characters
T1 The texture of the tooth surface is in good condition.
T2 There is a pitting corrosion whose diameter is about
5mm in one tooth surface
T3 There are three pitting corrosion whose diameter ranges
from 4mm to 5.5mm in one tooth surface.
T4 There are several pitting corrosions whose diameter
ranges from 4mm to 5.5mm in several teeth surface
T5 There is a spalling piece in every tooth surface. There
are some small ploughs in every tooth surface. The
length of a spall piece in every tooth surface is from
2mm to 4mm and the width of the spalling piece ranges
from 0.5mm to 2mm.
T6 There is a spall piece in every tooth surface, and the
length of those spall piece ranges from 5mm to 12mm
and the width of the spall piece ranges from 3mm to
5mm. There are many ploughs in every tooth surface and
the deep depth of ploughs is up to 0.1mm.
T7 There are many severe spalls in every tooth surface. The
length of spall pieces is about 20mm and the width of
spall pieces is about 8mm. There are some fusion
phenomena shown in gear surface.
T8 There are two teeth broken in a gear, one tooth is broken
from root line and the other is broken from root line
3.2 Test Plans
Two different test projects are proposed in the paper. The
operating conditions of project 1 are with constant speed and
load and the operating conditions of project 2 are with variable
speed and load. Table.2 describes the two test projects in detail.
There are eight tests in every project. The type of test gear in
two projects are T1 , T 2 , T3 , T 4 , T5 , T 6 , T 7 , T8 . There are sixteen
test gears used in simulation tests.
275
Table 2 The detail of two test plans
Project Description
1 The constant load and speed are 60Nm and
800r/min. One vibration signal and one oil sample
are sampled 40 minute interval. The number of
vibration signals sampled and oil samples collected
is ten. The time of vibration signal sampled and oil
sample collected is same.
2 The variables loads are 20Nm, 40Nm, 60Nm, 80Nm
and 100Nm, the values of variable speed are
400r/min, 600r/m, 800r/m, 1000r/m, 1200r/m and
1400r/m. The operating conditions are assembled
with those variable loads and speeds shown above
with freedom. One vibration signal and one oil
samples are collected three work condition interval.
The number of vibration signals collected and the
number of oil samples collected are ten. The time of
vibration signal collected and oil sample collected is
same.
Notes:
1) The running-in time of every test gear is one hour
2) The temperature of oil is controlled below 60ć
3) When the work condition of machinery is changed, those
experimental data should be sampled when the machinery run
in steady state.
4 ANALYSIS OF THE TEST DATA
Because the life of gear is very long and the operating
condition of gear is very complex, it is impossible to simulate
the gear’s life in laboratory. During the study, in order to
simulate gear life, the life of gear are supposed to be made up
of five phases, which are normal phase, slight wear phase,
moderate wear phase, severe wear phase and failure phase.
Then, the characters of typical work condition in different
phase can be considered as the characters of gear in its life.
Based on the hypothesizes above, supposed these eight
simulation tests in every project is typical work phases through
gear life in different operating condition, the gear life in
different operating condition could be made up of eight
simulation tests in the paper in two projects.
Two parameters being dQ and V , were used in the paper.
dQ represents the meaning of the change rate of abrasion
gross and the developing rate of abnormity wear [16]. V
represents the meaning of the variance of vibration signal, the
value of V represents the energy of the vibration signal.
According to the assumption mentioned above, the value of
dQ of eight simulation tests in different project could be used
to express the change rate of gear wear in gear life, and the
value of V of eight simulation tests in different project could
be used to express the value of gear vibration in gear life. Then
the relationship of dQ ~ V shows the relationship of the
changing rate of gear wear and the value of gear vibration
signal in gear life. In order to compare those two parameters
with two different units with each other, the value of two
parameters was unitary. The operating condition of vibration
signal collected is same in two test plans, which speed load are
800r/m, and load are 60Nm. The graduation in x axis
represents different phases in gear life and the graduation in
y axis represents the unitary value of gear wear characters or
vibration characters. The magnified multiple of the vibration
signal is 316.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

4.1 Constant load and speed The values of V are 0.08198 mm/s2, 0.032807 mm/s2 and
The experimental results of project 1 show in fig.4. The 0.611525 mm/s2 separate. Then a similar conclusion as above
operating condition is in constant load and speed. Fig.4 can be attained, which is the change trend is the same, more
represents the relationship of dQ ~ V through the gear life. worse gear wear, bigger the value of V . But there some
From normal wear to pitting corrosion of gear, the change rate exceptions, especially in the condition of pitting corrosion.
of gear wear rate dQ increase stably, from 0.13065, 0.17671
to 0.19191. But from slight spalling fault, serious spalling fault
to some teeth broken of gear, the changing rate of gear wear
rate increase rapid, from 0.246 in slight spalling fault to
0.39539 in some teeth broken. The value of dQ is bigger and
bigger during the gear life, which denotes that the gear wear
velocity becomes bigger. But the change indirection of the
values of vibration signals isn’t same as the changing rate of
gear wear rate. During the condition of pitting corrosion, the
value of vibration signals changes from 0.241305 mm/s2,
0.120596 mm/s2 , to 0.23451 mm/s2, the value of vibration
signals become less. So, from the figure 4, the conclusion can
be achieved as follow: during the work condition with stable
speed and load, the changing direction of the change of gear
wear rate is same with the change direction of the change of
gear vibration signal, more worse gear wear, more bigger the
value of the vibration signal. But there are some expectations,
for example, during the pitting corrosion, the value of the
vibration signal become less when the value of the change rate Fig.5 The relationship chart of dQ ~ V among the gear full
of gear wear become bigger. life with variable load and speed

Fig.6 shows the contrast drawing of the change rate of gear

wear among two projects, which one is in stable speed and
load, and another is in variable speed and load. From the fig.6,
the change rate of gear wear in project 1 is smaller than the
change rate of gear wear in project 2, which denotes that the
variable speed and load would increase the change rate of gear
wear. When gear is in the condition of mild wear, the change
rate of gear wear with stale speed and load is less than the
change rate of gear wear with variable speed and load. For
example, for the type of gear T 2 and T3 , the dQ of project
1 is 0.17671 and 0.19191, but the dQ of project 2 are
0.17031 and 0.14678. But the value of vibration signal of
project 1 is smaller than the value of vibration signal of project
2. The analysis shows that the vibration of gear may lessen the
gear wear.

Fig.4 The relationship chart of dQ ~ V through the gear life

with constant load and speed

4.2 Variable load and speed

The experimental results of project 2 show in fig.5, which
represents the relationship of dQ ~ V through the gear life
with variable load and speed. Eight values of dQ and V
were lined to two different polyline, which are the black
polyline and the red polyline. The black line represents the
change of gear wear rate in gear life, and the red line
represents the change of gear vibration signal variance. The
fitting slope of two polyline is 0.12451 and 0.04126 separately,
then, a conclusion could be achieved as follow: during the gear
life, the change rate of gear wear becomes bigger and bigger,
in the same time, the value of vibration signal became bigger Fig.6 The change rate of gear wears in two projects
and bigger. But if the polyline of V is discussed in detail,
some exceptions can be found. When the gear was in the Fig.7 shows the change of gear vibration signal variance
condition of pitting corrosion, the values of V in two tests, during gear life in the condition of variable speed and load.
which are one pitting in one tooth face, and three pitting in one There are five tests, which operating conditions are same
tooth face, is less than the value of V in normal condition. except different loads, which are from 20Nm to 100Nm. When

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 A Study of the Correlation between Gear Wear and Vibration
the load is 40Nm, the V in the condition of normal condition
is 0.77537 mm/s2, but the V in the condition of T 2 is
0.26042 mm/s2, the V of T 4 is 0.02732 mm/s2, the V of
T5 is 0.3589 mm/s2. From those data of different tests, a
conclusion can be obtained, which is that when gear run in the
condition of pitting corrosion, some value of vibration signal
variance is less than the value of vibration signal in the
condition of normal wear. The conclusion above indicates that
the gear wear may less the vibration of gear.
Fig.7 The change chart of V during the gear life with
variable load and speed
In summary, experimental results show that when gears run
in the condition of mild wear, the gear wear isn’t in the same
direction with the gear vibration. If comparing the
experimental results with the academic analysis, the academic
analysis can explain the reason of experimental results.
Because the value of rotation vibration error may become
small or big during gear life, and if the rotation vibration error
of gear is bigger than the mesh vibration error, the rotation
vibration error has main pole in the value of gear wear, and
then the value of gear wear would change as the value of
vibration rotation error.
5 SUMMAYR
In the paper, the experimental conclusion matches the
academic conclusion very well.
1) During the gear life, the trend of influence of Gear
wear working on gear vibration one another is same, more
worse gear wear, more bigger the value of gear vibration signal
are, vice versa. But when gear run in the condition of mild
wear, the gear wear may not increase the value of gear
vibration, vice versa.
2) The relationship between gear rotation vibration error
and gear mesh vibration error decides the relationship between
gear wear and gear vibration. If the most part of the gear
vibration error caused by gear wear is gear rotation vibration
error, gear wear don’t always increase the gear vibration; if the
most part of the gear vibration error caused by gear wear is
gear mesh error, gear wear always increase the vibration.
277
REFERENCES
[1] DING Kang, ZHU Xiaohua,CHENG Yahua, The
vibration characteristics of typical gearbox faults and its
diagnosis plan, Journal of vibration and shock, vol.20
N03.2001,p7-12.
[2] J. Mathew, J. S. Stecki, Comparison of vibration and direct
reading ferrographic techniques in application to
high-speed gears operating under steady and varying load
conditions, J. Soc. Tribol. Lubr. Eng. 43(1987) 646-653.
[3] T.M. Hunt, Condition Monitoring of Mechanical and
Hydraulic plant: A Concise Introduction and Guide. 1996,
London: Chapman & Hall.
[4] Newell, G.E., Oil analysis-cost effective machine
condition monitoring technique, .Ind. Lubricat. Tribol.,
1999. 51: p. 119-124.
[5] Anderson, D.P., Wear Particle Atlas, revised ed. 1982:
Report NAEC- 92-163.
[6] CAO Yibo, DP dissertation, Gear Fault Diagnosis Based
on Information Fusing Oil monitoring Data and Vibration
monitoring Data, 2007, South China University of
Technology, P20.
[7] H. Maxwell, B. Johnson, Vibration and lube oil analysis in
an integrated predictive maintenance program, in:
Proceedings of the 21st Annual Meeting of the Vibration
Institute, 1997, pp.117-124.
[8] D. D. Troyer, M. Williamson, Effective integration of
vibration analysis and oil analysis, in: Proceedings of the
International Conference on Condition Monitoring,
University College of Swansea, Swansea, UK, March
21-25, 1999, pp.411-420.
[9] C. S. Byington, T. A. Merdes, J. D. Kozlowski, Fusion
techniques for vibration and oil debris/quality in gearbox
failure testing, in: Proceedings of the International
Conference on Condition Monitoring, University College
of Swansea, Swansea, UK, March21-25, 1999 pp.113-128.
[10] Z. Peng., N.J.K., M. Cox, A study of the effect of
contaminant particles in lubricants using wear debris and
vibration condition monitoring techniques. Wear, 2005.
258: p. 1651-1662.
[11] Z. Peng., N.K., An integrated approach to fault diagnosis of
machinery using wear debris and vibration analysis. Wear
2003. 255: p. 1221-1232.
[12] QU liangsheng, HE Zhengjia, The diagnostics of
mechanical failure [M], 1986, Shanghai technology press.
[13] Mohammad Asaduzzaman Chowdhury, Md. Maksud
Helali, The effect of frequency of vibration and humidity
on the wear rate, Wear 262(2007), p198-203.
[14] XIAO Hanliang, Ferrographic Technology and its
application in mechanical analysis [M], 1993.10, Beijing:
Auto Press.
[15] CHENG Guiming, ZHANG Zhaoming, QI Hongyue,
Application Matlab to analyze digital signals and digital
image, Science Press, 2001.
[16] WEN Shizhu, HUANG Pin, Tribology fundamentals
[M],Beijing: Qinghua University Press, 2002.
 Technical Sessions — Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Study on the Relationship between Microstructural Change in Friction-Induced Deformation Layer

and Friction Behavior of Austenitic Stainless Steel
Xue Zongyu1, Zhou Sheng1, Wei Xicheng1*, Li Jian2
1
School of Materials Science and Engineering, Shanghai University, Shanghai (200072)
2
Wuhan Research Institute of Materials Protection, Wuhan (430030)

ABSTRACT designed in this study. The pin is 304 MASS (ž6×20mm).

Friction and wear behaviors of 304 metastable austenitic The disc was made by DC53 cold working die steel after
stainless steel (MASS) pin against DC53 disc were studied quenched and tempered (HRC60~62, Ra 0.4m). All
using a German SST-ST disc-on-pin tester in this paper. The specimens were machined by wire cutting. Fig.2 shows the
tests were performed under 200, 300 and 400 N with constant schematic diagram of disc-on-pin testing.
sliding speed 0.2m/s. SEM, 3D profiler and XRD were
employed to observe the wear morphology, detect the
martensitic transformation and analyze the microstructure
change of 304 MASS. The relationship between
microstructural change in friction-induced deformation layer
and friction behaviors of MASS was discussed. Results
showed that lots of friction-induced martensite was
transformed from austenite in the deformation layer of pin
specimen, which volume fraction decreased with the increase
of distance away from the frictional surface. Results also
showed that the friction behavior of 304 MASS was influenced
by phase transformation and microstructural change in the
deformation layer of 304 MASS. These conclusions are
significant to guiding the process design during pressing.
KEYWORDS: 304 metastable austenitic stainless steel;
Friction-induced deformation layer; Friction behavior;
Martensitic transformation
Fig.1 Schematic diagram of the disc-on-pin test rig
1 INTRODUCTION
Fe-Cr-Ni metastable austenitic stainless steels (MASS)
are widely used in the food, chemical, medicine and nuclear
industry, etc., relying on its excellent corrosion resistance and
processability. This type of stainless steel is usually formed by
deep drawing. But the adhesive wear is easy to be produced
between MASS and die steel during the forming process. This
can reduce the rate of qualified products of MASS and shorten
the life of die. Related researches[1,2,3] have found that
martensitic transformation can be induced by friction and
deformation on surface and matrix of MASS in the forming Friction
process.
This transformation will change the microstructure of surface
frictional surface and subsurface. Moreover, the transformed
martensite increases the hardness and decreases the adhesion
trend of MASS with counter-mating due to different crystal
structures between austenite and martensite. Phase 
Fig.2 Schematic diagram of disc-on-pin testing
transformation also results in the change of microstructures
and properties of MASS during the friction process. The
The friction behavior of stainless steel was investigated under
change also leads to the wear mechanism conversion of MASS,
the normal load of 200N, 300N and 400N with constant sliding
which can reduce friction coefficient and improve wear
speed 0.2m/s. Stainless steel drawing-oil and gear oil were
resistance of MASS [4]. However, the influencing mechanism
used in the experiments as the lubricant by using soaking
of martensitic transformation on the wear behavior of MASS is
lubrication. The test duration was decided by actual situation.
still not clear. Therefore, related experiments and analysis were
Automated 3D Non-contact surface analysis micromeasure
performed to study the relationship between microstructure
and SEM were employed to observe the wear morphology of
evolution in the friction-induced deformation layer and friction
pin specimens after test. XRD was used to detect the
behavior of austenitic stainless steel.
microstructural changes in the friction-induced deformation
layer.
2 EXPERIMENTAL DETAILS
A German SST-ST disc-on-pin test rig was employed. Its
3 RESULTS AND DISCUSSION
schematic diagram is shown in Fig 1. Plane-plane contact was
3.1 Friction coefficient
Friction coefficients of MASS coupled with DC53 disc
*Corresponding author. Tel: +86 21 56331377 are shown in Fig.3. Among them, Fig.3 a) illustrates the
E-mail address: wxc1028@staff.shu.edu.cn

278
 Study on the Relationship between Microstructural Change in Friction-Induced Deformation Layer and
Friction Behavior of Austenitic Stainless Steel

friction coefficient between tribo-pairs lubricated by respectively. Fig.4 c), d) show the worn surface of pin samples
drawing-oil under different normal loads. The change of under 200N, 300N with gear oils, respectively. It can be seen
friction coefficient can be divided into A and B stages. At A that the wear loss of MASS lubricated by stainless steel
stage, friction coefficient reduces with the increase of test time drawing-oil is smaller than that lubricated by gear oil. This
under different normal loads. Moreover, the friction coefficient indicates that the lubricity of stainless steel drawing-oil to
increases with increasing normal load. At B stage, the friction MASS is excellent.
coefficient tends to be stable, but fluctuates remarkably. In
addition, the fluctuation range of friction coefficient increases
with increasing normal load. At the same time, friction
coefficient is still proportional to the normal load.
Fig.3 b) presents the friction coefficient between
tribo-pairs lubricated by gear oil under different normal loads.
The friction coefficient has same change law with that presents
in Fig.3 a), and its value is larger because of the poor lubricity
of gear oil. By the way, the experiment had to break after a few
minutes due to the same reason when normal load was 300N.

0.20
a)
A B

0.16
300N
400N
Friction coefficient

0.12

0.08

200N
0.04
0 1000 2000 3000
Test time/s

b)
0.35 300N
Friction coefficient

0.30

0.25 200N

0.20

0.15
0 1000 2000 3000
Test time/s

Fig.3 Friction coefficient of austenitic stainless steel under

different conditions

Above change trend of MASS should be caused directly by

martensitic transformation induced by friction[5]. The
transformed martensite on the frictional surface can improve
the friction behavior and decrease the friction coefficient.
These imply that transformed martensite affects the friction
behavior of MASS on DC53. Reference [4] called this effect
“Back-feed effect of transformed martensite”.
3.2 Wear morphology
Fig.4 presents the 3D profiles of worn surface of MASS
samples under different conditions. Fig.4 a), b) show the worn Fig.4 3D profile of worn surface of pins
surface of pin samples under 300N, 400N with drawing-oil a) b) 300N,400N, stainless steel drawing-oil
c) d) 200N,300N, gear oil

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 Technical Sessions — Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Fig.5 a), b) show the SEM morphology of worn surface of
MASS samples under 300N, lubricated by stainless steel
drawing-oil and gear oil respectively. It can be seen that
different lubricants result in different wear behavior.
Lubricant with good lubricity for MASS can reduce the
adhesive wear and the subsequent abrasive wear remarkably.
In addition, Fig.5 a), b) present adhesion and spalling occur
on the frictional surface of MASS.
Fig.5 SEM morphology of MASS samples
a) 300N, stainless steel drawing-oio b) 300N, gear oil
3.3 Microstructural change in the friction-induced
deformation layer
280
Frictional stress could induce microstructure change in the
subsurface layer of MASS samples. This affects the friction
and wear behaviors of MASS. Therefore, on the basis of
above results, XRD was used to detect the phase
transformation in the friction-induced deformation layer.
Fig.6 illustrates the method of electropolishing. The specific
method is that thinning 20m every time starts from the
frictional surface until no martensitic diffraction peaks
present.
Friction surface
Fig.6 Schematic diagram of electropolishing
Fig.7 shows the XRD results of MASS samples
lubricated by stainless steel drawing-oil. It can be seen that
there were nearly no austenitic diffraction peaks be detected
on the frictional surface. That is to say, austenite completely
transformed to martensite on the frictional surface. However,
martensitic diffraction peak is hardly to be detected under
the surface about 25m. This indicates that the thickness of
martensitic transformation occurred in the friction-induced
deformation layer is less than 25m under these conditions.
 Study on the Relationship between Microstructural Change in Friction-Induced Deformation Layer and
Friction Behavior of Austenitic Stainless Steel

750
900

Stainless steel drawing-oil,200N a) Gear oil, 200N a)

J(111) 750 J(111)
600

600 J(200)
J(311)

Intensity
450 J(220)
Intensity

450 130Pm J(222)

J(200)
300 D(110)
25Pm J(311) 300
J(220) 110Pm
J(222)
150 150
82Pm D(211)
D(110)
friction surface D(200) D(211)
0
0 friction surface

40 50 60 70 80 90 100 40 60 80 100
2T/degree
2T/degree
1000
J(111) Gear oil, 300N b)
800 J(111) Stainless steel drawing-oil,300N b)
800

J(200)
600 J(311)
600 J(220)
J(222)
Intensity
90Pm
Intensity

J(200) D(110)
400 400
69Pm
J(311)
57Pm J(220) J(222)
200
200 49Pm D(211)

D(110) D(211) friction surface

friction surface D(200) 0
0
40 60 80 100
40 60 80 100 2T/degree
2T/degree
750 Fig.8 XRD results of friction effect zone of ASS samples
Stainless steel drawing oil, 400N c) lubricated by gear oil
J(111) a) 200N, b) 300N
600

The volume fraction of martensite in the friction-induced

450 deformation layer is shown in Fig.9. It was calculated
Intensity

through the method of direct comparison. The results

J(200)
indicate that friction induces martensitic transformation from
300
J(311) austenite on the worn surface of MASS. Its volume fraction
J(220)
29Pm J(222) decreased with the increase of distance away from the
150 frictional surface.
D(110) D(200) D(211)
friction surface 40 Gear oil, 200N
0
Volume fraction of martensite/%

Gear oil, 300N

40 60 80 100
30
2T/degree
Fig.7 XRD results of friction–induced deformation layer of
MASS samples lubricated by stainless steel drawing-oil 20

a) 200N, b) 300N, c) 400N

10
Fig.8 shows the XRD results of MASS samples lubricated
by gear oil. These graphs present the change of microstructure
in the friction–induced deformation layer with the distance 0
away from friction surface. It can be seen that thickness of
martensitic transformation occurred in the friction-induced 0 20 40 60 80 100 120 140
deformation layer is deeper than that in the Fig.7. It is mainly Distance from the friction surface/Pm
caused by the different lubricants which can induce different
friction press. The maximum thickness of martensitic Fig.9 Volume fraction of martensite in the friction-induced
transformation reached 110m (See in Fig.8 a)). deformation layer

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 Technical Sessions — Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
4 Conclusions
a) Martensitic transformation and microstructural change
in the friction-induced deformation layer of 304 MASS
influences on its friction behavior.
b) Friction induces the martensitic transformation from
austenite on the worn surface of austenitic stainless
steel. Its volume fraction decreased with the increase of
distance away from the frictional surface.
ACKNOWLEDGEMENT
This study was financially supported by National
Natural Science Foundation of China (50675128).
REFERENCES
[1] Rivere J P, Brin CˈVilain J P., 2003. “Structure and
topography modifications of austenitic steel surfaces
after friction in sliding contact,” Appl. Phys. A,76,
pp.277-283.
282
[2] W. Hübner, A. Pyzalla, K. Assmus, E. Wild, T.
Wroblewski, 2003. “Phase stability of AISI 304 stainless
steel during sliding wear at extremely low temperature,”
Wear, 255, pp.476-480.
[3] WEI Xi-cheng, LI Jian, MENG Hua., 2006.
“Tribological characteristics of HSLA TRIP steel
containing meta-stable retained austenite,” Tribology,
26-1, pp.49-53.
[4] Hua Meng, Wei Xicheng, Li Jian. Friction and Wear
Behavior of SUS 304 Stainless Steel under Relative
High Load. Wear 265 (2008) 799–810.
[5] Zhang Fucheng, Lei Tingquan, 1997. “A study of
friction-induced martensitic transformation for austenitic
manganese steel,” Wear, 212, pp.195-198.
 Abrasive Wear Behavior of Several Metallic Materials under Simulated Sand-Dust Environment

Abrasive Wear Behavior of Several Metallic Materials under Simulated Sand-Dust Environment

Chunxia Li1, Fengyuan Yan2

1
State Key Laboratory of Solid Lubrication, Lanzhou Institute of Chemical Physics, Chinese Academy of Sciences,
Lanzhou 730000, China; Graduate School of Chinese Academy of Sciences, Beijing 100864, China
2
State Key Laboratory of Solid Lubrication, Lanzhou Institute of Chemical Physics, Chinese Academy of Sciences,
Lanzhou 730000, China

(Extended Abstract)

ABSTRACT
The friction and wear behaviors of five metallic materials
have been evaluated under simulated sand-dust condition.
Compared with 2Al2 Al alloy, Z25 cast iron and 1045 steel,
52100 steel and C52100 Cu show different wear behaviors.
SEM observations indicate that the high micro-hardness is
responsible for the distinct wear behavior of 52100 steel while
the formation of the transfer film on the counterface and the
“frictional composite” account for the unexpected wear
behavior of C52100 Cu. The wear tests prove that the sand
sizes of smaller than 97 m and 150~356 m are both out of
the critical size range of 52100 steel and C52100 Cu while
those are just in the critical size range of the other three metals.
Keywords: metallic materials; abrasive wear; simulated
sand-dust environment; frictional composite layer; wear debris
wear tester equipped with an attachment for simulating
sand-dust environment is used to comparatively evaluate the
friction and abrasive wear behavior of five metallic materials.
(see Fig.1), aiming at providing some guidance to the selection
of metallic materials applied in sand-dust environment and the
mitigation of the wear losses of mechanical systems therein.
RESULTS AND DISCUSSION
1. EFFECT OF APPLIED LOAD ON WEAR BEHAVIOR
In the tests, the sand dosage of 30 mg/cm3 was used., The
increasing wear rates of 2Al2 Al, Z25 cast iron and 1045 steel
with the load (Fig.2), agreeing well with that reported
elsewhere [1,2], can be attributed to the increase of specimen

INTRODUCTION

It is well known that sand-dust and sandstorm can lead to

severe abrasive wear and catastrophic failure to the braking
system of various vehicles and wheel-rail system. The dry
sand/ rubber (or steel) wheel abrasive tester with a feeder for
introducing sand abrasives into the contact zone has been
widely used to test the abrasive wear behaviors of various
materials [1,2]. However, these approaches have serious
limitations owing to the fact that much larger sand dosages as
compared to sand-dust concentration in nature were used and
that sand particles do not freely enter into the contact zone at
random. Presently, an improved block-on-ring friction and
Fig. 1 Schematic diagram of simulating sand-dust abrasive
wear test rig
Fig.2 Wear rates of five metals abraded by smaller than 97 m
abrasive sand as a function of load
surface damage produced by abrasive sands as the load
increases. C52100 Cu and 52100 steel show decreasing wear
rate as the load increases. In order to find out the reason for the
different wear behavior of all five materials with applied load,
the wear debris collected from the wear tracks of steel rings
were observed by SEM, shown in Fig. 3. For 52100 steel, the
severe fragmentation (Fig.3c) of abrasive sands (due to the
high hardness of tested surfaces) accounts for the less damage
to the specimen. Moreover, the damage to abrasive sands
becomes more severe as the load increased. For C52100 Cu,
the transfer film easily formed on the counterface (Fig. 4b)
peels off under the action of abrasive sands and then the
deciduous floccules wrap the abrasive sands (Fig. 3d). So the
damage produced by the wrapped abrasives to the specimen is
markedly reduced. In addition, the formation of “frictional
composite” (see Fig. 4a), marked with the circle) effectively
mitigates the wear losses of C52100 Cu. With the increase of

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
the applied load, abrasive sands were fragmentized into
smaller size particles which can be embedded into the matrix
more effectively to form the “frictional composite”. The
frictional composite consists of the matrix material,
fragmentized sands and wear debris [3], and can enhance the
abrasive wear resistance of materials.
Fig. 3 SEM morphologies of wear debris of (a) 1045 steel, (b)
2Al2 Al, (c) 52100 steel and (d) C52100 Cu under less than 97
m sand-dust condition at 50 N
As shown in Fig. 3a and b, the wear debris of 1045 steel
and 2Al2 Al are actually exposed sands suffered from little
fragmentation and are not covered by any floccules. The wear
debris of Z25 cast iron show similar features to that of 1045
steel and 2Al2 Al. Different from the above, the wear debris of
52100 steel are severely fragmentized sand particulates and are
well covered with many floccules. The wear debris of C52100
Cu are also wrapped with many floccules originated from the
“frictional composite”. This can explain why the wear rates of
52100 steel and C52100 Cu are lower than those of the other
three materials and why the variations in wear rate of 52100
steel and C52100 Cu are diff
Fig. 4 SEM morphologies of (a) the worn surface of C52100
Cu and (b) corresponding counterpart ring under smaller than
97 m sand-dust condition at 100 N
2. EFFECT OF PARTICLE SIZE ON FRICTION AND WEAR
Under smaller than 97 m sand-dust condition, there are
284
more sand particles in the contact zone as compared with
150~356 m sand-dust condition. More particles would
produce larger friction resistance leading to larger frict
coefficients (Fig. 5a). It has been demonstrated by previous
researches [4,5] that materials experience severer wear in the
presence of larger size abrasives when the particle size is
within the corresponding critical size range. As seen in Fig. 5b,
large size abrasive sands lead to a drastic increase in the wear
rate of Z25 cast iron, 2Al2 Al and 1045 steel as compared with
smaller size sands. This is due to that the pressure exerted on
each large sand particle was greater than that exerted on the
small one since there were less large size particles in the
contact zone to bear the load, so the sliding surfaces of the
frictional pair experienced deeper ploughing, cutting, and
severer damage as being abraded by large size abrasive sands.
In addition, when the particle size goes beyond the
corresponding critical size then materials are insensitive to the
abrasive size [4,5]. This is why 52100 steel and C52100 Cu
show relatively minor difference in the wear rate under
different size sand-dust condition (Fig. 5b).
Fig. 5 The friction coefficient (a) and wear rate (b) of five
materials under different size sand-dust condition at 50 N
REFERENCES
[1] Singh, M., Mondal, D. P., Das, Y., 2006, “Abrasive wear
response of aluminium alloy-sillimanite particle reinforced
composite unde low stress condition,” Mater. Sci. Eng. A, 419,
pp.59-68.
[2] Wirojanupatump, S., Shipway, P. H., 2000, “Abrasion of
mild steel in wet and dry conditions with the rubber and steel
wheel abrasion apparatus,” Wear, 239, pp.91–101.
[3] Deuis, R. L., Subramanian, C. J., Yellup, M., 1998,
“Three-body abrasive wear of composite coatings in dry and
wet environments,” Wear, 214, pp.112–130.
[4] Misra, A., Finnie, I., 1981, “On the size effect in abrasive
and erosive wear,” Wear, 65, pp.359-373.
[5] Sasada, T., Emori, N., Oike, M., 1983, “The effect of
abrasive grain size on the transition between abrasive and
adhesive wear,” The Int. C on. on Wear of Materials, pp.
26-31.
 Wear Behavior of Plasma-Nitrided 2Cr13 Martensitic Stainless Steel under Air and Vacuum

Wear Behavior of Plasma-Nitrided 2Cr13 Martensitic Stainless Steel under Air and Vacuum

Yang Jianqun (Harbin Institute of Technology, China)
Ye Zhuyu (Harbin Institute of Technology, China)
Extended Abstract
The wear behaviour of the plasma-nitrided 2Cr13 steel
disks under air and vacuum have been investigated using a
pin-on-disk type tribometer with dry sliding condition. The
unnitrided pins of the same material were used for the wear
couples. Microhardness measurements, X-ray diffraction
analysis, optical microscopy were used to examine the
microhardness profile, the surface phases crystal structure and
morphology of the specimens. After wear testing, the scanning
electron microscopy of the wear tracks on the disk and pin
specimens was performed to reveal the wear mechanism. The
surface profile of wear tracks of the disk specimens was
examined by a profilometer.
The friction wear test results show that in contrast to that in
air, the wear rate of pin and disk specimens in vacuum reduces
by 8 and 2 times approximately, respectivety. The worn surface
morphology of the pin and disk specimens under air and
vacuum is distinctly different. It is supposed that the oxidative
and delamination wear dominate the wear process in air,
whereas the adhesion wear are the principal wear mechanisms
in vacuum.
Keywords: 2Cr13 steel, Nitriding, Vacuum, Fricton and wear
1. INTRODUCTION
The 2Cr13 martensitic stainless steel is often used to
fabricate the gears in aerospace field because of its high
plasticity and other beneficial properties. The gear contact
faces appear wear damage usually during gear engagement
process. The serious wear will result in the inactivation of the
gears [1, 2]. Hence, nitriding is usually used to enhance the
wear resistance of the working surface of the gears and prolong
their service lifetime. Plasma nitriding has been successfully
employed to modify the surfaces of various stainless steels to
obtain excellent tribological properties [3-5]. There have been
reports on the wear characteristics of nitrided martensitic steels
[6, 7]. However, systematical study about the tribological
behavior of plasma-nitrided 2Cr13 martensitic stainless steel
under air and vacuum is hardly found in the literature.
The purpose of the present investigation is to study the wear
behavior of plasma-nitrided 2Cr13 martensitic stainless steel
and wear mechanism under air and vacuum conditions.
2. EXPERIMENTAL
Liu Yong (Harbin Institute of Technology, China)
Yang Dezhuang, He Shiyu (Harbin Institute of
Technology, China)
and vacuum (10-3 Pa). The plasma-nitrided 2Cr13 steel was
selected as the disk with dimension of Φ70mm×10mm. The
unnitrided pins with a spherical end (diameter in 10 mm) of the
same material were used as the counter couples. As standard
parameters for the friction tests a normal force of 20 N, a
sliding velocity of 0.8 m/s and 2000 m sliding distance were
chosen.
Metallographic cross-sections were investigated by optical
microscope. Nital solution was used as an etchant to reveal the
case microstructure. X-ray diffraction (XRD) using CuKα
radiation was employed to determine the phase composition.
The microhardness was measured used a HVS-1000 type
digital microhardness tester under a load of 100 g and a dwell
time of 20 s. The wear tracks on the disk and pin specimens
were examined by scanning electron microscopy and a
profilometer.
3. MAIN RESULTS
3.1. MICROSTRUCTURE CHARACTERIZATIONS
Fig.1(a) shows the cross-sectional metallograph of the disk
specimens. The case depth is measured to be approximately
165 μm, but note that the microstructure over the case depth is
different from that within the first 10μm from the surface. Fig.
1(b) gives the micrograph of the disk specimens core. The
microstructure is tempered sorbite which consists of small
granular iron carbide and ferrites and has excellent strength
and ductility, but mophology of the core still is original
martensitic.
(a) (b)
Nitrided layer
Substrate
100μm 20μm
Fig.1 Morphology of the disk specimens
(a) the cross-section and (b) the core

2.1. SPECIMEN PREPARATION .

The material used in this experiment is commercial 2Cr13
martensitic stainless steel. The material is in the form of
circular disc having dimensions of Φ70mm×10mm. It was
quenched at 1030ć for 25 min, followed tempering at 580ć
for 30-40 min. Plasma nitriding treatments were carried out
in pure NH3 gas and at 580ć for 6h.

2.2. FRICTION AND WEAR TESTS

The friction and wear tests were performed using a
pin-on-disk type tribometer under dry sliding condition in air Fig. 2 Microhardness across Fig. 3 XRD spectra of the
the cross-section of specimens surface of specimens
Corresponding author: Tel: +86-451-86412462
Fax: +86-451-86415168
E-mail address: yang0903@gmail.com

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
The microhardness measurements are performed on the
cross-sectioned specimens, as shown in Fig. 2. From the
nitrided layer to the substrate, the microhardness reduces
gradually. The specimens have high load carrying ability and
the bond strength, between the nitrided layer and the substrate
due to the graded distribution of the microhardness and
composition. Fig.3 indicates that the nitrided surface mainly
consists of γ˃-Fe4N and minor ε-Fe3N.
3.2. WEAR BEHAVIORS AND MECHANISMS
In contrast to that in air, the wear rate of nitrided disk and
counterface pin specimens in vacuum reduces by 2 and 8 times
approximately, respectivety, as shown in Figs. 4 and 5.
Fig.4 Wear rate of disks Fig. 5 Wear rate of pins
under vacuum and air under vacuum and air
20μm
Fig. 6 Profilometer traces Fig. 7 Morphology of the pin
across wear tracks specimens
The typical surface profiles of the wear tracks of nitrided
2Cr13 disks after 2000m wear tests under vacuum and air are
given in Fig. 6. The depth of wear tracks is more superficial in
vacuum than that in air and the surface of wear tacks is
unsmoothed in vacuum. The surface profiles of wear tracks
clearly indicate that wear mechanism under air and vacuum
conditions are different. There may be two main reason that the
harder nitrided 2Cr13 disks were worn by softer unnitrided
pins. The microstructure of pins is tempered sorbite which
consists of small granular harder iron carbide with abrasive
effect on the disks, as shown in Fig. 7. On the other hand,
analysis of the worn surface of pin specimens by XPS revealed
an amount of nitride. This suggests that adhesion took place in
the contact surface of pin and disk specimens during friction
process.
The in-air-worn surface morphology of the nitrided 2Cr13
steel disks and pins show the existence of obvious cracks and
delamination, as shown in Figs. 8(a) and (b). However, the
in-vacuum-worn surface of the nitrided 2Cr13 steel disk is
slightly worn and shows the existence of transfer material from
the counterface pins and the transfer material occurs plastic
deformation as Figs. 8(c) and (d) illustrates, respectively. The
counterface pins show serious plastic deformation.
286
(a)
Delamination
Crack
(b) (c)
(d) (e)
Fig. 8 Scanning electron micrographs of wear tracks: (a)
nitrided disks in air; (b) counterface pins in air; (c) and (d)
nitrided disks in vacuum; (e) counterface pins in vacuum
REFERENCES
[1] Mushtaq, Kader, M. A., Nigam, S. P., Grover, G. K., 1998,
“A study on mode of failures in spur gears under
optimized conditions,” Mechanism and Machine Theory,
33, pp.839-850.
[2] Selcuk B., 2000, “An investigation on surface properties
of treated low carbon and alloyed steels,” Journal of
Materials Processing Technology, 103, pp.310-321.
[3] Yongqing Fu, Andrew, W., Batchelor., Nee Lam Loh,
Koon Woo Tan, 1998, “Effect of lubrication by mineral
and synthetic oils on the sliding wear of plasma nitrided
AISI 410 stainless steel,” Wear, 219, pp.169-176.
[4] Xi Yun Tao, Liu Dao Xin, Han Dong, 2007,
“Improvement of corrosion and wear resistances of AISI
420 martensitic stainless steel using plasma nitriding at
low temperature,” Surface and Coatings Technology, 202,
pp.2577-2583.
[5] Sun, Y., Bell, Y., Wood, G., 1994, “Wear behaviour of
plasma-nitrided martensitic stainless steel,” Wear, 178,
pp.131-138.
[6] Sun, Y., Bell, Y., 1998, “Sliding wear characteristics of
low temperature plasma nitrided 316 austenitic stainless
steel,” Wear, 218, pp.34-42.
[7] Alphonsa, I., Chainani, A., Raole, P. M., Ganguli, B.,
John, P. I., 2002, “A study of martensitic stainless steel
AISI 420 modified using plasma nitriding,” Surface and
Coatings Technology, 150, pp.263–268.
 Sealing Performance and Wear Mechanism of PTFE Oil Seal

Sealing Performance and Wear Mechanism of PTFE Oil Seal

Ye Zibo1, Huang Xing2, Liang Rongguang1

1
South China University of Technology Guangdong Guangzhou 510641,China;
2
Guangzhou Mechanical Engineering Research Institute Guangzhou 510700,China

ABSTRACT
Modified PTFE oil seal is studied: non-linear finite
element model of sealing interface is established to simulate the
distribution of contact stress and the grinding condition. The
friction and wear properties of PTFE composite are investigated
in different loads under dry and oil-lubricated conditions. The
worn surfaces of the tested samples and grinding ring are
observed with optical microscope, as an effort to analyze the
wear mechanisms. The result shows that forced location of oil
seal can be visually displayed by finite element analysis. Radial
force increases with increasing magnitude of interference.
Simulant results fit well with the actual situation. Under dry
condition, friction coefficient increases with load increasing at
low speed and decreases at high speed but is stable and affected
little by loads under oil-lubricated condition.


Keywords: Oil seal, Finite element model, Friction and wear
Fig.1 Schematic diagram of PTFE lip seal
properties

INTRODUCTION
Polytetrafluoroethylene(PTFE) is widely used as a wear 1 FINITE ELEMENT MODEL OF OIL SEAL
resistant material because it shows excellent low friction 1.1DESCRIPTION OF CONTACT BETWEEN OIL SEAL
coefficient when it slides against metal surface. But the wear AND SHAFT
rate of PTFE is unacceptably high without filling modification. In free state, inner diameter of oil seal is smaller than that
PTFE can be reinforced by inorganic material such as glass of shaft. After an oil seal is equipped on shaft, rebound force of
fiber, carbon fiber, graphite or MoS2 to get high tensile strength, the oil seal will cause contact pressure. [5-6] Contact pressure
compressive strength and elastic modulus.[1] Dirk Weber has distribution is mainly discussed in this paper after installation,,
studied the geometry optimization of PTFE lip seals and therefore, the skeleton and accessorial dust lip of oil seal can be
predicted the wear properties.[2] But the contact width of the lip ignored in modeling but degrees of freedom of peripheral field
is too short and easy to break. Hai Sui studied the wear and on axial lip presented in Fig.2 shall be restricted. Shaft moves
friction of PTFE seals.[3] He got tribological factor on a test ring along Y-axis to represent installation process. Hex shape
with pin-on-disc apparatus. A finite element analysis (FEA) element, presented in Fig.3, is meshed in oil seal model and
was applied to calculate the change of contact stress during dry quad-dominated shape element in axial model.
running of the axis. Mark Shuster reported surface morphology
of oil seal and shaft through SEM and EDX analysis to improve
the shaft surface for better seal life. [4] All the wear coefficient
they obtained was determined by tribology and wear experiment.
Rubber seal shows too large tangential resistance after
startup and can’t endure high or low temperature, so
hydrodynamic PTFE oil seal is applied in this research. The
effect of dynamic structure with wide contact between PTFE
oil seal and axis can keep enough oil-film thickness and avoid
leakage. This structure of PTFE oil seal without spring as
displayed in Fig.1 is insensitive to the eccentricity of axis.
Meanwhile, PTFE oil seal can be used in exchange for rubber
seal.

* E-mail: ye.zibo@mail.scut.edu.cn Fig.2 Boundary condition of assembly

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 Technical Sessions — Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Fig.3 Finite element model
1.2NUMERICAL SIMULATION AND ANALYSIS
Both distributions of Von Mises stress and contact
pressure of oil seal with 61mm in diameter are shown in Fig.4
and Fig.5. After the oil seal is installed in the shaft with
65mm in diameter, maximum Von Mises stress at the top and
bottom surfaces appear at the root of bending part. Along the
axial direction contact stress increases until reaches its
maximum at the middle of contact area and then decreases.

Fig.4 Von Mises stress of axial lip

Fig.5 Contact pressure of axial lip
2. EXPERIMENTAL WORK
2.1 DESCRIPTION OF COMPOSITE PREPARATION
Filler like glass fiber, carbon fiber, graphite or MoS2 can
288
largely improve wear resistance of PTFE and the wear loss
could be decreased by two orders of magnitude if wt. of filler
reaches 15%.[7] Carbon fiber reinforced PTFE composites with
carbon fiber content of 15%(mass fraction) are manufactured
and the pretreated carbon fibers and PTFE powder are
mechanically mixed in a three dimensional mixer for 30 min at
room temperature. Then, the mixed powder is put into a special
mold to get a dumbbell-shaped specimen by compressive stress
molding at 60 MPa for 15 min at room temperature. Finally all
materials are sintered in a high-temperature to get CF/PTFE
composites.
2.2 FRICTION COEFFICIENT AND WEAR
In this investigation, the friction and wear behaviors of
the polytetrafluoroethylene composites sliding against the
AISI-1045 steel in a block-on-ring configuration are tested on
an M-2000 friction and wear tester controlled by a computer as
shown in Fig.6. All blocks are made into rectangular sample of
6mm×7mm×30mm. Sliding is performed under ambient
conditions over a period of 2h under loads of 150N, 300N,
600N at rotation speed of 214r/min and 428r/min (Tab.1).
Friction coefficient is recorded by the computer and volume
loss of the composites is calculated after the blocks are cleaned
by acetone and weighed. [8] Also for each test the width of wear
trace is measured using a VML300 microscope. The volume
loss was calculated from the relationship as follow. [9-10]
SR 2 b b b2
V B[ arcsin( )  R  ]
2
180 2R 2 4
Where B is width of the PTFE material sample, R is radius of
the steel ring, b is width of scratch mark.
x
The wear coefficient w is calculated from the relationship
x V
w , where V is the volume loss, L is the sliding
L˜N
distance and N is the applied load
Fig.6 Schematic diagram of M2000 friction and wear tester
 Sealing Performance and Wear Mechanism of PTFE Oil Seal

Table 1 Working condition of samples Table 2 Radial force of PTFE composite oil seal
Sample Rotation Working Inner Maximal Emulational Experimental
Load(N) diameter contact stress radial radial
No. Speed(r/min) Condition
(mm) (MPa) force(N) force(N)
A 150  dry 60 0.5346 106.06 93
B 300  dry 61 0.3405 57.79 60
61.4 0.2892 53.59 55
C 600  dry 62 0.2355 41.24 47
D 150  dry
E 300  dry
F 600  dry
G 300  Oil-lubricated
H 600  Oil-lubricated

Fig.9 Contact pressure at seal interface

3 RESULTS AND DISCUSSION

3.1 OPTICAL MICROSCOPE INVESTIGATION OF
WORN SURFACE AND TRANSFER FILMS

Fig.7 Friction coefficient of samples



( UPLQGU\

( UPLQGU\
:HDUUDWHPPAP1

UPLQRLO
( OXEULFDWHG

(

(

(

(
      
/RDG1

˄D˅
Fig.8 Wear rate of samples

2.3 RADIAL FORCE EXPERIMENT

Sealing performace of oil seal are relative to the selected
material and its configuration. Radial force is the most
important parameter of sealing performance and lifetime.
Because the relative performance acceptance standard of
sealing products has great significance to control inconsistency
of the performance, magnitude of interference has direct
influence on radial force of the oil seal. Too much interference
will result in immoderate drawing and serious wear on the seal
lip, while too less will result in leakage for inadequate radial
force. Select proper contact width, value of interference and
thickness of the lip could obtain minimum leakage and wear
loss. The simulation and experimental results of oil seal with
different inner diameters are shown in Tab.2.

E

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 Technical Sessions — Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
(c)
Fig.10 Worn surface of PTFE composite at load of 300N (a)low
speed (b)high speed (c)oil-lubricated
(a)
(b)
Fig.11 Transfer film on counterpart ring surface at high speed
(a) dry friction (b)oil-lubricated
(1) The friction and wear experiment (Fig.7) indicates that
friction coefficient increases with load increasing at low speed
but decreases at high speed under dry condition. Owing to
cooling effect and lubricating film on friction surface,
composite material can isolate from metal shaft. Meanwhile, oil
film filled in unsmooth surfaces which can decrease pressure of
unit area. Therefore compared to dry friction (Fig.8) composite
material has remarkably improved friction and wear behavior
under oil lubrication.
290
(2) Rotational speed has great influence on wear behaviors.
Deep furrows appear on the composite material (Fig.10) when
angular velocity reaches 428r/min. Carbon fiber is pressed into
rubbing surface by a normal load and plowing effect of
abrasive results in trough scratches during sliding. Damage is
much less under oil lubrication but carbon fiber is still removed
from PTFE matrix.
(3) According to classical wear theory[11], at the beginning of
friction process, plastic deformation appears on material
surface and forms micro-bulge. Abrasive dust drops when
asperities of material surface plough through the metal surface.
Thus, a thin polymeric layer (Fig.11-a) forms on the surface of
the co-operating metal element and friction enters a steady
status. Under oil lubrication the surface of the steel ring is
smooth with minimal wear debris (Fig.11-b) which illuminates
that lubricating oil film can improve wear behaviors.
3.2 ANALYSIS OF SEALING PERFORMANCE
(1) Sealing performance and lifetime are depended greatly on
the contact pressure and its distribution of the lip. Magnitude of
interference is the only way to create contact pressure. The
inner diameter of sealing lip can not recover to its initial state
with the increasing of using time. As a result, the maximal
contact stress decreases (Fig.9).
(2) Deformation and stress can be visually displayed by finite
element analysis. The experimental radial force decreases with
increasing inner diameter as the same trend of stimulant results.
However, measurement error of lip and its shape stability will
cause the deviation of experimental data.
4 CONCLUSION
(1) This PTFE composite material shows high friction
coefficient at high speed and light load, contrarily, low friction
coefficient at heavy load. However, the wear rate is low at light
load and high at heavy load.
(2) In the oil seal, root of bending part and lip are subjected to
larger pressure. A pair of shear force is easily generated at the
top and bottom surfaces. So enough thickness of the seal shall
be guaranteed to avoid fracture. The contact length and radial
force increase with decreasing diameter of the oil seal. The
contact stress of oil seal with large diameter exhibits triangular
distribution that is more beneficial to create hydrodynamic
pressure and to seal in more effect.
ACKNOWLEDGEMENTS
The authors would like to thank Pro. Rongguang Liang of
suggestions and Guangzhou mechanical engineering research
institute of product manufactured help.
REFERENCES
[1] Marcelo Kawakame, Jose Divo Bressan., 2006, “Study of
wear in self-lubricating composites for application in seals of
electric motors,” Journal of materials processing technology,
179, pp.74-80.
[2] Dirk Weber, Werner Haas., 2007, “PTFE lip seals with
different sealing edge designs, experiments and simulation,”
sealing technology, 2, pp.7-12.
[3] Hai Sui, Heiko Pohl. Uwe Schomburg, et al,1999, “Wear
and friction of PTFE seals,” wear, 224, pp.175-182.
[4] Mark Shuster, Ray Seasons Doug Burke.,1999, “Laboratory
simulation to select oil seal and surface treatment,” wear,
225-229, pp.954-961.
[5] A. Gorrino, C. Angulo, J. Canales.,2007, “Theoretical
analysis of the pumping effect of rotary hydrodynamic seals
with elastomeric lips,” tribology international, 40, pp.896-905.
 Sealing Performance and Wear Mechanism of PTFE Oil Seal
[6] Chun-Ying Lee, Chao-Sung Lin, Rui-Quan Jian et al, 2006,
“Simulation and experimentation on the contact width and
pressure distribution of lip seals,” tribology international, 39,
pp.915-920.
[7] Chen Zhan, Wang Jiaxu, Zheng Xiaoguang, et al, 2002,
“Study on friction and wear properties of PTFE,” Chinese
journal of mechanical engineering, 38, pp.74-77.
[8] Bin-Bin Jia, Tong-Sheng Li, Xu-Jun Liu, et al, 2007,
“Tribological behaviors of several polymer–polymer sliding
combinations under dry friction and oil-lubricated conditions,”
wear, 262, pp.1353-1359.
291
[9] Thomas Ø. Larsen, Tom L. Andersen, Bent Thorning, et al,
2006, “The effect of particle addition and fibrous reinforcement
on epoxy-matrix composites for severe sliding conditions,”
wear, pp.1-12.
[10] Hong-Bin Qiao, Qiang Guo, Ai-Guo Tian, et al, 2007, “A
study on friction and wear characteristics of nanometer
Al2O3/PEEK composites under the dry sliding condition,”
tribology international, 40, pp.105-110.
[11] W.WIELEBA, 2007, “The Mechanism of Tribological
Wear of Thermoplastic Materials,” archives of civil and
mechanical engineering, 7, pp.185-199.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Fretting Corrosion Wear of Synergy between Mechanical and Electrochemical for

Biomaterials in Hanks Balanced Salt Solution
Li Ji-wu1*, A.Iwabuchi2
1
College of Mechanical Engineering, Jiaxing University, 56 Yuexiu Road (South), Jiaxing City, Zhejiang 314001, China
2
Department of Mechanical Engineering, Iwate University, 4-3-5 Ueda, Morioka 020-8551, Japan

ABSTRACT Although some authors have studied the fretting corrosion

The objective of the present work was to characterize the
fretting corrosion behavior of Co–Cr–Mo and Ti–6Al–4V
alloys using fretting, corrosion and electrochemical techniques
under corrosion and corrosive fretting conditions. The material
removal caused by synergistic interaction of fretting and
corrosion is much larger than the summation of individual
fretting and corrosion loss. The increment of removal should
result from the synergistic effect of mechanical and corrosive
losses of materials, i.e. the acceleration of corrosion by fretting
and the increase of fretting by corrosion. The fretting corrosion
behaviors of biomaterials, Co–Cr–Mo and Ti–6Al–4V alloys
were investigated. The total removals of materials should come
from five components, pure corrosion, pure mechanical wear,
corrosion increment caused by fretting, fretting increment
caused by corrosion and synergy. Experimental results showed
that the dissolution processes of materials were accelerated
significantly by fretting. The approximate removals of materials
caused by synergy in hanks balanced salt solution are 55.70%
for Co–Cr–Mo alloy and 46.50% for Ti–6Al–4V alloy of total
loss, respectively. The synergistic process of materials was
discussed based on three important stages, pure mechanical,
pure electrochemical and synergy. The results suggested that
both factors of materials and surface contact state should be
considered simultaneously for the protection of biomaterials
under fretting corrosion conditions. The possible mechanism
responsible for synergy between mechanical and electrochemical
was also discussed.
Keywords: Fretting, Corrosion, Synergistic interaction,
Biomaterials, electrochemical factors
1. INTRODUCTION
Among medical implant materials, Co–Cr–Mo alloy and
Ti–6Al–4V alloy are well known for their excellent corrosion
resistance. A compact corrosion-resistant passivity film could
be developed on the surface of materials in hanks balanced salt
solution [1–3]. But when they are used as human joint
replacements, the mechanical variables will remarkably
influence their corrosion behavior, also affect on wear
resistance and biological compatibility [2, 3]. It should be very
important for the application of implant materials to investigate
the synergistic interaction among mechanical variables
responsible for fretting and electrochemical variables
responsible for corrosion as well as the effect of the service
conditions on the fretting corrosion behaviors.
Table 1 Nominal compositions and mechanical properties of materials
Material Ni Cr Mo C Mn
Co-Cr-Mo <2.5 29 6 0.3 0.9
Ti-6AI-4V - - - 0.013 - -
Material Ultimate tensile Strength (Mpa) Yield strength (Mpa)
processes and discussed the possible mechanism of damage
[4–8], the understanding of the mechanism of fretting corrosion
for biological application is still far from completion. A
conclusion could be drawn from those experimental results that
the fretting corrosion process is the synergistic interaction of
mechanical damage and electrochemical corrosion, which is
accepted by most researchers in this area [9–10].
The objective of this paper is to study the interaction
mechanism of fretting and electrochemical corrosion and the
effect of experimental conditions. In this paper, electrochemical
and tribology experimental techniques were used to thoroughly
evaluate the fretting corrosion behaviors of two implant
materials in hanks balanced salt solution. The extra losses
because of the synergistic interaction, including corrosion
increment caused by fretting, fretting increment caused by
corrosion and synergy, are calculated roughly.
2. Experimental details
2.1 Wear test
The fretting rig used in this work is shown in Fig. 1,
schematically. The linear oscillation was given by piezoelectric
actuator, and was amplified to an upper specimen by 10 times
with a vibrating arm. Normal force was applied to a lower
specimen with dead weight using a lever system. The
movement of a lower specimen holder can be limited only
vertically due to a linear bush. The slip amplitude could be
controlled using Eddy Current displacement transducer and
personal computer. Frictional force was measured by strain
gauges attached to a strain ring.
The calomel electrode was used as the reference electrode,
and pt plate was a counter electrode and a fixed specimen was
a working electrode. A potentio-stat was used to control
potential or to measure the current at constant potential. The
potential of the working electrode was measured with lugging
capillary, placed very near the electrode. The lower fixed
specimen was placed in solution cell made of PTFE. The
surface of specimen and its holder was coated with enamel for
insulation except the sliding surface. The experiment was
carried out in open air without circulation of electrolyte.
The nominal compositions and the mechanical properties
of commercial medical materials, Co–Cr–Mo and Ti–6Al–4V
alloys are listed in Table 1. The Co–Cr–Mo alloy is cast
structure, while Ti–6Al–4V alloy is (D+J) duplex. Specimen
materials were a cylinder of 11.5 mm diameter and 12.5 mm
height. Specimens were polished with Emery paper #1000.
Si V AO Co Ti
0.9 <0.1 Balance
5.4 6.85 Balance
Elongation (ˁ) Microhardness (HV) Density(g/cm2)

Co-Cr-Mo 895 830 10 320 8.9

Ti-6AI-4V 665 450 8 450 4.5
üüüüüüüüüüüüüüüüüüüüüüüü
Corresponding author. Tel:+86 057383647941.
E-mail addressljw6708@mail.zjxu.edu.cn (Li Ji-wu).

292
 Fretting Corrosion Wear of Synergy between Mechanical and Electrochemical for Biomaterials in Hanks Balanced Salt Solution

Eddy current measuring displacement

for slip amplitude ã1 Piezo electric element
Str ain r ing
4 5Object6 12 ã2 Vibrating arm
ã3 Strain gage
Vibrating
arm ã4 Strain ring
3 Electrolyte ã5 Aluminium plate
13 cell ã6 Eddy current displacement sensor
7
Vibr ating U pper for slip amplitude
2
O
ring
10 
specimen
8 ã7 Electrolyte cell
L ower ã8 Upper specimen
Piezo electric element
1 9
specimen
ã9 Lower specimen
1ã0 O-rings
1ã1 Linear bush
L inear
1ã2 Luggin capillary
11
bush
1ã3 to Potentio-stat
Load 15 1ã4 Reference electrode (SCE)
1ã5 KCI Solution

Fig.1 Schematic diagram of the fretting wear tester

Surface roughness was 0.05̚0.08m Ra. An upper specimen
C o-C r-M o-D P M
was Al2O3 ball with a diameter of 6.4mm, because 1500 C o-C r-M o-P PM
electrochemical disturbance was avoided by using non-metallic T i6A I-4V-D P M

Potential (vs. SCE), mV

Ti-6AI-4V-PP M
specimen. Surface roughness was 0.07m Ra, and Vickers 1000
harness was 1,800.
500
2.2 Experimental condition
0
Experimental condition was as follows: normal load was
5.0N, slip amplitude was 50m, the number of cycles was
-500
36,000 cycles, and frequency was 10Hz. Wear volume was
measured with three-dimensional surface profilometer, and -1000
coefficient of friction was calculated as ratio of the frictional
force to normal force in a personal computer. Wear scar was -1500
observed with scanning electron microscope (SEM). 10
-7
10
-6
1x10
-5
1x10
-4
10
-3
10
-2
10
-1
10
0

The potential was measured under the free potential, and 3

the current was also measured at controlled potentials with a C urrent density, A /cm
potentio-stat. Hanks balanced salt solution was chosen as Fig.2 Polarization curves of potential dynamic method and
electrolyte with 0.9ˁ NaCI, and pH 7.0, at 37ć, and the potential pulse method for Co-Cr-Mo alloy and
experiment was carried out under free potential. Specimens Ti-6Al-4V alloy
were cleaned ultrasonically in acetone for 10 minutes. After
mounting the specimens the solution was poured into the bath.
The cathodic treatment was done under -1200 mV for 10
minutes to clean the metal specimen surface electrochemically.
The specimen was then moved without contact to the upper
specimen for 20 minutes at the designed potential for obtaining
the steady-state of the metallic surface before starting the
fretting test.
 The polarization curve was obtained with two methods;
conventional potential dynamic method (PDM) and potential
pulse method (PPM) [4–8]. The potential was swept with
50mV/min from free potential to cathode region to -1,000 mV,
turned to anodic region to 1,000 mV in the former. The
potential was maintained at -1,200 mV for 10 minutes and it
was changed to a certain value with a sweep velocity of
83.3v/s in the latter. The current was recorded with a sampling
time of 1mec. As the current has a peak and decreases to
Fig.3 Time evolution of the rest potential of the Co-Cr-Mo disk
equilibrium value, the average current was calculated in 50 ms
and definition of the potential drop (slip amplitude of
from the peak.
50m)
3. Results and discussion
the same static corrosion behavior and the dynamic corrosion
3.1 Polarization
behavior. The saturated anodic current density of PPM,
Figure 2 shows the results of polarization curve by two
10-2A/cm2, is greater than that of PDM by more than four order
methods noted above. The curve from PDM represents the
of magnitude, which means that the dynamic corrosion rate is
static corrosion for surface with the oxide or passive film, and
greater than the static corrosion rate by more than three order
those from PPM represent the dynamic corrosive for the fresh
of magnitude. The corrosion potential of PDM is also higher
surface. It is found that Co–Cr–Mo and Ti–6Al–4V alloys have

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Table 2 Comparison between anodic current and cathodic current

Material E, mV AC,, mm2 Aamm2 ,a , A/cm2 ,c , A/cm2
Co-Cr-Mo 18 103.806 0.0017 0.0015 2.35E-8
Ti-6AI-4V 15 103.806 0.002 0.00088 2.12E-8
Table3 Increment of fretting damage by corrosion and its relative percentage in hanks balanced salt solution in comparison to
that in pure water (×105mm3)
Material Wear volume Wm Wear volume WC Wear volume ratio Increment W Relative percentage
(in pure water) (in hanks solution) (WC /Wm, ˁ) (WC –Wm) (W/WC, ˁ)
Co-Cr-Mo (casting) 1.35 3.05 226 1.70 55.70
Ti-6AI-4V 0.78 1.47 187 0.69 46.50

than that of PPM, which means that the fresh surface becomes
base, i.e., it would dissolve even in lower potential where the
normal surface is in cathode.

3.2 fretting wear at the free potential

The example of change of the potential in the midst of
rubbing of Co-Cr-Mo is shown in Fig.3. After empty driving 20
minutes from the cathode treatment the potential increases
slowly and is not able to reach to state of equilibrium. This
means the oxide film grows on the surface. When the rubbing
starts (the time 0s in Fig.3) potential falls first and then rises
gradually. When the rubbing stop (3600s in experimental time
in Fig.3), the potential recovers to no rubbing state. As the
shown in Fig.4 the drop of the potential 'E, defines as the
Fig.4 Relationship of wear volume loss of free potential. Test
difference of the potential between no rubbing and rubbing.
The average potential is estimated from the potentials from environment of three materials (conditions: 50Pm
displacement, 5N normal force, 10 Hz frequency and
100s to 3500s. The value 'E of each material is shown in
36.000 cycles)
Table. 2. The fresh surface acts as an anode and the surrounding
surface acts as a cathode in corrosive wear. The drop of the
potential is determined to satisfy the following equation
corrosion and/or damage, all the materials were damaged more
severe in solution than in pure water. For example, the wear
Ia Aa + Ic Ac = 0 (1)
volume of Co-Cr-Mo alloy in solution is much higher than that
in pure water. In pure water environment, the wear volume
Where Aa is area of anode, Ac area of cathode, Ia anodic current
descending sequence could be Co–Cr–Mo alloy >Ti–6Al–4V
density and Ic cathode current density (in Table. 2). Aa is
alloy.
considered as fresh surface area by calculating the lower
There are many methods to determine the material loss
specimen and Ac is the rest of the area. Ia and Ic are obtained
caused by pure mechanical effect. One of them, which are
from the polarization curve by the PP method and PD method
adopted in this paper, is to suppose that in pure water there is no
shown in Fig. 2.
electrochemical corrosion and the oxidation effect could be
The effect of the electrochemical factor is examined by
ignored because of its low oxidation speed. That means the wear
calculating the dissolved volume during fretting. The following
volume from fretting in pure water was completely considered
is Faraday’s equation[9,10];
as that caused by pure mechanical effect. From the Wear
volume of two materials in both pure water and solution, the
V = k Ia Aa t /U
Were V is the dissolved volume, k is electrochemical equivalent
of Co-Cr-Mo (3.064×10-4g/As) and Ti-6AI-4V (2.42×10-4g/As)
it is fretting duration, and Uis density of Co-Cr-Mo (7.9g/cm3)
and Ti-6AI-4V (4.5g/cm3), t the fretting time (3,600s) [13].
3.3 Fretting wear volume in pure water and under fretting
condition
In order to estimate the synergy of fretting and
electrochemical corrosion, the fretting rates of two implant
materials were studied in both pure water and the hanks
balanced salt solution under 10 Hz frequency, 5N normal load,
50Pm displacement and 36,000 cycles. Fig. 4 shows the wear
volume of materials in two media under fretting conditions.
Although it is supposed that the passivity films on sample
surface generated in solution could protect metals fro
294
extra wear volume of materials due to electrochemical corrosion
under fretting condition could be measured with
three-dimensional surface profilometer. Then the wear volume
loss due to fretting corrosion in both pure water and solution,
and the increment caused by electrochemical corrosion could be
calculated (Table 3).
3.4 The synergistic amounts of fretting and corrosion
The total wear volume loss W ˿ , which is the implant
materials loss in hanks balanced salt solution caused by fretting
corrosion processes, should be mainly composed of four aspects
as following [6]: (1) pure mechanical damage (no
electrochemical corrosion) W̉; (2) pure static electrochemical
corrosion We; (3) increment fretting loss W ̉ ́ due to
electrochemical corrosion; (4) increment of electrochemical
corrosion W ́ ̉ due to mechanical damage. Others such as
saving of material due to electrochemical corrosion in
mechanical damage (e.g. the corrosion products restrains the
 Fretting Corrosion Wear of Synergy between Mechanical and Electrochemical for Biomaterials in Hanks Balanced Salt Solution

mechanical damage of materials because of its lubricative effect
sometimes) and increment of local electrochemical corrosion
due to fretting process (e.g. the fretting loss comes from crevice
corrosion), could be ignored [12]. So W˿ could be described by
Eq. (3) as follows [8]:
Wc = W̉ + Ẃ + W̉́ + Ẃ̉ (3)
If the last two factors in Eq. (3), which could be recognized as
the synergistic interaction of mechanical effect and
electrochemical corrosion, are defined as 'W, the expression of
the wear volume loss of implant materials in physiology saline
could be simplified as following:
W˿ = W̉+ Ẃ+'W (4)
Then, the increment of wear volume loss due to the synergistic
interaction of electrochemical corrosion and mechanical
damage 'W should be
'W = W̉́ + Ẃ̉ (5)
Based on the values of W ̉ , W ˿ , W ́ and W ̉́ from
experimental results and data in Table 1 and 2, 'W and Ẃ̉
could be calculated, and then the values of 'W/W˿, W̉́/'W
and Ẃ̉/'W could also be obtained. Here 'W/W˿(%) is the
ratio of the synergistic interaction of electrochemical corrosion
and mechanical effect to the total wear volume of materials in
fretting corrosion. W̉́/'W (%) and Ẃ̉/'W (%) are the ratio
of electrochemical corrosion and mechanical effect to the
synergistic interaction, respectively. All those data are listed in
Table 4. Here a, b and c are introduced to represent the
acceleration of mechanical effect to electrochemical corrosion,
the acceleration of electrochemical corrosion to mechanical
process, and the ratio of electrochemical corrosion increment
and mechanical damage increment to synergistic interaction:
W me Wem W me 'W W me
a ,b ,c (6)
We Wm Wem 'W Wem
In hanks balanced salt solution the ratio of wear volume loss due
to mechanical damage and electrochemical corrosion to total
wear volume loss are 55.70 and 46.50% for Co–Cr–Mo alloy
and Ti–6Al–4V alloy, respectively (Tables 3 and 4). The rates
of static corrosion (W ́ ) for materials are 4.95 × 10-8 mm3
(Co–Cr–Mo alloy) and 7.7×10-8 mm3 (Ti–6Al–4V alloy), and
surprisingly the rates of electrochemical corrosion increased by
586 and 390 times, respectively, because of mechanical effect in
fretting corrosion. Although the electrochemical dissolution
process of test materials was significantly promoted and the
corrosion rates were increased by hundreds of times because of
the mechanical effect in fretting corrosion, the ratio of the
increment of electrochemical dissolution due to mechanical
effect (W̉́/(W˿-W̉)) to the total synergistic interaction (W˿
-W̉) is not so much. Actually, they are 17.05% (Co–Cr–Mo
alloy) and 43.48% (Ti–6Al–4V).
Contrarily, the ratio of the increment of mechanical damage
due to electrochemical corrosion (W ́ ̉ /'W) to the total
synergistic interaction (W˿ˉW̉) is very high, and they are
82.95% (Co–Cr–Mo alloy) and 56.52% (Ti–6Al–4V alloy).
Compared to the mechanical damage under steady conditions,
the wear volume loss of materials caused by mechanical effect
in fretting corrosion due to electrochemical dissolution
increased by 2.26 and 1.87 times for Co–Cr–Mo alloy and
Ti–6Al–4V alloy, respectively.
It can be said that the fretting corrosion of these materials is
a wear-domained synergistic interaction of electrochemical
corrosion and mechanical damage. Although the
electrochemical corrosion is not the most important factor for
implant materials loss, the promotion of corrosion to
mechanical damage and synergistic interaction with mechanical
effect greatly increase the materials loss.
Comparing the fretting corrosion resistance of these two
materials each other, there is no much difference among their
steady corrosion rates because of their good passivation
capacities. Data from industrial field indicate that the wear
volume of Co–Cr–Mo alloy is much higher than Ti–6Al–4V
alloy. This may come from more synergistic interaction in
materials damage of Co–Cr–Mo alloy. Furthermore, sometimes
crevice corrosion is the primary mode of to damage materials in
fretting corrosion and at the same time Co–Cr–Mo alloy is most
vulnerable to it. Co–Cr–Mo alloy is the most wear-resistant one
and Ti–6Al–4V alloy is insensible to crevice corrosion, which
result in smaller wear volume loss in fretting corrosion [13,14].
3.5 Discussion on synergistic mechanism
The characteristics of dynamic corrosion are quite different
from those of static corrosion, especially the greater dissolution
rate for dynamic corrosion due to the exposure of active fresh
surfaces during mechanical actions. The corrosion resistance
decreases obviously due to the mechanical damage of fretting,
and consequently the materials are more sensitive to fresh
surface or local corrosion. Fig. 5a shows SEM photographs of
wear scar at Co–Cr–Mo alloy after 36,000 cycles fretting under
pure water. Many Grooves in the fretting zone could be found
under higher magnification. Fig. 5b shows the morphology of
Co–Cr–Mo alloy after 36,000 cycles fretting, while Fig. 5c
shows the morphology of Ti–6Al–4V alloy after 36,000 cycles
fretting. In both cases, the non-fretting zone is quite different
from the fretting zone and over there the material was protected
by the compact passivation films on surface. But in the fretting
zone, there are so much Grooves because the fretting process
damaged the passivation films and exposed to fresh surface.

Table 4 Contribution of corrosion and mechanic effect to interaction for three materials in hanks balanced salt solution
under fretting corrosion (10-5mm3)
Material Wm WC (in hanks We (static) Wm e We m ƸW (interaction)
ncrement) (in pure water) solution) (fretting) (fretting)
Co-Cr-Mo 1.37 3.05 4.95×10-4 0.29 1.41 1.70
Ti-6AI-4V 0.78 1.47 7.70×10-4 0.30 0.39 0.69
Material ƸW/WC Wm e /ƸW We m /ƸW a=Wm e /We b=We m /Wm C=Wm e /We m
(ˁ) (ˁ) (ˁ) (times) (times) (ˁ)
Co-Cr-Mo 55.70 17.05 82.95 586 1.02 20.56
Ti-6AI-4V 46.50 43.48 56.52 390 0.5 76.92

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

(a) (b)

(c)
Fig.5 SEM photographs of wear scar at Co-Cr-Mo and Ti-6AI-4V alloy in pure water

(a) (b)
Fig.6 SEM photographs of wear scar at Co-Cr-Mo and Ti-6Al-4V alloy in saline solution

(a) (b)

Fig.7 Adhesion wear and particle wear in fretting corrosion

296
 Fretting Corrosion Wear of Synergy Between Mechanical and Electrochemical for Biomaterials in Hanks Balanced Salt Solution
Grooves and channels due to mechanical damage, they will
be other types of active positions for electrochemical corrosion.
Figs. 6a, which are the fretting corrosion morphology of
Ti–6Al–4V alloy under the free potential, show pits and
corrosion holes in fretting furrow. The similar phenomena could
be found in the fretting corrosion morphology of Co–Cr–Mo
alloy at condition (Fig. 6b). Some corrosion products and
dispersive pits or corrosion holes could be found in fretting
furrow. Furthermore, the shear stress is much higher in the
fretting contact zone, and then this area is more sensitive to
dissolution. The plastic deformation due to shearing stress of
fretting increases the electrochemical activity of materials in
fretting zone, which subsequently results in much more
dissolution of materials.
Adhesion wear, particle wear and/or fatigue wear is the
major effect of mechanical damage in fretting corrosion
processes, and all of those three types of wear could be greatly
influenced by electrochemical corrosion. Fig. 7 shows the
morphologies of Co-Cr-Mo alloy (coupling with the same
material) in hanks solution after 36,000 cycles, in which the
surface morphology of material shows typical characteristics of
adhesion wear (Fig. 7a). In this figure it could be found that
some materials have been corroded heavily. Furthermore, in
which stripped wear scraps could be found. Fig. 7b shows the
peripheral zone of fretting zone where there are corroded
particles, which shows the characteristics of particle wear.
Corrosion products could be found at the edge of cracks.
In fretting corrosion another effect of corrosion on
mechanical damage is the influence of wear-debris (sometimes
there are corrosion products) on the fretting process, especially
on the contact modes. This influence may be positive or
sometimes negative. If wear-debris/corrosion products
distribute uniformly along the contact surface of test material
and its counterparts, they may isolate test material from wear
counterparts and subsequently decrease the damage of
mechanical effect to material. But on the other hand, if those
wear debris are much harder than test material and distributed
unevenly in the contact surface, they may cause particle wear
and cause much higher wear volume of test material.
Furthermore, the contact surface might be much smoother due
to electrochemical dissolution, especially in fretting corrosion
under anodic potential, which will decrease the mechanical
damage to material .
4. Conclusions
We examined the fretting wear property of biomaterials in
hanks balanced salt solution. The following conclusions are
drawn:
(1) Fretting corrosion rate is greater than the static corrosion
rate by more than three order of magnitude.
(2) The wear volume loss of materials in hanks solution should
come from the synergistic interaction of mechanical
damage and electrochemical corrosion. The ratios of weight
loss due to synergistic interaction to total wear volume loss
are 55.70% (Co–Cr–Mo) and 46.50% (Ti–6Al–4V). The
part of electrochemical dissolution in fretting corrosion
processes is less than 20% of total wear volume loss.
(3) The fretting corrosion of these two implant materials is a
wear-domained synergistic interaction of electrochemical
297
corrosion and mechanical damage. Although the
electrochemical corrosion is not the most important factor
for implant materials loss, the promotion of corrosion to
mechanical damage and synergistic interaction with
mechanical effect greatly increase the materials loss.
References
[1] B. Tritschler, B. Forest, J. Rieu, Fretting corrosion of
materials for orthopaedic implants: a study of a
metal/polymer contact in an artificial physiological
medium, Tribol. Int. 32 (1999) 587–596.
[2] M. Viceconti, O. Ruggeri, A. Toni, A. Giunti,
Design-related fretting wear in modular neck hip
prosthesis, J. Biomed. Mater. Res. 30 (1996) 181–186.
[3] P. Kovacs, J.A. Davidson, K. Daigle, Particulate debris from
medical implants: mechanisms of formation and biological
consequences, ASTM STP 1144, in: K.R. St. John (Ed.),
American Society for Testing and Materials, Philadelphia,
1992, pp. 160–176.
[4] LI Ji-wu: Fretting Corrosion Property of Zr-4 alloy in
Na2SO4 Solution,Tribology, 2007, 27(05): 406–410.
[5] A. Iwabuchi , J.W. Lee b, M. Uchidate: Synergistic effect
of fretting wear and sliding wear of Co-alloy and Ti-alloy
in Hanks’ solution, Wear 263 (2007) 492–500.
[6] A. Iwabuchi, T. Tsukamoto & Y. Tatsuyanagi:
Electrochemical Approach to Corrosive Wear of SKD61 Die
Steel in Na2SO4 Solution, Wear 156 (1992) 301.
[7] P. Jemmely, S.Mischler & D.Landolt: Tribocorrosion
Behaviour of Fe-17Cr Stainless Steel in Acid and Alkaline
Solutions, Wear 255 (2003) 466.
[8] A. Iwabuchi, Y.Sugawara, T. Nakamura & T. Shimizu: Fretting
Wear Property of Zr-alloy in Na2SO4 solution, Proc. 3rd Int.
Symposium on High Performance Tribo-system, Taegu, Korea,
May (2000) 12.
[9] A. Iwabuchi, T. Sasaki & K. Hori: Tribological Properties of
SUS304 Steel in Seawater, JSMEInt’l, Jour. Ser. I, 35
(1992) 117.
[10] A. Iwabuchi, T. Sonoda, H. Yashiro & T. Shimizu: Application
of Potential Pulse Method to the Corrosion Behavior of the
Fresh Surface Formed by Scratching and sliding in Corrosive
Wear, Wear 225-229 (1999) 181.
[11] S. Barril, N. Debaud, S. Mischler & D. Landolt: A
tribo-electrochemical apparatus for in vitro investigation of
fretting–corrosion of metallic implant materials, Wear 252
(2002) 744–754.
[12] J. Geringera, B. Foresta, & P. Combradeb: Fretting
corrosion of materials used as orthopaedic implants, Wear
259 (2005) 943–951
[13] Jay R. Goldberga, Jeremy L. Gilbert: The
electrochemical and mechanical behavior of
passivated and TiN/AlN-coated CoCrMo and
Ti6Al4V alloys: Bomaterials 25 (2004) 851–864.
[14] S. Barril, S. Mischler, D. Landolt: Influence of fretting
regimes on the tribocorrosion behaviour of Ti6Al4V in 0.9
wt.% sodium chloride solution, Wear 256 (2004) 963–972.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Torsional Fretting Behaviors of UHMWPE against Different Counter-Bodies
Z. B. Cai ( Tribology Research Institute, Traction Power
State Key Laboratory, Southwest Jiaotong University,
Chengdu 610031, China)
J. Yu (Key Laboratory of Advanced Materials Technology
(Ministry of Education), Southwest Jiaotong University,
Chengdu 610031 China)
Z. R. Zhou ( Tribology Research Institute, Traction Power
State Key Laboratory,Southwest Jiaotong University,
Chengdu 610031, China)
(Extended Abstract)
ABSTRACT
In this study, the torsional fretting behaviors of
ultra-high molecular weight polyethylene (UHMWPE) against
Al2O3 femoral ceramic head ball and medical TC4 titanium
alloy ball (both with a diameter of 28 mm) were investigated
on a new torsional fretting tester. Angular displacement
amplitudes were varied from 0.2º to 90º with a constant
rotating velocity of 0.2 º /s, and the numbers of cycles varied
from 1 to 103. The kinetics behaviors of the UHMWPE were
characterized by using the frictional torque-angular
displacement (T-θ) curves. The wear morphologies and
damage mechanisms of UHMWPE were studied based on
examinations of scanning electron microscope (SEM) and
X-ray photoelectron spectroscopy (XPS). It was found that the
torsional contact stiffness and friction dissipated energy
initially rose and then reached steady-state gradually. Sticking
was appeared at the centre zone of all fretting scars.
Detachment of particles, radial ripples, micro-cracks and
ploughs were observed with a higher displacement amplitude
value. The physical model of torsional fretting wear was built up.
Keywords: Fretting damage; Fretting wear; Torsional fretting;
UHMWPE
INTRODUCTION
The number of total joint arthroplasty procedures has
steadily increased worldwide over the past 10 years. In the
United States alone, over 500,000 total knee and total hip
replacements are performed annually, primarily on patients
older than 65 years [1]. The use of artificial joints for the
treatment of degenerative diseases of the hip and knee is
becoming widespread. Nowadays, there are several
bio-implant materials available in total joint replacements. The
best combinations are ultra high molecular weight
polyethylene (UHMWPE) for the cup and alumina, titanium
alloys, stainless steel or CoCrMo alloy for the head. Wear of
UHMWPE components in total joint replacements is aclinical
concern and it has been extensively studied over the last three
decades. But the wear modes for the different researches
mostly focused on rolling wear, reciprocating tangential sliding
and pin-on-disc sliding. As a basic motion fashion, torsional
wear occur at a lot of joints in human body such as hip joint,
shoulder joint, temporomandibular joint and so on. However,
there are few studies on torsional wear of the relational
arthroplasty material, especially on torsional fretting wear.
EXPERIMENTAL DETAIL
Torsional fretting tests of the UHMWPE in contact
* Corresponding author .Tel & Fax:+86-28-87601304;
E-mail address: zhuminhao@swjtu.cn .
M. H. Zhu* ( Tribology Research Institute, Traction
Power State Key Laboratory,Southwest Jiaotong
University, Chengdu 610031, China)
S. X. Qu (Key Laboratory of Advanced Materials
Technology (Ministry of Education), Southwest Jiaotong
University, Chengdu 610031 China)
configuration of ball-on-flat were carried out on a new
torsional fretting tester (Fig.1). Flat UHMWPE specimens
(20mm×10mm×10mm) were polished to an average roughness
of Ra=0.2 μm. Medical Al2O3 femoral ceramic head ball and
medical TC4 titanium alloy ball (both with a diameter of 28
mm) were selected as the against counter-bodies. In this study,
torsional fretting tests were performed under the normal load
of 100 N at a constant rotary speed of 0.5 º/s. The torsional
angular displacement amplitudes were varied as 0.2º, 1º, 5º,
30º, and 90º, and the number of cycles was varied from 1 to
1000. Fretting scars were measured by a profilometer
(AMBIOS XP-2) as a function of the number of cycles. The
morphologies of wear scar were examined by scanning
electron microscope (SEM, Quanta200) and X-ray
photoelectron spectroscopy (XPS, Axis ultra).
Fig.1 Schematic diagram of the torsional fretting tester under a
ball-on-flat contact
RESULTS AND DISCUSSION
Torsional fretting behavior can be explicitly revealed by
the friction torque-angular displacement amplitude curves (T-
curve). Fig 2 displays the T- curves under the angular
displacement amplitudes of 0.2º, 1º and 90º, respectively. At
lower torsional angular displacement amplitude of 0.2 º, the
loops of the T- curves presented in shape of linear at whole
test progress (Fig.2 (a) and (b)), which indicated the
deformation of contact surface was coordinated with elastic
deformation and the fretting run in the state of partial slip. The
loops were open with the increase of the angular displacement
amplitude (Fig.2 (c) to (f)), corresponding with the fretting
state transferred from partial slip to gross slip. In addition, it
was obvious that the contact stiffness was monotonically
increased as a function of the number of cycles. In Fig.2, it
also indicates that the friction torques and contact stiffness for
298
 Torsional Fretting Behaviors of UHMWPE against Different Counter-Bodies
the UHMWPE/Al2O3 (U/A) contact were obviously lower than
that of the UHMWPE/TC4 (U/T) contact. This means that the
(U/A) contact presented lower friction coefficients during the
torsional fretting processes.
(a)θ=0.2e (b) θ=0.2e
(c)θ=1e (d) θ=1e
(e) θ=90° (f) θ=90°
Fig.2 T~ curves of UHWMPE under various torsional angular
amplitudes and cycles, Fn= 100 N (a) (c) (e) UHWMPE/Al2O3;
(b) (d) (f) UHWMPE/TC4
For the U/A contact, slight adhesion and ploughing
accompanied with little debris can be observed at lower
values (Fig.3(a)). And for the U/T contact, severer damage
occurred at same conditions (Fig.3(b)). However, some
ploughing traces (Fig.3(c)), detachment by delamination
(Fig.3(c)), and radial ripples with bulgy ridges (Fig.3(d)) were
formed under higher angular displacement amplitudes. The
ripples were perpendicular to the sliding direction on the scars
have been discussed in early studies under the condition of
sliding [2]. In this study, there maybe was same mechanism
due to the plastic flow of the polymer. Less material
transferring on the worn surfaces of the ball specimens for the
U/A contact were detected than that of the U/T contact (Fig.4).
It maybe was the reason why the severer adhesion occurred at
the interfaces of the U/T contact. Quite different from the
damage occurred at metal materials [3] owing to the different
deformation behaviors of polymer. The typical damage
morphology of UHMWPE at higher angular displacement
amplitudes can be schematically shown in Fig.5. Sticking
appeared at the contact center with light damage, and the radial
ripples presented at the middle of the slip ring. At the edge of
the scar corresponding with the maximal relative motion,
micro-cracks occurred and the debris removed by the action of
ploughing and delamination.
CONCLUSION
The T- curves characterized the kinetics behaviors of the
torsional fretting. The UHWMPE/TC4 contact presented
higher contact stiffness, friction torque, wear damage and
material transferring than that of the UHWMPE/ Al2O3 contact.
299
Slighter damage occurred at lower angular displacement
amplitude than that of higher torsional angle. A simple physic
model for torsionalfretting wear of the UHWMPE was set up.
(a)θ=5e (b)θ=5e
(c)θ=90e (d)θ=90e
Fig.3 SEM micrographs of the worn scars of UHMWPE: (a)
UHWMPE/Al2O3, (b) (c) (d) UHWMPE/TC4
(a) (b)
Fig.4 Optical micrographs of worn ball surface, θ=90º,
(a) Al2O3 ball, (b) TC4 ball
Fig.5 Schematic diagram of the torsional fretting damage of
the UHMWPE at higher angular displacement amplitude
ACKNOWLEDGEMENTS
This work was supported by National Natural Science
Foundation of China (No. 50521503, 50775192), Major State
Basic Research Development Program of China (No:
2007CB714704).
REFERENCES
[1] Douglas W. Van Citters, Francis E. Kennedy, John P.
Collier, 2007,“Rolling sliding wear of UHMWPE for knee
bearing applications, ” Wear,263, pp.1087-1094.
[2] Carlos Henrique da Silva,Amilton Sinator,2007,
“Development of severity parameter for wear study of
thermoplastics,” Wear,263,pp.957-964.
[3] Z.B.Cai, M.H.Zhu, J.Yu, et al, 2008, “An experimental
investigation and simulation of tortional fretting mode,”
Tribology, 28(1), pp.18-22 (in Chinese).
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
An Experimental Study on the Rotational Fretting Wear Behavior of LZ50 Steel
J.L. Mo (Tribology Research Institute, Traction Power
State Key Laboratory, Southwest Jiaotong University,
Chengdu 610031, China)
Z.J. Liao (Tribology Research Institute, Traction Power
State Key Laboratory, Southwest Jiaotong University,
Chengdu 610031, China)
(Extended Abstract)
ABSTRACT
Rotational fretting tests in a configuration of ball-on-flat
have been successfully realized by developing a new fretting
device based on an ultra-low-speed reciprocating rotational
driver. The rotational fretting tests of LZ50 steel flats against
52100 steel balls were performed under different testing
parameters, i.e. the angular displacement amplitudes of 0.25°
to 1° and the normal loads of 5 N to 20 N. The frictional
kinetics of rotational fretting and the characteristic of wear
damage for LZ50 steel were discussed in detail. The results
showed that the rotational fretting behavior of the LZ50 was
strongly dependent upon the angular displacement amplitude
and normal load. Friction force-angular displacement (Ft- )
curves can be used to characterize the rotational fretting
running behavior, which exhibited three basic types of the
parallelogram, elliptical and linear cycles by varying the
angular displacement amplitudes or normal loads. Under the
condition of the angular displacement amplitude of 0.25° and
the normal load of 10 N, the rotational fretting run in the
regime of partial slip, which corresponding elastic deformation
coordination at the contact interface. With the increase of the
angular displacement amplitude and the decrease of normal
load, the fretting running state transferred from the partial slip
to the gross slip. The micro-examinations indicated that the
plastic deformation, abrasive wear, oxidative wear and
delamination were the main damage mechanism for LZ50 steel
under the gross slip conditions. A special phenomenon which
different from that observed in the tests of the normal
reciprocating fretting (tangential fretting), i.e. wear debris
generated was accumulated in the centre zone of the wear scar
under the condition of gross slip, was observed in this paper.
Keywords: Friction and wear, Fretting, Fretting wear;
Rotational fretting
INTRODUCTION
According to the directions of relative motions, only four
simple fretting modes can be defined under a ball-on-flat
contact: tangential, radial, rotational and torsional fretting [1].
Many studies have been devoted to fretting wear, but most of
them have been focused on tangential mode. Rotational
fretting can be defined as the relative motion which induced by
reciprocating rotation under the oscillatory vibratory
environment (Fig. 1). And therefore it is common in modern
industrial or biomedical applications, e.g., ball-and-socket joint,
wheel-axle of train, yoke-axle, hip joint and knee joint of
human bodies [2], etc. However, few studies on rotational
fretting have been reported. Briscoe et al [3-5] reported the
fretting wear behavior of PMMA polymer against steel under
combined rotational and torsional contact conditions. It was
found that the resulting contact zone kinematics has a great
influence upon the accumulation, the compaction and the
displacement of the debris particles from the contact.
* Corresponding author :Tel. and fax: +86-28-87601304
E-mail: zhuminhao@swjtu.cn
M.H. Zhu* (Tribology Research Institute, Traction Power
State Key Laboratory, Southwest Jiaotong University,
Chengdu 610031, China)
Z.R. Zhou (Tribology Research Institute, Traction Power
State Key Laboratory, Southwest Jiaotong University,
Chengdu 610031, China)
Fig. 1 Schematic of the rotational fretting mode
Experimental
A new rotational fretting device with a ball-on-flat
configuration was developed by using an ultra-low-speed
reciprocating rotational driver (rotational speed: 0.001~30
r/min, resolution of rotational angle: 0.01 º), as shown in Fig. 2.
Medium carbon steel LZ50 (compositions: 0.55%C, 0.30%Si,
0.78%Mn, P<0.03%, S<0.03%, Ni<0.30%, wt%) was chosen
as the flat specimens, which was ground and polished to the
roughness (Ra) of 0.05 m. Chromium bearing steel ball (AISI
52100 steel) with diameter of 40 mm and surface roughness Ra
of 0.04 m was used as sphere specimen. Rotational fretting
tests were carried out under different parameters: i.e. normal
loads of 5 N, 10 N and 20 N; rotational angular displacement
amplitudes of 0.25º, 0.5º, 1º, 2º, 5º, 10º and 30º; a constant
rotational speed of 0.2 º/s; number of cycles varied from 1 to
1000. All the fretting tests were conducted in ambient
atmospheric condition (20±5 ć and 50±5% RH) without
lubrication. Fretting scars were evaluated by profilometer
(AMBIOS XP-2), optical microscopy (OM), scanning electron
microscopy (SEM, QUANTA2000) and energy dispersive
spectroscopy (EDX, EDAX-7760/68 ME).
Results and discussion
Under the angular displacement amplitude of 0.25° and
the normal load of 10 N, the tangential friction force vs angular
displacement amplitude curve (Ft- curve) exhibited linear
cycles, suggesting the rotational fretting run in the regime of
partial slip. With the increase of the angular displacement
amplitude, the fretting running state transferred from the
partial slip to the gross slip, and the Ft- curve changed from
linear to parallelogram loops (Fig. 3). With the decrease of
normal load, the fretting running state transferred from the
partial slip to the gross slip (Fig. 4). Therefore, the rotational
fretting behavior of the LZ50 was strongly dependent upon the
angular displacement amplitude and normal load. The Ft-
curves can be used to characterize the rotational fretting
running behavior.
The coefficients of friction (COF) curve presented a short,
fast ascent stage and then reached a steady-state stage under
300
 An Experimental Study on the Rotational Fretting Wear Behavior of LZ50 Steel

the partial slip condition (^=0.25, Fn=10 N, see Fig. 5). The
COF curves under higher angular displacement amplitudes of
0.5° and 1° were found to decline with fluctuating in
descending stage and reach the steady-state stage gradually.
The COF value of LZ50 steel increased with the increase of
that observed in the tests of the normal reciprocating fretting
(tangential fretting mode). The mechanism for this special
phenomenon is still not clear, which is worth further study.
0.6
0.5

Coefficient of friction
the angular displacement amplitude in Fig. 5.
0.4

0.3

0.2 e
^=0.25
e
0.1 ^=0.5
e
^=1
0.0
20 40 60 80 100
Number of cycles
Fig. 5 Coefficient of friction of LZ50 steel under
different angular displacements of 0.25°, 0.5° and 1°: Fn=10 N,
N=100 cycles
1.4
1.2
1.0

Height (μm)
0.8
0.6
A B
0.4
0.2
0.0
Fig. 2 Schematic of the rotational fretting rig (1. Ball -0.2

specimen; 2. Holder for ball specimen; 3. Reciprocating 100 m -0.4

-200 -150 -100 -50 0 50 100 150 200
A Width (μm) B
rotational driver; 4. Mounting for rotational driver; 5. Flat
specimen; 6. Holder for flat specimen; 7. 6-D forces/torques (a) =0.25°
sensor; 8. Lateral positioning system; 9. Vertical positioning 1.4
1.2
system) 1.0
Debris accumulation

10

Height (μm)
0.8
8
0.6
D
Tangential force (N)

6 C 0.4
4 0.2
2 0.0
0 -0.2

-2 -0.4
100m -250 -200 -150 -100 -50 0 50 100 150 200 250
-4 C Width (μm) D
e
^=0.25
-6
^=0.5
e (b) =0.5°
-8 e
^=1
-10
0.0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0
Fig. 6 Morphologies and profiles of wear scars of LZ50 steel
e
Angular displacement ( ) under different angular displacements: Fn=10 N, N=100 cycles
Fig. 3 Ft- curves of LZ50 steel under different angular
displacements of 0.25°, 0.5° and 1°: Fn=10 N, N=100 cycles ACKNOWLEDGEMENTS
12 This work was supported by the State Key Development
8 Program of Basic Research of China (2007CB714704), the
Tangential force (N)

fund of NSFC (No. 50521503) and the National High

4
Technology Research and Development Program of China
0 (2006AA04Z406).
-4

-8
-12
0.00 0.05 0.10
Angular displacement (degrees)
Fig. 4 Ft- curves of LZ50 steel under different normal loads
of 5 N and 10 N: =0.25°, N=100 cycles
The micro-examinations indicated that a slight damage
occurred at the contact interface under the partial slip condition
(Fig.6(a)), which appeared a morphology in shape of
annularity and the relative motion was coordinated by elastic
deformation. However, plastic deformation, detachment of
particles, ploughing traces and oxidation reaction were found
under the gross slip conditions (Fig. 6(b)). Therefore, the
plastic deformation, abrasive wear, oxidative wear and
delamination were the main wear mechanism for LZ50 steel in
the slip regime. In Fig. 6(b), wear debris generated was found
to be accumulated in the centre zone of the wear scar under the
condition of gross slip, which was significantly different from
REFERENCES
Fn=5 N
Fn=10 N [1] Zhu, M.H., Zhou, Z.R., 2001, “An experimental study on
0.15 0.20 0.25 radial fretting behaviour,” Tribology International, 34,
pp.321-326.
[2] Bergmann, G., Deuretzbacher G., Heller M., et al, 2001,
“Hip contact forces and gait patterns from routine
activities,” Journal of Biomechanics, 34, pp.859-871.
[3] Briscoe, B.J., Chateauminois A., Lindley T.C., et al, 2001,
“Fretting wear behaviour polymethyl-methacrylate under
linear motions and torsional contact condition,” Tribology
International, 31, pp.701-711.
[4] Briscoe, B.J., Chateauminois A., Lindley T.C., et al, 2000,
“Contact damage of poly (methyl-methacrylate) during
complex micro-displacements,” Wear, 240, pp.27-39.
[5] Chateauminois A., Briscoe, B.J., 2002, “Measurements of
Friction-induced surface strains in a steel/polymer
contact,” Tribology International, 35, pp.245-254.
(The whole paper will be supplied by the authors if reader
needs it.)

301
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Comparative Study of Tribological Properties with Different Fibers Reinforced

PTFE/PEEK Composites at Elevated Temperatures
Mu Liwena, Feng Xin a*, Zhu Jiahuaa, Wang Huaiyuan b, Sun Qingjie a , Shi Yijun a, Lu Xiaohua b
(a: State Key Laboratory of Materials-oriented Chemical Engineering, Nanjing University of Technology,
Nanjing, 210009, China; b: College of Chemistry & Chemical Engineering, Daqing Petroleum Institute, Daqing, 163318, China)
(Extended Abstract)
ABSTRACT
The friction and wear propertities of PEEK composites
properties, wear resistance, chemical and thermal stability [3].
filled with Potassium Titanate Whiskers (PTW) or short carbon
Carbon fibers not only show a high strength and modulus, but
fibers (CF) at elevated temperatures were investigated
also have an excellent heat stability and chemical inertness. In
respectively. The effects of various contact temperatures on the
addition, carbon fibers show under many conditions a very
tribological properties of PTFE/PEEK composites were studied
good tribological performance [1].The high wear rate at
under dry friction conditions. Moreover, the influence of
elevated temperature is a serious problem in a large number of
various pressures on the friction and wear behaviors of the
industrial applications such as elevated temperature bearings,
PTFE/PEEK composites was investigated. Result showed that
compressor guide rings [4]. The study of the high-temperature
PTW/PTFE/PEEK composites exhibited better tribological
tribological behavior of PEEK composites is lack. The
properties over CF/PTFE/PEEK composites at various sliding
objective of this work is to study the friction and wear
conditions (contact temperature and PV value). And also, it was
properties of PEEK filled with CF or PTW at elevated
found that the wear volume loss of the PTFE/PEEK composites
temperatures.
filled with PTW was at most one half of that of the
2. Experimental Details
PTFE/PEEK composites filled with CF. It was revealed from
2.1 Materials and preparation of PEEK composites
scanning electron microscope (SEM) of the counterpart surface
The PEEK 450PF was obtained by Victrex plc (UK). PTFE
of PTFE/PEEK composites that PTW could reduce the
powder of about 25μm was supplied by Dupont (7A-J), and the
adhesive wear of PTFE/PEEK composites.
Keywords: Polyetheretherketone, Carbon fiber , Potassium content was 15wt% in each sample. PTW with diameter
titanate whisker, Elevated temperature, Friction and wear 0.5-1μm and an average length of 20μm was synthesized by
properties ourselves. CF with the average diameter of 20 μm and average

1. INTRODUCTION length about 150 μm was obtained from Nanjing Fiberglass

In the petroleum and chemical industry, where high
temperature is often dispatched, special materials have to be
used. Polyetheretherketone (PEEK), a semi-crystalline polymer,
is used as special engineering plastic due to its excellent
mechanical capacity, good chemical and thermal stability.
PEEK composites are often used as compressor piston rings or
valve slices for their outstanding mechanical and thermal
performance at high temperature conditions, where
polytetrafluoroethylene (PTFE) composites may fail to service.
However, high friction coefficient and wear rate of pure PEEK
limite its wider use [1]. Many researchers found that Potassium
titanate whisker (PTW) and carbon fiber (CF) were effective
fillers for distinct effect on the friction and wear behaviors of
polymer composites [2]. PTW has been found to be a
promising structural reinforcer for polymers, metals, and
ceramic-composites because of its excellent mechanical
Research & Design Institute. The content of PTW or CF was
15wt% in each sample. The PTFE/PEEK composites filled
PTW or CF to be tested were produced by high temperature
compression moulding at 370ć, 10MPa for 90 min.
2.2 Friction and wear tests
The tribological tests were carried out under ring on ring
contact style in a MPX-2000 friction and wear tester. The
MPX-2000 friction and wear tester was modified by ourselves.
The tests were conducted under the constant contact
temperatures. The contact temperature includes 160, 180, 200,
220, 240°C. Sliding was performed under dry friction at sliding
velocities of 1.4 m/s and normal loads of 100 or 200 N.
3. Results and discussion
3.1 Friction and wear properties
The friction coefficients of PTW- and CF-reinforced
PTFE/PEEK composites are shown in Fig. 1. Under various

*To whom all correspondence should be addressed.

xfeng@njut.edu.cn 0086-25-83588063
302
 Comparative Study of Tribological Properties with Different Fibers Reinforced PTFE/PEEK Composites at Elevated Temperatures

contact temperatures, the frictional coefficients of PTFE/PEEK
composites filled with PTW are lower than those filled with CF.
The friction coefficients of the CF/PTFE/PEEK composites
decrease with the increasing contact temperature. However, the
friction coefficients of the PTFE/PEEK composites filled with
PTW increase from 160°C to 240°C.
3.2 Morphological examination on transfer film
The SEM micrographs of the transfer film are shown in
Fig.3. It can be seen that the transfer film of CF/PTFE/PEEK
composites is rough. On the contrary, a smooth transfer film
was gained for PTFE/PEEK composite filled with PTW, which
promised to provide an excellent anti-wear property for the
PTFE/PEEK composite.

0.17

0.16

0.15 (a)(a) (b)(b)

PTW+PTFE+PEEK
Friction Coefficient

0.14 CF+PTFE+PEEK
200N,1.4m/s
0.13

0.12

0.11

0.10 Fig.3 SEM micrographs of the counterpart surface

0.09
(×400): (a) PTW/PTFE/PEEK; (b) CF/PTFE/PEEK
160 180 200 220 240
Fig.1 Frictional coefficient of PTFE/PEEK composites at
1.4 m/s and 200 N
Fig. 2 shows wear volume rate of PTW- and CF- reinforced
PTFE/PEEK composites. The wear rate of PEEK composites
increases with the increasing contact temperature. Meanwhile,
the wear resistance of CF/PTFE/PEEK composites is much
lower than that of PTW/PTFE/PEEK composites. It can be
found that the wear volume loss of the PTFE/PEEK composites
filled with PTW is at most one half of that of the PTFE/PEEK
composites filled with CF.
12
10
Contact temperatureć
4.Conclusions
1. Under 160, 180, 200, 220, 240°C conditions, the tribological
properties of PTFE/PEEK composites filled with PTW were
better than that filled with CF.
2. PTW can provide a more excellent anti-wear property for the
PTFE/PEEK composite than CF.
References
[1] FlÖck J, Friedrich K, Yuan Q, 1999, “On the friction and
wear behaviour of PAN- and pitch-carbon fiber reinforced
PEEK composites,” Wear, 225–229,pp 304-311.
[2] Shi YJ, Feng X, Wang HY ,Lu XH, 2007, “Tribological
properties of PTFE composites filled with surfacetreated
PTW+PTFE+PEEK
CF+PTFE+PEEK
carbon fiber,” Journal of Materials Science 42, pp 8465–8469.
200N,1.4m/s
Wear rate10-9cm3/Nm

[3] Lu JZ, Lu XH, 2001, “Elastic interlayer toughening of

8
potassium titanate whiskers-nylon66 composites and their
6
fractal research.” Journal of . Applied Polymer. Science, 82(2),
4
pp.368-374.
2
[4] Taktak S, 2006, “Tribological behaviour of borided bearing
0
160 180 200 220 240 steels at elevated temperatures,” Surface and Coatings
Contact temperatureć
Technology, 201, pp. 2230-2239.
Fig. 2 Wear rate of PTFE/PEEK composites at 1.4 m/s
and 200 N.

303
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Research on Friction Characteristic of End Faces of Mechanical Seals

*
L. Wei1,2, B. Q. Gu1, , X. Feng2, J. J. Sun3
1
College of Mechanical and Power Engineering, Nanjing University of Technology, No.5 Xin Mo Fan Road Nanjing,
Jiangsu, 210009 P. R. China
2
Nanjing College of Chemical Technical, No.625 Ge Guan Road Nanjing, Jiangsu, 210048 P. R. China
3
Department of Engineering Mechanics, Southeast University, No.2 Four Decorated Archway Nanjing,
Jiangsu, 210096 P. R. China

ABSTRACT faces of mechanical seals is shown in Fig.1 [1]. h0 is the average

The friction of the seal faces is the most important
phenomenon in working process of mechanical seals. The
frictional characteristic of the end faces of mechanical seals is
a key factor that can decide their operating life and sealing
performance. The friction mechanism of the end faces of
mechanical seals was discussed at a microscopic point of view.
The operating characteristic in different friction regimes of
mechanical seals, such as dry friction, fluid friction, boundary
friction and mixed friction, was analyzed. The methods for
judging friction regimes of the end faces of mechanical seals
were introduced, such as friction factor method, duty
parameter method, Mayer method and relative film thickness
method. The frictional characteristic of GY70 mechanical seal
was investigated. The test results indicate that the bigger the
spring pressure, the bigger the friction factor. When the spring
pressure is smaller, the bigger the rotational speed, the bigger
the friction factor. But when the spring pressure is larger than
0.0866 MPa, the friction factor is not almost influenced by the
rotational speed. When both the rotational speed and spring
pressure are smaller, the medium pressure has a weaker
influence on the friction factor. When the rotational speed or
spring pressure is bigger, the bigger the medium pressure, the
smaller the friction factor. When the spring pressure and the
medium pressure are respectively equal to 0.0866 MPa and 0.45
MPa and the rotational speed is between 1116 rpm and 2940
rpm, the end faces of GY70 mechanical seal work in boundary
friction regime.
Keywords: Mechanical Seal, Friction Characteristic, Friction
Factor, Friction Regime
thickness of fluid film between the end faces, in which there is a
layer of wafer-thin boundary film. Under the elastic force of the
elastic element and the locking force Pg of the end faces that is
formed by the fluid pressure, the contacting peaks of
micro-convex bodies of the surface bear loads, in the meantime,
the elastic deformation and plastic deformation take place.
When the locking force is bigger, the burst boundary film
between the peaks of the surface micro-convex bodies causes
the direct contact of the solids, as shown in A section in Fig.1. B
section in Fig.1 is the contact of the boundary film. There are
the micro-cavities between micro-convex bodies, as shown in C
section in Fig.1. When h0 is less, each micro-cavity is basically
not continuous, thus there is no liquid between micro-convex
bodies or there is liquid but the pressure is small. Both the
boundary film and the solid that directly contact bear the
locking force. Now, mechanical seals work in boundary friction
regime. With increasing h0ˈthe micro-cavities can be connected
partly, which produces larger hydrostatic pressure and
hydrodynamic pressure. So the fluid pressure, the boundary film
and the contacting solid bear the locking force. Now mechanical
seals work in mixed friction regime. When h0 increases to one
value, all the micro-cavities will be connected into a single
channel. And the hydrostatic pressure and hydrodynamic
pressure of the fluid in the sealing gap can bear the locking
force. The micro-convex bodies of the surface don’t contact,
now mechanical seals work in fluid friction regime.

INTRODUCTION
Mechanical seals play an important role in preventing
leakage, saving energy and controlling environmental pollution.
Mechanical seals are the most widely used types of rotating
shaft seals in industrial field. According to statistics in China,
mechanical seals are adopted in 80%~90% of centrifugal
pumps. Among the sealing devices of the rotary machines in
industrially advanced countries, the usage amount of
mechanical seals is about 90% of all sealing devices. In the
contacting mechanical seals, the sealing function is realized
through the intimate contact and the relative movement
between the rotating ring and the stationary ring under the
pressure of the sealed fluid and the compressive force of the
spring. The friction of the seal faces is the most important
phenomenon in working process of contacting mechanical
seals. The frictional characteristic of the end faces of
mechanical seals is a key factor that can decide their operating
life and sealing performance.
FRICTION MECHANISM OF END FACES OF
MECHANICAL SEALS MAIN
The microcosmic model of friction mechanism of the end
*Boqin GU: E-mail: bqgu@njut.edu.cn
304
Fig.1 Microcosmic model of end face friction mechanism
From above, in boundary friction regime, the friction forces
are mostly composed of solid friction force and boundary
friction force. In mixed friction regime, the friction forces are
mostly composed of solid friction force, boundary friction force
and fluid friction force. In fluid friction regime, the friction
force is mostly caused by fluid friction. When the normal load
remains constant, the fluid friction force is less than the
boundary friction force, which is less than the solid friction
force. So when the locking force Pg of the end faces is a fixed
value, the relationship among the friction factors is ffluid˘fmixed
˘fboundary, and the relationship among the wearing capacities is
Gfluid˘Gmixed˘Gboundary.
FRICTION REGIME OF END FACES OF MECHANICAL
SEALS
The working state of mechanical seals depends greatly on
the friction regime of the end faces. Mechanical seals may
work in dry friction regime, fluid friction regime, boundary
 Research on Friction Characteristic of End Faces of Mechanical Seals
friction regime or mixed friction regime.
DRY FRICTION REGIME
There is no lubrication film between the sealing end faces.
The friction is mainly decided by the solid interaction of the
gliding plane. Under the general engineering condition, the
sealing surface may adsorb the gas (or the steam of the medium)
or oxide layer. Now two end faces directly contact, which leads
to severe wear and tear. The load and the material of the friction
pairs have obvious influence on the friction process.
BOUNDARY FRICTION
When the friction between the sealing faces happens, On the
surfaces, there is a layer of boundary film of the fluid molecules.
This fluid film is very thin and separate two end faces. This
friction is called the boundary friction. In boundary friction
regime, the boundary film has the lubrication function, and the
liquid pressure is difficult to be measured [2]. Generally, the
boundary film consists of 3a4 layers of the molecules, and its
thickness is about 200 Å (1 Å=1010 m) [3]. The boundary film
is partly discontinuous, and there are solid contacts in some
areas. The micro-convex bodies of the solid surface bear almost
all the load, as shown in Fig.2. The viscosity of the liquid film
has no significant effect on the friction properties. The frictional
behavior depends largely on the lubricating properties of the
boundary film and the material of the friction pairs.
Fig.2 Sketch-map of boundary friction regime
According to boundary friction theory, Mayer studied the
true state of the leak flowing in the gap of the end faces of
mechanical seals when exits no obvious pressure difference and
built up the flowing theory of the fluid exchange [2].The liquid
mainly permeates through the seal faces through the gap. There
are many rough discontinuous maze caves along the whole
width of the seal faces, so while the sealing rings revolve, the
liquid exchanges in the dinky gaps and the caves of two
contacting friction surfaces is under the residual pressure and
the centrifugal force. The gaps of friction surface seldom
connect each other. In the boundary friction regime, the
above-mentioned gaps are formed because of the separation of
the solid. When one of two rings revolves, the liquid is
transferred from one gap to another, which causes the leakage,
as shown in fig.3.
Fig.3 Flowing model of fluid exchange
305
FLUID FRICTION REGIME
There is a layer of stable lubricant film between the friction
pairs of the end faces of mechanical seals. This extremely thin
lubricant film can separate one end face from the other so that
the sliding surfaces don’t directly contact. At this time the
friction force is generated only by the shear force of the
viscous fluid, and it is much less than that in the dry friction
regime. And there is no wear and tear of the solid surfaces.
This friction regime is called the fluid friction. In completely
fluid friction regime, the dynamic viscosity of the lubricant
affects the frictional property. Now the lubricant fluid shows
its volume property. The friction happens in the interior of the
lubricant.
MIXED FRICTION REGIME
With the wave of the seal end face reduced, the gap of
friction pairs becomes smaller. The highest peak of the surface
roughness will contact,. This is called the mixed friction regime.
The end faces of mechanical seals are irregular rough
surfaces. The fluid film between the end faces is extremely thin,
and it has the same order of magnitude as the surface roughness.
Therefore, the high-frequency roughness and low-frequency
wave of the surface topography and the radial taper of the
overall form error have great influence on the performance of
mechanical seals. The lubricant film of hydrodynamic pressure
or hydrostatic pressure is formed between the end faces, that is,
there are several mixed frictions between the contact surfaces at
the same time, such as the fluid friction and the boundary
friction, the boundary friction and the dry friction, the fluid
friction and the dry friction, and the boundary friction and the
dry friction.
In mixed friction regime, the fluid film and the contact
micro-convex body between the end faces of mechanical seals
bear the total external load caused by the force of the elastic
element and the sealed medium pressure. The total friction
forces include two parts, namely, one generated by the shear
force of the viscous fluid film in the lubricating regime and the
other generated by the deformation of micro-convex bodies in
the contact regime of micro-convex bodies. The dynamic
viscosity and the material of the friction pairs have obvious
influence on the frictional process. Now, there is minor wear,
and the friction factor is also very small.
METHODS FOR JUDGING FRICTION REGIMES OF
EDN FACES OF MECHANICAL SEALS
FRICTION FACTOR METHOD
The friction factor of the end faces is one of the main
parameters characterizing the friction regime. In different
friction regime, the friction factor of the friction end faces is
not the same. Mayer presented the friction factors of the
different friction regimes [2], which are listed in Tab.1.
Table 1 Friction factors in different friction regimes
Friction regime Friction factor f
Fluid friction 0.005
Mixed friction 0.005a0.03
Boundary friction 0.03a0.15
Dry friction 0.15a0.8
DUTY PARAMETER METHOD
The duty parameter G was put forward by Stribeck after his
research on the bearing lubricity in 1900~1902. Afterwards,
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Sommerfeld, Gumbel, Hershey .etc applied this similarity Table 2 Relationship between friction regime and relative film
number of the friction characteristic in the field of the sealing thickness
technology [4]. The duty parameter could express the friction Friction regime Relative film thickness O
characteristic of mechanical seals. Its magnitude indicates the Fluid friction !3
operating condition of mechanical seals and the carrying power Mixed friction O=1a3
of the liquid film. The duty parameter of mechanical seals was Boundary friction 0.4O1
defined as the ratio of the viscosity force of the liquid film Dry friction O0.4
between the end faces to the locking force of the end faces Pg.
Pvb Pn ˄1˅
G EXPERIMENTAL INVESTIGATION of FRICTION
Pg 60 pg FACTOR OF GY70 MECHANICAL SEAL
Pg
pg psp  E ps ˄2˅
TEST DEVICE
Aa
The friction factor of GY70 mechanical seal was measured
Where P is Fluid dynamic viscosity (Pa˜s), v isAverage slide on the developed mechanical seal testing machine [8], as shown
speed of the seal surfaces (m/s), bis Effective seal width of the in Fig.5. A torque sensor is connected in series with the
seal ring (m), n is Rotational speed (rpm), pg isLocking force electromotor and the shaft, with which the friction torque
of the end faces (Pa), AaisArea of the seal surface (m2), pspis between the rotating ring and the stationary ring of the
Spring pressure (Pa), E is Balance factor, ps is Medium mechanical seal under different operating conditions is
pressure (Pa) . measured. The friction factor can be calculated according to
The method that the friction regime is judged by the duty Eq.(5).
parameter G has been put forward by Chen [5]. When
Mf     ˄5˅
G!1u106, 2u108G5u108 and 5u108G1u106, the f
frictional pairs work in fluid friction regime, boundary friction p g rm Aa
regime and mixed friction, respectively. Where Mf —Friction torque (N˜m).
               
MAYER METHOD
The relationship between the contact pressure coefficient Kg
of the end faces and the clearance height h formed by the
roughness of the end faces is shown in Fig.4, which was
obtained from the experiment by Mayer. The boundary or
mixed friction regime of mechanical seals can be judged from
Fig.4.

Fig.5 Test device of mechanical seal

1.Track 2.Outlet of medium 3.Pullborad 4.Seal chamber
5.Inlet of medium 6.Axile bush 7.Rotating ring and stationary ring
8.Force sensor 9.Measuring point of leakage rate
10.Loading component 11, 13.Bearing 12. Shaft
14, 16. Coupling 15. Torque sensor 17. Motor

TEST CONDITIONS
Several GY70 type balanced mechanical seals were tested.
Tab.3 lists the main parameters of the mechanical seals and test
conditions.
Fig.4 Mayer's judgement rule of friction regime Table 3 Main parameters of the mechanical seals and test
conditions
RELATIVE FILM THICKNESS METHOD Type GY-70
The friction regime can also be judged by the relative film Rotating ring Hard alloy YG8
thickness O. The relative film thickness was defined as the ratio Material Stationary ring Carbon M106K
of the average thickness of the liquid film h0 between the end Auxiliary seal ring Fluorubber
faces to the total surface roughness of the end faces V. O ring
h0 h0 Diameter of seal face d2 /d1 79/68
O ˄3˅
Balance factor 0.83
V Ra  Ra
2 2
1 2 Structural Roughness of rotating ring
The relationship among the average thickness of the liquid parameter Ra1 /Pm 0.11
film between the end faces of mechanical seals h0, the duty Roughness of stationary ring
parameter G, the friction factor f and the average radius of the Ra2 /Pm 0.20
end faces rm can be expressed by Eq.(4) [6]. Test medium Water
2 È rm G ˄4˅ Test pressure ps /MPa 0a0.6
h0 Test
f Rotational speed n/ rpm 0a3 000
condition Medium temperature
The relationship between the friction regime of mechanical Room
seals and the relative film thickness is listed in Tab.2 [7]. temperature

306
 Research on Friction Characteristic of End Faces of Mechanical Seals

EXPERIMENTAL RESULTS AND ANALYSIS 0.14 0.14

0.12 0.12
The effect of the spring pressure psp on the friction 0.10 0.10
factor f under certain medium pressure and at certain 0.08 0.08

f
f
rotational speed is shown in Fig.6 The bigger the spring 0.06 0.06
pressure, the bigger the friction factor. When the rotary speed is 0.04 0.04
smaller, the spring pressure has a significant influence on the 0.02
1000 1500 2000 2500 3000
0.02
1000 1500 2000 2500 3000
friction factor. When the spring pressure increases to a certain
n/rpm n/rpm
value, the friction factor becomes small at various rotational (a) ps=0.15MPa (b) ps=0.30 MPa
speeds. The bigger the spring pressure, the less the gap between 0.12 0.12
the end faces is and the larger the contact-rate of the micro-
0.10 0.10
convex body of two end faces and the adhesive force are, which
causes friction factor to increase. 0.08 0.08
0.06 0.06

f
0.14 0.14 0.04 0.04
0.12 0.12 0.02 0.02
0.10 0.10 1000 1500 2000 2500 3000 1000 1500 2000 2500 3000
0.08 0.08 n/rpm n/rpm
f

0.06 0.06 (c) ps=0.45 MPa (d) ps=0.60 MPa

0.04 0.04 —å—psp=0.0039MPa —Ú—psp=0.0394MPa —æ—psp=0.0630MPa

0.02 0.02 —ç—psp=0.0866MPa —ƹ—psp=0.1102MPa

0.00 0.02 0.04 0.06 0.08 0.10 0.12 0.00 0.02 0.04 0.06 0.08 0.10 0.12
psp /MPa psp /MPa Fig.7 Relationship between rotate speed and friction factor
(a) ps=0.15 MPa (b) ps=0.30 MPa
0.14 0.14
0.14 0.14
0.12 0.12
0.12 0.12
0.10 0.10
0.10 0.10
0.08 0.08
0.08 0.08
f

f
0.06 0.06
f

0.06 0.06
0.04
0.04 0.04
0.04
0.02 0.02 0.02
0.02 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.1 0.2 0.3 0.4 0.5 0.6 0.7
0.00 0.02 0.04 0.06 0.08 0.10 0.12 0.00 0.02 0.04 0.06 0.08 0.10 0.12
psp /MPa psp /MPa ps /MPa ps /MPa
(c) ps=0.45 MPa (d) ps=0.60 MPa (a) n=1116 rpm (b) n=1740 rpm
—å—n=1116rpm —Ú—n=1740rpm —æ—n=2340rpm —ç—n=2940rpm 0.14 0.14
0.12 0.12
Fig.6 Relationship between spring pressure and friction factor 0.10 0.10
Fig.7 illustrates the relationship between the rotational 0.08
f

0.08
f

speed and the friction factor under certain medium pressure and 0.06 0.06
certain spring pressure. When the spring pressure is less, the 0.04 0.04
bigger the rotational speed, the bigger the friction factor. But 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.1 0.2 0.3 0.4 0.5 0.6 0.7
when the spring pressure is larger than 0.0866 MPa, the friction ps /MPa ps/MPa
factor did not change with the rotational speed. Mayer (c) n=2340 rpm (d) n=2940 rpm
discovered that the friction factor dose not change with the —å—psp=0.0039MPa —Ú—psp=0.0394MPa —æ—psp=0.0630MPa

rotational speed in the boundary friction regime [2], which is —ç—psp=0.0866MPa —ƹ—psp=0.1102MPa
supported and validated by above experimental analyses. Fig.8 Relationship between medium pressure and friction factor
Fig.8 illustrates the relationship between the medium
pressure and the friction factor under certain spring pressure and DUTY PARAMETER METHOD
at certain rotational speed. When both the rotational speed and When the spring pressure psp=0.0866 MPa and the medium
spring pressure are smaller the medium pressure has a weaker pressure ps=0.45 MPa, the values of duty parameter G at
influence on the friction factor, as shown in Fig.8 (a) and (b). different rotational speed were calculated according to Eqs. (1)
When the rotational speed or spring pressure is bigger, the and (2), as shown in Tab.4. Thereby, the friction regime of the
bigger the medium pressure, the less the friction factor. The end faces is boundary friction when the rotational speed n
larger the medium pressure, the stronger the fluid hydrostatic =1116 rpm. And the friction regime of the end faces is mixed
pressure effect and the thicker the fluid film, which causes the friction when the rotational speed n =1740a2940 rpm. These
friction factor to reduce. results are different from the results judged by friction factor
method.
JUDGEMENT OF FRICTION REGIME OF END FACES
OF GY70 MECHANICAL SEAL Table 4 Values of duty parameter G at different rotational
speed n
FRICTION FACTORING METHOD Duty parameter G Rotational speed n/ rpm
When the spring pressure psp=0.0866 MPa, the medium 0.406u107 1116
pressure ps=0.45 MPa, and the rotational speed n is between 0.633u107 1740
1116 rpm and 2940 rpm, the friction factor f=0.100a0.106 0.851u107 2340
based on Fig.2. So the friction regime of the end faces of GY70 1.069u107 2940
mechanical seal is boundary friction judged from Tab.1.

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
In different friction regimes, the thickness of the fluid film is
also different. Eq.(1) indicates that the thickness of the fluid
film h is the function of P and v according to the duty
parameter method. This was obtained by the research on the
sliding bearing based on the fluid dynamic theory. In fact,
Mechanical seal is the contact seal of the parallel end faces, and
there is no obvious wedge-shaped gap like the sliding bearing.
In normal circumstances, the thickness of the fluid film hèf ( P,
v ), and the friction regime dose not change with P and v. So the
duty parameter method is not suitable for most mechanical seals.
Ge Jianzhi and so on [9] also presented that the friction regime
of the end faces of mechanical seals is influenced by the fluid
hydrodynamic pressure and the fluid hydrostatic pressure, so
the friction regime judged by the single duty parameter G is not
entirely correct.
MAYER METHOD
When the spring pressure psp=0.0866 MPa and the medium
pressure ps=0.45 MPa, the contact pressure coefficient
Kg=1.022. The clearance height h=0.38 Pm [10]. So the friction
regime of the end faces is boundary friction judged from Fig.1.
RELATIVE FILM THICKNESS METHOD
When the spring pressure psp=0.0866 MPa and the medium
pressure ps=0.45 MPa, the relative film thickness O=0.41a1.02
at the rotational speed n =1116a2940 rpm according to Eqs. (3)
and (4). The friction regime of the end faces is boundary
friction judged from Tab.2.
CONCLUSIONS
In different friction regimes of the end faces of mechanical
seals, the friction factor is also different. For GY70 mechanical
seal, the bigger the spring pressure, the bigger the friction
factor. When the spring pressure is lower, the bigger the
rotational speed, the bigger the friction factor. But when the
spring pressure is larger than 0.0866 MPa, the friction factor is
almostly not affected by the rotational speed. When both the
rotational speed and spring pressure are smaller, the medium
pressure has a weaker influence on the friction factor. When
the rotational speed or spring pressure is bigger, the bigger the
medium pressure, the less the friction factor.
The research results obtained by four methods for judging
friction regimes of the end faces of mechanical seals indicate
that when the spring pressure psp = 0.0866 MPa, the medium
pressure ps = 0.45 MPa and the rotational speed n = 1116a2940
rpm, GY70 mechanical seal works in boundary friction regime.
Wang Rumei thought that the boundary friction regime
appears when the rotational speed is less and the spring pressure
308
is bigger [11]. ëìîïðòó thought that the boundary friction
regime will not appear when the sliding velocity is higher than 5
m/s and the pressure is less than 0.98 MPa [12]. These points of
view disagree with the research results of the friction
characteristic of the end faces of GY70 mechanical seal
presented in this paper.
ACKNOWLEDGEMENTS
This research was partially supported by the Jiangsu Planned
Projects for Fostering Talents of Six Scientific Fields No.
07-D-027 and the High—tech Industrial Development Project
of Universities in Jiangsu Province No. JHB05-29.
REFERENCES
[1] Wei, Long, 2004, Sealing Technology, Chemical Industry
Press, Beijing.
[2] Mayer, E, 1981, Mechanical Seal, Chemical Industry Press
Beijing.
[3] Gu, Yongyuan, 1990, Fluid sealing, China Petrochemical
Press , Beijing.
[4] Gu, Yongyuan, 1991, “Friction Coefficient and Duty
Parameter of Mechanical Face Seals”, Journal of the
University of Petroleu, 15(3), pp. 71-83.
[5] Chen, Guohuan, 1979, “Relation between Liquid
Hydrodynamic Effect and the Seal Duty Parameter,”
Chemical Machinery, 6(1), pp.1-8.
[6] Will, P.A., 1984, “Effects of Seal Face Width on Mechanical Seal
Performance-Hy-drocarbon Tests,” Lubrication Engineering,
40(9) , pp.522-527.
[7] Zeng , Tao, 2000, “Analysis of Influence Factors of Friction
Performance on Mechanical Seals”, Lubrication
Engineeringˈ25(3), pp. 06-61.
[8] Wei, Long, Gu, Boqin, Sun, Jianjun, et al, 2006,
“Development of the Computer Aided Testing Device for
Mechanical Seals”, Lubrication Engineering, 31(4),
pp.136-139.
[9] Ge, Jianzhi, Li, Keyong, 1993, “A Study on Lubrication
Regime and Friction Moment of Mechanical Face Seal”,
Fluid Machinery, 21(1), pp.1-6.
[10] Summer ˉ Smith, J., D., Practical Mechanical Seal,
machinery industry Press, Beijing.
[11] Wang, Rumei, 2004, Questions and Answers to Practical
Mechanical Seal Technolog, China Petrochemical Press ,
Beijing.
[12] ëìîïðòó, ô.õ., 1968, Mechanical (end face) seal and
dynamic seal, Chemical Industry Press, Beijing.
 Failure Mechanism of Hadfield Steel Crossing

Failure Mechanism of Hadfield Steel Crossing

F. C. Zhang*, B. Lv, T. S.Wang, C. L. Zheng, Q. Zou, M. Zhang, M. Li / State Key Laboratory of Metastable Materials
Science and Technology, Yanshan University, Qinhuangdao 066004

(Extended Abstract)

ABSTRACT RESULTS AND DISCUSSION

In this paper failed Hadfield (high manganese austenite) TRACKING AND INVESTIGATION RESULTS

steel crossing in railway system was acted as the research

object, the microstructure changes in the worn surface layer of
the crossing were investigated by using optical microscopy,
X-ray diffraction (XRD) and transmission electron microscope
(TEM). The micro-properties of the worn surface and
subsurface layers of the crossing were tested by means of
nanoindenter equipment. In the mean time, the worn failure
mechanism of the crossing was discussed. The results
indicated that the microstructure in the worn surface of the
Hadfield steel crossing changed to nanocrystalline. The
nanocrystalline layer improved the wear resistance of the Fig. 1 Surface morphologies and outline drawing of Hadfield
Hadfield steel. The failure of the Hadfield steel crossing steel crossing used at different stages
included three stages, that was plastic deformation and wear in
the first served stage before the passing trough loads of Figure 1 shows the Surface morphologies and outline

1~2×107 tons, wear in the medial stage among the passing drawing of Hadfield steel crossing used at different stages. At

trough loads from 1×107 to 9×107 tons, and fatigue spalling in present, China's production on the high-quality manganese

the final served stage after the passing trough loads of steel crossing, the first stage is early use, overload capacity

8~9×107 tons. Accordingly, some new methods were put was 1×107 tons, the ability to work hardening the surface of

forward, which leaded to increase the lifetime of the crossing the Hadfield steel crossing had not been effectively played,

and enhance the safety of the railway system.
Keywords: Crossing, Hadfield steel, failure
INTRODUCTION
this stage the failure of Hadfield steel crossing was the plastic
deformation, which caused crossing surface collapse for about
2 mm in the first stage. The second stage is the use of the
medium-term, the surface of the Hadfield steel crossing

Although the Hadfield steel has been used as crossing for effectively worked hardening. At this point crossing into the

more than 100 years, the reports on the failure analysis of stage of normal service, the main performance of the crossing

Hadfield steel crossing were very few in the literature. The at this stage was surface wear, and the wear collapse of the

only reported one of the view was that the failure of Hadfield crossing was about 3 mm, its passing loads were from 1×107 to

steel railway crossing was surface cracks. Cracks were caused 9×107 tons. The third stage is the use of the late, overload

by the casting defects. Cracks initiated in the casting defects amounted to 9×107 tons, pocked spots appeared on the surface

and expanded along with the intensive defects and the of crossing at first, and then peeling off fatigue appeared, the

direction of the slip caused by the crossing surface depth of the Peeling off fatigue was 1̚2 mm. Once the

work-hardening. The casting defects within the crossing were crossing appeared fatigue spalling, its region rapid expansion

the non-metallic inclusions and shrinkages [1]. and the crossing immediately failed. The total amount of
surface subsidence for the failure crossing was about 6 mm.
* F. C. Zhang, Professor in Yanshan University, E-mail˖
zfc@ysu.edu.cn, Phone: 86 335 8063949. MECHANICAL PROPERTIES

309
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Fig. 2 Subsurface hardness distribution
The mechanical properties of the Hadfield steel crossing
includes: Yield strength 365 MPaˈTensile strength 793MPaˈ
Elongation rate 31%ˈarea Rate reduction 27%ˈToughness
196J/cm2 and hardness 230HB. Figure 2 shows the subsurface
hardness distribution curve of the Hadfield steel crossing after
the failure. It is clear that, the surface of the Hadfield steel
crossing clearly appeared work-hardening.
MICROSTRUCTURE
From the results of metallographic analysis, the subsurface
of the Hadfield steel crossing had fatigue cracks. The cracks in
the surface originated from austenitic grain boundaries or
inclusions and expanded along austenite boundary, as shown
in Fig.3. The TEM image of the crossing surface structures is
shown in Fig.4. From the TEM image one can see that, the
surface structures of the crossing were nanocrystalline
structures. The nanocrystalline formation was due to the
cumulative surface deformation of crossing, resulting in
formatting high density twins, dislocation and vacancy. The
existence of large number of vacancies promoted the crystal
dislocation climbing shift and the diffusion of atoms in the
process of dynamic recrystallization of deformation structures.
Thus the surface of the crossing produced discontinuous
dynamic recrystallization at a very low temperature [2].
Fig. 3 Subsurface microstructure morphologies of wear
Hadfield steel crossing
Fig. 4 TEM microstructures of Hadfield steel crossing surface
at depth of 100 μm (a) and 1 mm (b)
NANOINDENTION AND NANOSCRATCH
Fig.5 shows the nanoscratch and the nanoindenter
morphologies of the nanocrystalline layer at the 100 μm depth
310
from the worn surface of the Hadfield steel crossing. There are
no obvious difference for both the nanocrystalline layer and
matrix under the same load seen from the nano-scratch
morphology, such as 0.5 N, 1.0 N and 2 N. Nevertheless, there
are obvious difference for the nano-scratch width and depth
between these two regions, e.g. the width and the depth for the
nanocrystalline layer are 1.1 μm and 19.1 μm, respectively,
which is much smaller than 1.24 μm and 22.7 μm of matrix.
Moreover, the friction coefficient of the nanocrystalline layer
(1.8) is obviously smaller than that of the matrix (2.2) and the
difference between them is about 20%. The hardness of the
nanocrystalline layer is 9.4 GPa, which is higher than that of
the matrix (6.5 GPa) and the difference between them is also
about 20 %. However, the Young’s modules of the
nanocrystalline layer (182 GPa) is lower than that of the
matrix (216 GPa) and the difference between them is about
20%, too. According to the rule of material wear resistance,
the wear resistance is proportional to the hardness of material
directly, whereas, inverse proportional to the friction
coefficient and the Young’s modules. This is an indication that
the formation of the nanocrystalline layer in the worn surface
may improve the wear resistance of the crossing.
Fig. 5 Morphologies of the nano-indenter; (a) scratch and (b)
indenter
ACKNOWLEDGEMENTS
This work was supported by the New Century Excellent
Foundation of China (Grant No. NCEF-05-0260), the National
Natural Science Foundation of China (Grant No. 50671091)
and the Natural Science Foundation of Hebei Province (Grant
No. E2006001026).
REFERENCES
[1] Zhang, M.ˈWang, W.B.ˈZhou, Y.X.ˈAn, Q.ˈ2005ˈ“Effect
of the casting defect within the railway frog crossing of
high manganese steel on its application,” Foundry
technology, 26, pp.174-177.
[2] Zhang, F. C., Lv, B., Zheng, C. L., Li, M., Wang, T. S.,
Zhang, M., 2008, “Microstructure in Worn Surface of
Hadfield Steel Crossing,”5th International Conference on
Advanced Materials and Processing, Haerbin, accepted.
 Synthesis and Tribological Behavior of Surface Coated Cu Nanoparticles in Liquid Paraffin
Synthesis and Tribological Behavior of Surface Coated Cu Nanoparticles in Liquid Paraffin
Ling Zhang a,b (a State Key Laboratory of Solid
Lubrication, Lanzhou Institute of Chemical Physics,
Chinese Academy of Science, Lanzhou 730000, PR
China
b
Graduate School of the Chinese Academy of Science,
Beijing 100039, China)
Hongqi Wan a,b (a State Key Laboratory of Solid
Lubrication, Lanzhou Institute of Chemical Physics,
Chinese Academy of Science, Lanzhou 730000, PR
China
b
Graduate School of the Chinese Academy of Science,
Beijing 100039, China)
Huidi Zhoua (a State Key Laboratory of Solid Lubrication,
Lanzhou Institute of Chemical Physics, Chinese
Academy of Science, Lanzhou 730000, PR China)
ABSTRACT
The Cu nanoparticle surface coated with S-hexyl
N,N-dihydroxyethyl dithiocarbamate (SHNDD) was
synthesized by the controlled reduction of aqueous copper salts
using the modified Brust synthesis. The morphology, structure
and thermal properties of the modified Cu nanoparticles
(SHNDD-nano Cu) was investigated by means of transmission
electron microscopy, X-ray powder diffraction, Fourier
transform infrared spectrum, and thermogravimetric analysis.
As the results of TEM and IR spectrum shown , the size of
as-prepared nanoparticles is about 6 nm and existence of the
organic carbon chain on the surface of nanoparticles is
observed. The tribological behaviors of Cu nanoparticles in
liquid paraffin were evaluated on a four-ball testing machine.
The results show that Cu nanoparticles as oil additives can
improve the load-carrying capacity and antiwear property of
the base oil. The rubbed surfaces were investigated by
scanning electron microscopy (SEM) and X-ray photoelectron
spectroscopy (XPS). It can be inferred that a tribological
reaction film was formed, which contributed to the good
tribological properties of surface modified Cu nanoparticles.
Keywords: Cu nanoparticles, Tribological properties, Surface
modification
INTRODUCTION
In recent years, much attention has been paid to
nano-scale particles, since their physical and chemical
properties are quite different from those of the bulk materials
or individual molecules. The synthesis and tribological
properties of nanoparticles have been conducted in many
12.7mm balls used in the test were made of GCr15
scientific fields [1-4]. It has been well known that the poor
solubility of inorganic particles in oil greatly limits their
tribological applications. This disadvantage could be overcome
by means of surface modification with some organic
compounds. Up to now, the tribological properties of surface
modified nanoparticles of chalcogenides [5,6], metals [7,8],
oxides [9], and rare earth compounds [10,11], used as oil
additives have been investigated.
Metallic copper is soft and has low shear strength. This could
make it feasible to use the surface-capped copper nanoparticles
as a kind of novel nanoscale lubricating additives. Recently
some researchers prepared Cu nanoparticles using DDP [12]
and thiol [13] as modifying agents and investigated their
tribological properties. However, from the viewpoint of
*Corresponding author: Tel: (86)-931-4968018; Fax: (86)-931-8277088.
E-mail address: chenjm@.lzb.ac.cn
Lei Chen a (a State Key Laboratory of Solid Lubrication,
Lanzhou Institute of Chemical Physics, Chinese
Academy of Science, Lanzhou 730000, PR China)
(a State Key Laboratory of Solid
a,*
Jianmin Chen
Lubrication, Lanzhou Institute of Chemical Physics,
Chinese Academy of Science, Lanzhou 730000, PR
China)
environment protection, the use of the additives containing S
and P elements should be restrained and it is urgent to develop
green lubricanting additives. Wang et al. [14] reported alkali
metal salt was a potential kind of green nanoparticle additives
and they investigated the tribological behavior of CaF2 in the
lithium grease. For exploring new lubricating additive, besides
changing the kind of inorganic nanoparticle, the change of
modifying agent is an alternative choice. Based on good
tribological properties of metallic copper, we synthesized a
novel modifying agent S-hexyl N,N-dihydroxyethyl
dithiocarbamate which was used to modify Cu nanoparticles
and studied the tribological properties of Cu nanoparticles.
EXPERIMENT
SYNTHESIS OF S-HEXYL N,N-DIHYDROXYETHYL
DITHIOCARBAMATE AND MODIFIED COPPER
NANOPARTICLES
S-hexyl N,N-dihydroxyethyl dithiocarbamate (SHNDD),
which was used as the surface modifying agent, was
synthesized according to literature procedures [15].
SHNDD-nano Cu were prepared by reduction of copper salts
with aqueous sodium borohydride. Details about the
preparation are similar with the ref. 13.
FRICTION AND WEAR TESTS
The antiwear and friction reduction properties of
as-prepared Cu nanoparticles as an additive in liquid paraffin
at different concentrations were evaluated on a four-ball tester.
The
bearing steel (composition: 0.95–1.05% C, 0.15–0.35% Si,
0.24–0.40% Mn, <0.027% P, <0.020% S, 1.30–1.67%
Cr,<0.30% Ni and <0.025% Cu) with a HRC of 61–64. The
base stock was chemically pure paraffin oil, with a boiling
point over 300 ◦C, density of 0.835–0.890 g/cm3, and a
viscosity at 50 ◦C of 10.28mm2/s. Samples as oil additives
were dispersed ultrasonically in the LP and tested on the
four-ball testing machine with a speed of 1450 rpm. Before
each test, the balls and specimen holders were cleaned in
petroleum ether, and then dried in hot air. At the end of each
test, the wear scar diameter (WSD) of the three lower balls was
measured on a digital-reading microscope to an accuracy of
0.01 mm. Then the average WSD of the three balls was
calculated.
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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

ANALYSIS OF THE RUBBED SURFACE

The morphology of the rubbed surface was observed on a 40

JEM-1200EX model scanning electron micrograph (SEM)

Vvolume/%
30

equipped with energy dispersive spectra (EDS). XPS analysis

was carried out to reveal the chemical state of some typical 20

elements of rubbed surface on a Perkin-Elmer PHI-5702 10

multifunctional X-ray photoelectron spectrometer, AlΚα 0

3 4 5 6 7 8

radiation was used as the exciting source with the binding Diameter/nm

energy of contaminated carbon (C1s: 284.6 eV) as the

reference. The binding energies of the elements tested were
measured to an accuracy of ±0.3 eV.

RESULTS AND DISCUSSION

DISPEISION CAPACITY
The surface modified Cu nanoparticles can be dispersed in
several organic solvents, including chloroform, benzene, and Fig. 2 TEM image of surface modified Cu nanoparticles and
methylbenzene. Under heat and ultrasonication they can the corresponding histogram of particle size distribution
dispersed in the base oil. In contrast, unmodified Cu particles
can hardly be dispersed in these solvents. So the modification (insert)
improved the dispersion capability of Cu particles and made it
feasible to be an additive in oil.

THE FT-IR ANALYSIS OF THE NANOPARTICLES

0.9
B
Transmittance

0.6

0.3

4000 3000 2000 1000

Wavenumber (cm-1)

Fig. 3 SEM images of wear scar under lubrication (a,c) LP;

(b,d)Containing 0.25% coppernanoparticles(392N,1450rpm)
Fig. 1 The FRIR spectrum of S-hexyl N,N-dihydroxyethyl
dithiocarbamate (A) and modified copper nanoparticles (B)

THE MORPHOLOGY AND STRUCTURE OF

NANOPARTICLES
The TEM images of modified nanoparticles (50 000h) is
shown in Fig. 2. It can be seen that the average grain-size of
the modified Cu nanoparticles is about 6 nm with no obvious
aggregating phenomenon. It is because that the organic
modification agent is adsorbed on the surface of nanoparticles,
which can reduce the surface energy of the nanoparticles, and
prevent the further growth of the particles. These results show
that the absorbance of organic molecules on the surface can
control the size of particle, and improve the dispersity of the
nanoparticles.

THE THERMAL ANALYSIS OF NANOPARTICLES

Fig. 4 SEM images of wear scar under lubrication(a,c) LP ;
TRIBOLOGICAL PROPERIES (b,d)Containing0.05%coppernanoparticles(196N,1450rpm)

312
 Tribological Behaviors at High Load of MoS2 Films in Vacuum

Tribological Behaviors at High Load of MoS2 Films in Vacuum

Xinxin Ma/ School of Materials Science and Gang Wang/ School of Materials Science and
Engineering, Harbin Institute of Technology, Harbin Engineering, Harbin Institute of Technology, Harbin
150001, China 150001, China
Guangze Tang/ School of Materials Science and Yong Liu/ School of Materials Science and Engineering,
Engineering, Harbin Institute of Technology, Harbin Harbin Institute of Technology, Harbin 150001, China
150001, China
Shiyu He/ School of Materials Science and Engineering, Dezhuang Yang/ School of Materials Science and
Harbin Institute of Technology, Harbin 150001, China Engineering, Harbin Institute of Technology, Harbin
150001, China

0.25

ABSTRACT 0.20

Friction coefficient
MoS2 films about 1μm in thickness have been deposited on 0.15

9Cr18 steel substrate disc with dimension of Φ70mm×10mm 0.10

by magnetron sputtering method. The effect of high loads 0.05

0.00

(15~50N) on tribological behaviors of the magnetron sputtered 0 200 400 600

Time(s)
800 1000 1200 1400

MoS2 films in vacuum was studied by pin-disc wear tests. The

Fig. 2 The friction coefficient as a function of sliding time
pins made with 2Cr13 steel were Φ9mm×20mm and the
under 30N and 1.6m/s
leading portion of them was spheric. The damage process of
MoS2 films were analyzed based on the results of SEM, XRD
and nanohardness. The results show the friction coefficient
(FC) and the wearing life of the MoS2 films decrease with the
increase of load when sliding velocity of 1.6m/s is faxed. The
FC of the films is about 0.015 at 50N load. The wearing life of
the films is the most highest at 15N which can reach 2000
meter. When the load is 30N and sliding velocity is 1.6 m/s,
the damage process of the MoS2 films can be divided into four
stages. At the initial stage, the breadth of wear track increases Fig.3 Original structure of MoS2
with the elongation of sliding time and MoS2 abrasive dust
appears at the boundary of wear track due to high load. The
wear track is shallow. Compared with the other positions,
wearing is more serious at the center of the wear track where
has some micron dimension micropores. The film appears light
adhesion deformation. The boundary of wear track has many
cracks and the MoS2 film peels in pieces at the second stage.
Then a steady lubricating stage starts. The boundary of wear
track becomes regular, cracks disappear and abrasive dust is Fig. 4 SEM micrographs showing the worn surface
little at this stage. After the steady stage, MoS2 abrasive dust morphologies of MoS2 films after 30s under 30N and 1.6m/s in
and the naked area of the substrate disc at the center of wear vacuum
track increase with sliding time. When MoS2 film was
damaged thoroughly, the wear test carried out between 2Cr13
pin/9Cr18 disc. The adhesion deformation becomes very
serious. The XRD results show that as-deposited MoS2 films
are hexagonal structure and wearing process induces the
structure change of the films. The nanohardness measurement
indicates the hardness of the contact region increases firstly
and then almost keeps constant. The MoS2 films are damaged
at early stage of the friction processing, but the remaining Fig. 5 SEM micrographs showing the worn surface
MoS2 films can still depress adhesion between stainless steel morphologies of MoS2 films after 60s under 30N and 1.6m/s in
substrates for a short period. So it can offer excellent solid vacuum
lubrication property.
Keywords: MoS2, Friction, Vacuum, Film

0.080
0.075 friction coefficient 2000
0.070 sliding distance
0.065
1800
0.060
0.055
Sliding distance (m)
Friction coefficient

0.050 1600
0.045
0.040 1400
0.035
0.030 1200
0.025
0.020
1000
0.015
0.010
0.005 800
0.000
10 20 30 40 50

Load (N)
Fig. 6 SEM micrographs showing the worn surface
Fig. 1 The friction coefficient and wearing life as a morphologies of MoS2 films after 220s under 30N and 1.6m/s
function of load under 1.6m/s in vacuum in vacuum

313
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

a layered crystallographic arrangement allows the MoS2 layers

to easily shear between basal planes and is responsible for its
excellent lubricity.
There are lots of techniques for preparing a MoS2 film,
such as magnetron sputtering[5], ion beam assisted
deposition[6,7], anode oxidation combined with heat
treatment[8], chemical reaction and high temperature
Fig. 7 SEM micrographs showing the worn surface annealing[9,10], and multi-arc ion plating[11]. The MoS2 films
morphologies of MoS2 films after 480s under 30N and 1.6m/s prepared by magnetron sputtering have been applied
in vacuum successfully in outer space where is high vacuum and radiation
environment because of its controllable composition, uniform
thickness, good processing repeatability, low friction
coefficient and long wearing life. Though magnetron sputtered
MoS2 films have been applied for a long time, the damage
mechanisms of the films are not clear. And the researches on
tribological behaviors of magnetron sputtered MoS2 at high
load and high velocity are very few. In this paper, we
investigate the tribological behaviors at high load of magnetron
sputtered MoS2 films in vacuum. The damage process of the
Fig. 8 SEM micrographs showing the worn surface films has been analyzed by SEM, XRD and nanohardness
morphologies of MoS2 films after 900s under 30N and 1.6m/s measurement. And we also discussed the damage mechanisms
in vacuum of the MoS2 films.

REFERENCES

[1] Xiaodong Zhu, W. Lauwerens, P. Cosemans, M. Van Stappen, J. P.

Cilis, L. M. Stals, Jiawen He, 2003, “Different tribological behavior of
MoS2 coatings under fretting and pin-on-disk conditions,” Surface and
Coatings Technology, 163-164, pp. 422-428.
Fig. 9 SEM micrographs showing the worn surface [2] Haidong Wang, Binshi Xu, Jiajun Liu, Daming Zhuang, 2005,
morphologies of MoS2 films after 1240s under 30N and 1.6m/s “ Characterization and anti-friction on the solid lubrication MoS2 film
in vacuum prepared bu chemical reaction technique,” Science and Technology of
Advanced Materials, 6, pp. 535-539.
500
14 Hardness
Modulus
450 [3] Poulomi Roy, Suneel Kumar Srivastava, 2006, “Chemical bath
12 400

10 350 deposition of MoS2 thin film using ammonium tetrathiomolybdate as a

Hardness (GPa)

Modulus (GPa)

300
8

6
250 single source for molybdenum and sulphur,” Thin Solid Films, 496, pp.
200

4 150 293-298.
2 100

0
50

0
[4] Paul D. Fleischauer, Jeffrey R. Lince, 1999, “A comparison of
-50 0 50 100 150 200

Time (second)
250 300 350 400
oxidation and oxygen substitution in MoS2 solid film lubricants,”
Tribology Intermational, 32, pp. 627-636.
Fig. 10 The nanohardness and modulus as a function of friction [5] Z. Z. Xia, J. P. Tu, D. M. Lai, L. L. Zhang, Q. Wang, L. M. Chen,
W. X. Chen, 2006, “Microstructure and tribological characterization of
time under 30N and 1.6m/s
magnetron sputtered MoS2 film deposited using nested structure
material,” Surface and Coatings Technology, 201, pp. 1006-1011.
MoS2(002)

[6] K. J. Wahl, D. N. Dunn, I. L. Singer, 2000, “Effects of ion

implantation on microstructure, endurance and wear behavior of IBAD
Intensity (a.u.)

d
c
MoS2,” Wear, 237, pp. 1-11.
b
[7] L. E. Seitzman, R. N. Bolster, I. L. Singer, 1996, “IBAD MoS2
0
a

20
2 theta (degree)
Fig.11 The XRD diagram of the MoS2 films at different
friction time under 30N and 1.6m/s
INTRODUCTION
The MoS2 film has been applied extensively in aerospace
field as a kind of solid lubricant, which has good chemical
stability and heat stability[1,2]. MoS2 crystallizes in three
different types of structures, namely 2H, 3R and 1T-MoS2
[3,4]. The lattice structure consists of a monolayer hexagonal
sheet of Mo atoms, which lies in between two hexagonal
sheets of S atoms, i.e. (S–Mo–S) layers and are held together
strongly by covalent bonding. In the hexagonal poly-type
(2H-MoS2) two such layers form a unit cell. The interaction
between (S–Mo–S) layers in the direction [00l] is loosely
bound to each other only by weak Van Der Waals forces. Such
40 60 80 100
lubrication of titanium alloys,” Surface and Coatings Technology, 78,
pp. 10-13.
[8] P. Skeldon, H. W. Wang, G. E. Thompson, 1997, “Formation and
characterization of self-lubricating MoS2 precursor films on anodized
aluminum,” Wear, 206, pp. 187-196.
[9] Ronghui Wei, Haibin Yang, Kai Du, Wuyou Fu, Minghui Li,
Qingjiang Yu, Lianxia Chang, Yi Zeng, Yongming Sui, Hongyang Zhu,
Guangtian Zou, 2007, “Preparation of type-II MoS2 film by chemical
bath deposition onto Si coated with electrolessly Ni,” Materials
Science and Engineering B, 138, pp.259-262
[10] N. Barreau, J. C. Bernede, 2002, “Low-temperature preparation of
MoS2 thin films on glass substrate with NaF additive,” Thin Solid
Films, 403-404, pp. 505-509.
[11] Haidou Wang, Binshi Xu, Jiajun Liu, Daming Zhuang, 2005,
“Microstructure and tribological properties on the composite MoS2
films prepared by a novel two-step method,” Materials Chemistry
Physics, 91, pp.494-499.
(The whole paper will be supplied by the authors if reader
needs it.)

314
 Experimental Study on Running-in of Steel Fiction Pair of Block on Disk in Oil with Micro-and-Nano Diamond Powder

Experimental Study on Running-in of Steel Fiction Pair of Block on Disk

in Oil with Micro-and-Nano Diamond Powder
*
X. P. Xie, Z. G. Wang*, S. L. Chen

College of Mechanical and Automobile Engineering, South China University of Technology, Guangzhou, China, 510640

ABSTRACT 

The present paper studied on the running-in of  


block-on-disk of steel 1045 under the contact state of O 2 1  
in oil with micro and nano diamond solid powder. The results 
showed that there were relaxative effect of running-in and  
strengthening effect of surface hardness when both nano and
micro diamond powder were mixed to apply.  
Keywords: Micro-and-Nano, Running-in Oil, Friction Pair,
Wear 1-Timing engine;2-Actiyator;3-Trestle table;4-Disk;
5-Combined block;6-Load block;7-Force arm;
INTRODUCTION 8-A/D converting circuit;9-Strain pieces;
Traditional research[1-6] deemed that the main wear 10-Rev sensor;11-Computer;12-Driven gears
mechanism consisted of plastic extrusion, adhesive and Fig.1 Schematic diagram of runing-in tester of block on disk
abrasive wear of rough peaks of a friction pair. On the same
time, its basic process and model were establishing of hydro In Fig.2, a lurication model was established by using
lubrication film between the friction pair, forming of protective Reyonlds Equation and the boundary conditions. In the present
film on the friction pair surfaces, improving of surface contact paper, the original contact state of block-on-disk were set up as
properities and stabilizing of physical and chemical properities O 2 , Load=668 u 10 6 Kg and U 0.236 m/s in all
of the friction surfaces. The recent research[1,7] deemed that experiments. The running-in all were processed for 15mins.
continuously occurring physical, chemical and The mean granularity value of micro diamond particles is 15­
physical-chemical phenomena were ignored in the theory of m and that of nano diamond particles is 5.5nm. The base oil is
Molecule-Mesh and there also appeared “secondary 5%vol of cutting oil.
organization” continuously. The running-in would become B1 B0
more complicated when its lubricant even contained all kinds
of additive.
The present paper studied the running-in of block-on-disk
in oil with micro and nano diamond to reveal the different
mechanism of wear by contrast with traditional oil. ¢
p
h1

h0

MAIN BODY HEADINGS

- B0 , B1 , L, D ÷Õthe dimensions of the block[m]. U x O

- h0 , h1 , h , the height of the block[m]. Fig.2 Design diagram of compounding slide blocks

- O , the proportion of the oil film thickness to the synthesis RESULTS AND DISCUSSIONS
roughness of friction pair.
- U, the relative velocity of the two surfaces of friction
pair[m/s]. 1.2 Friction coefficient
- p , the pressure of oil film[Pa/m2]. The linear fit
1.0
S a , the 3D-roughness of the pair surfaces[ Pm ].
Friction coefficient

-
0.8
- S sk , the 3D-skewness of the pair surfaces. 0.6
- HRC , the hardness of the pair surfaces. 0.4

EXPERIMENTAL DESIGN 0.2

As showed as Fig.1, the block can slide on the disk with a 0.0
velocity from 0 to 0.314m/s. The friction force was tested from 0 2 4 6 8 10 12 14 16
Running-in time (min)
the A/D converting circuit and the wear ratio was weighted by
using a analytical balance. Surface topography and surface Fig.3 Running-in friction force in oil with micro diamond
hardness were tested by Talysurf CLI 1000 and Sclerometer. powder

315
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

It is showed in Fig.5 and Fig.6 for the wear ratio of the

1.2 Friction coefficient running-in in oil with micro diamond and with micro-and-nano
The linear fit diamond. It was concluded that the nano dimond particles
1.0 made the wear ratio become smaller.
Friction coefficient

0.8 As same as the above mechanism, the wear or wear ratio

would be higer in the oil with micro diamond powder more
0.6 than in the oil with micro and diamond powder. In other
words, the nano diamond powder will alleviate the course of
0.4
running-in. The micro rolling effect and lubricating effect
0.2 would embody by both the friction force and the wear ratio.
Its mechanism is also mainly the abrasive wear for the
0.0
0 2 4 6 8 10 12 14 16 running-in of the block-on-disk in oil with micro and nano
Running-in time (min) diamond powder. However, the nano-diamond powder would
alleviate the abrasive wear as for the micro rolling effect and
Fig.4 The running-in friction force in oil with lubricating effect between the pair. So the friction force
micro-and-nano diamond powder would keep more steady and lower as for the nano diamond
particles intervening in the running-in.
It is showed in Fig.3 and Fig.4 for the running-in friction
force in oil with micro diamond powder and with Table 1 Parameters of the pair surfaces before and after
micro-and-nano diamond powder. It was showed that the nano running-in in oil with micro-and-nano diamond powder
dimond particles made the force become lower and steadier Block surface Disk surface
Its mechanism is mainly the abrasive wear for the Parameters
running-in of the block-on-disk in oil with micro diamond Before After Before After
powder. So the friction force might fluctuate greatly as for Sa 6.18 0.25 9.12 0.68
the micro diamond particles intervening in the running-in. S sk 0.538 -1.210 -0.036 -2.090
With the evolvement, the wear between the pair would adapt
each other, and the friction force value would decrease down HRC 42.2 44.9 24.5 31.0
and become steady. However, the micro rolling effect and
lubricating effect[8] would make the abrasive wear alleviate. It is showed in Tab.1 for the Parameters of the pair surfaces
So the friction force would decrease down and become steady before and after running-in in oil with micro-and-nano
too. diamond powder. The values of Sa and S sk all decreased
2.0
Wear ratio after running-in in the oil. The values of HRC all increased
The linear fit after running-in in the oil.
1.5 The change of Sa showed that the surfaces of the pair
Wear ratio (mg/min)

become more smooth. The change of S sk showed that the

1.0
surfaces of the pair become more blunt. The change of
HRC showed that the surfaces of the pair become harder.
0.5
On the one hand, the abrasive wear would contribute it as
for the micro diamond powder; on the other hand, The micro
0.0 rolling effect and lubricating effect would contribute it too. So
0 2 4 6 8 10 12 14 16 it would be improved greatly for surface quality of the pair as
Running-in time (min)
for the running-in in the oil with micro and nano diamond
powder.
Fig.5 Wear ratio of the running-in in oil with micro diamond
powder It is showed in Fig.7 and Fig.8 for the block surfaces
before and after running-in in oil with micro-and-nano
2.0 diamond powder. The block surface was a grinding one before
Wear ratio the running-in and the surface appear rows of grooves as for
The linear fit the abrasive wear after the running-in.
Wear ratio (mg/min)

1.5 It is showed in Fig.9 and Fig.10 for the disk surfaces

before and after running-in in oil with micro-and-nano
1.0 diamond powder. The disk surface was a turning one before
the running-in and the surface became very smooth after the
running-in. There was also a great groove appear on the
0.5
surface.
The abrasive wear as for the micro diamond powder could
0.0 intensify the physical performance of the pair surfaces. The
0 2 4 6 8 10 12 14 16 filling effect and carbon effect[8] as for the the nano diamond
Running-in time (min) powder could change the chemical performance of the pair
surfaces. It could be concluded that the micro-and-nano
Fig.6 Wear ratio of the running-in in oil with micro-and-nano dimond mixed powder could make the physical and chemical
diamond powder performances of the pair surfaces improved greatly.

316
Experimental Study on Running-in of Steel Fiction Pair of Block on Disk in Oil with Micro-and-Nano Diamond Powder

Fig.7 The block surface before the running-in

Fig.8 The block surface after the running-in in oil with micro-and-nano diamond powder

Fig.9 The disk surface before the running-in

Fig.10 The disk surface after the running-in in oil with micro-and-nano diamond powder

317
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
CONCLUSIONS
1. The nano dimond particles could make the force become
smaller and steadier and make the wear ratio become
smaller. There is relaxative effect of wear in the
running-in in oil with micro-and-nano diamond powder.
2. The micro-and-nano dimond particles could make
physical and chemical performances of the pair surfaces
improved greatly. There is strengthenning effect of
surface hardness in the running-in in oil with
micro-and-nano diamond powder.
3. The surfaces of a sliding pair would become more smooth
and blunt as for the nano diamond powder mixed into.
ACKNOWLEDGEMENTS
The authors would like to express their gratitude to the
Guangdong Key Laboratory of Research of Electric Vehicles for
financial support to the project and support of the
Technological Project of Guangzhou (No. 2003C102031).
REFERENCES
[1] Ge S R, Zhu H, 2005, “Tribological Fractal,” Beijing:
Chinese Publishing Company of Mechanical Engineering,
pp. 85-93, 226-231
318
[2] King T G, Stpit K J, 1982, “Surface Finish and Running-in
Effects on Friction in Lubricated Sliding,”. Proc. of 8th
Leeds-Lyon Symp, England, The Butterworth & Co. Ltd, pp.
103-110
[3] Moore S L, Hamilton G M, 1982, “Ring Park Film
Thickness during Running-in,” Proc. of 8th Leeds-Lyon
Symp, England, The Butterworth & Co. Ltd, pp. 153-161
[4] Lliuc I, 1984, “Reaction Products in and around the Wear
Track in Lubricated Surfaces,” Wear, 93, pp. 271-279
[5] Kang S C, Ludema K C, 1986, “The Breaking-in of
lubricated surfaces,” Wear, 108, pp. 375-384
[6] Kelly D A, Barnes C G, Freeman R W, 1992, “Running-in
and the Enhancement of Scuffing Resistance,” Proc. Instn.
Mech. Engrs., 206, pp. 425-429
[7] Wang W, Wong P. L, Guo F, 2004, “Application of partial
elastohydrodynamic lubrication analysis in dynamic wear
study for running-in,” Wear, 257, pp. 823-832
[8] Zhang J X, Zhu J, 2001, “Experimental study of running-in
and surface modification of internal combustion engine,”.
Chinese Journal of Tribology, 21, pp. 59-62
 Thermomechanical Properties and Tribological Behavior of CaCO3 Whisker Reinforced Polyetheretherketone Composites
Thermomechanical Properties and Tribological Behavior of CaCO3 Whisker Reinforced
Polyetheretherketone Composites
Lin Youxi , Gao Chenghui, Chen Minghui
˄College of Mechanical Engineering & Automation, Fuzhou University, Fuzhou 350002, China˅
(Extended Abstract)
ABSTRACT
The thermal expansion properties ˈ dynamic mechanical
properties and related tribological properties of
polyetheretherketone(PEEK) composites filled with 0-25 wt.%
content of calcium carbonate(CaCO3)whisker were
investigated. The composite specimens were prepared by
compression molding. Thermomechanical analysis(TMA) was
performed to determine linear coeffcients of thermal expansion
(CTE). Dynamic mechanical thermo-analysis (DMTA) was
employed within the temperature range of 25-300ć.
Tribological testing of composites in dry wear mode against
carbon steel ring was carried out on a MM200 block-on-ring
apparatus. All materials showed a large change in CTE at glass
transition temperature(Tg), but CTEs of CaCO3/PEEK
composites at temperatures below and above Tg were much
lower than pure PEEK. For 25%CaCO3/PEEK the average
CTE in a temperatures range of 25-120ć is about half lower
than PEEK. CaCO3 whisker showed an significant effect on
the dynamic stiffness at low and high temperatures. The
increase of whisker content contributed to a rise to the storage
modulus.CaCO3 whisker filled PEEK composites exhibited
considerably lower friction coefficient and wear rate than pure
PEEK. With an increase in CaCO3 whisker contents,
coefficient of friction of PEEK composites continuously
decreased,while the specific wear rate showed minima for l5%
CaCO3 whisker inclusion with an approximate 7 times
improvement in comparison with PEEK. The improved
tribological performance of CaCO3/PEEK composites is
ascribable to the effectiveness of the reinforcing CaCO3
whisker,which contributes to increase the thermal stability,
stiffness and load-carrying capacity of PEEK composites in
terms of counteracting the effects of thermal softening and
adhesion.
Keywords: Thermomechanical properties, Tribological
behaviour, CaCO3 whisker, PEEK
1. INTRODUCTION
PEEK is a semi-crystalline, high performance engineering
thermoplastic for a wide spectrum of engineering applications.
The combination of superior thermo-mechanical properties
and good friction and wear characteristics renders the potential
of PEEK composites as performance tribomaterials[1-3].
Inspite of these, it has some serious drawbacks from an
anti-friction material point of view. It is known to exhibit a
high coefficient of friction under some operating parameters
and its scuffing behaviour induced by surface plasticization
and adhesion[4]. Researchers have been making continuous
efforts to improve the friction and wear behaviour of PEEK.
The fibers of glass or carbon, some high temperature polymers
and some inorganic fillers have been added to PEEK to
improve its mechanical or tribological properties[5-11].
As compared to fibrous and nanometer particulate fillers in
polymers, inorganic whiskers are more favoured due to
benefits associated with easy mixing and processing. CaCO3
whiskers with needle-like appearance could contribute much to
the mechanical, tribological and rheological properties of
polymer[12,13].PEEK filled in CaCO3 whisker may exhibits
the potential to enhance the utility of PEEK as a more versatile
319
tribo-material. Viscoelasticity is one typical behaviour of
polymeric materials,and it plays also an important role for
polymer based composites. Thermal stability for high
performance polymers strongly affects the mechanical and
tribological properties of the composite.This work constitutes
a step towards the elucidation of the inter-relationship between
structure, thermomechanical properties and tribological
behavior of 0-25wt.% CaCO3 whisker-reinforced PEEK.
Ultimately, such efforts should make possible towards a better
understanding the impact of CaCO3 whisker on the tribological
behavior of PEEKcomposites.
2. EXPERIMENTAL
PEEK powder was supplied by Jilin University with about
75μm diameter. CaCO3 whisker was produced by Qinghai
Institute of Salt Lakes, Chinese Academy of Sciences, with an
average diameter of 1μm and aspect ratio of 20-30. PEEK was
fully mixed with CaCO3 whisker of various content by blender
in alcohol.Dried blends were molded into the block specimens
by compression molding, in which the mixture was heated at a
rate of 10ć/min to 360ć, held there for 10min and then
cooled in the mold to 100ć.
TMA was performed using a DIL 402 PC TMA Instrument
at a scan rate of 5ć/min,in nitrogen purge within the
temperature range of 25-250ć.Test sample was a small
columniform specimen measuring φ4×20mm. DMTA was
conducted on Rheometric Scientific DMTA analyzer within
the temperature range of 25-300ć at a heating rate of 2ć/min.
The operating mode was single cantilever stretching and
constant-amplitude forced oscillation at a deformation
frequency of 1Hz. Test sample was a small rectangular
specimen measuring 20×4×1mm.
Tribological testing of composites against carbon steel
ring(AISI 1045) was carried out on a MM200 block-on-ring
apparatus in dry wear mode. Sliding was performed under
ambient conditions over a period of 2h at speed of 0.44 m/s.
The specific wear rate  in mm3/Nm is calculated by the
weight loss in mg divided by the density in mg/mm3, the
sliding distance in m and the applied load in N.
3. RESULTS AND DISCUSSION
3.1 THERMOMECHANICAL ANALYSIS
Results of TMA are shown in Fig.1 for PEEK composites
filled with 0,5,15 and 25 % CaCO3, respectively. Dimension
change relative to original sample length is plotted as a
function of temperature(dL/L0-T). All four materials show a
clear change in slope at their Tgs indicating an increase in
thermal expansion coefficient aboveTg.
The linear coefficient of thermal expansion(α), the slope of
the relative dimension of the change vs. temperature curve, is
shown in Fig.2. Four materials show the same general trends
and temperature dependence in their CTEs, especially at
high temperature. Below Tg, α is low and relatively flat and
increases steeply at Tg then reaching a maximum. For
CaCO3/PEEK,the CTEs are much lower than pure PEEK.To
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

dynamic modulus(E’) and the mechanical loss factor (tanδ) for

PEEK composites with 0-25%CaCO3 whisker are shown in

 
2.0
0%
5% Fig.3 and 4,respectively. All materials show a large change in
15%
25%
storage modulus at the glass transition temperature(Tg).At low
1.5
and high temperature, the increase of CaCO3 whisker content
contributes to a rise to the dynamic stiffness.The storage
J
O
D
V
V

W
U
D
Q
V
L
W
L
R
Q
dL/L0

1.0


modulus of 25%CaCO3/PEEK at temperatures 200ć is about
0.5
2.5 times larger than neat PEEK.CaCO3 whisker reinforcement
leads to an appreciable increase in stiffness, in particular at
0.0
temperatures below Tg. Damping peaks could be observed in
the tanδ curves shown in Fig.4 for all composites, which
-0.5
corresponded to the glass transitions of PEEK. CaCO3 whisker
0 50 100 150 200 250
does not influence the damping value remarkably. In


t/ć addition,based on the location of the peaks, the incorporation

Fig.1 Dimension change relative to original sample length of CaCO3 whisker into PEEK results in an 3-5ć rise in Tg.
vs. temperature for CaCO3/PEEK composites(dL/L0-T)
0.20

0%
select a representative value of CTE for comparison,the bulk 5%
linear CTE of 25%CaCO3/PEEK is roughly 60% of that of 0.16 15%
25%
pure PEEK at 120ć( below Tg) and 170ć(above Tg).The
average CTE of 25%CaCO3/PEEK in a temperatures range of 0.12

tan¥
25-120ć is about half lower than PEEK. Inclusion of CaCO3
whisker in PEEK definitely improves the thermal stability of
PEEK. 0.08


180 0.04
0%
160 5%
15%
140
25% 0.00
0 50 100 150 200 250 300
120 t/ć

a /h

J
O
D
V
V

W
U
D
Q
V
L
W
L
R
Q

100 Fig.4 Temperature dependence of mechanical loss factor

 (tanδ) for PEEK composites in various CaCO3 content
80

60

40 3.3 TRIBOLOGICAL EVALUATION

20 Presented in Fig.5 are curves showing the steady-state
0 50 100 150 200 250
coefficient of friction() and specific wear rate() of PEEK


tć composites with 0-25%CaCO3 whisker. The average  (0.42)

of neat PEEK was high with a stick-slip tendency. The friction
Fig.2 Linear coefiicient of thermal expansion vs. coefficient decreased continuously, also the scuffing behaviour
tempcrature for CaCO3/PEEK composites(α-T) and fluctuations were reduced due to the inclusion of CaCO3
whisker. The composites exhibited a decreased wear rate, to
reach the lowest at 15% CaCO3 with a 7 times approximately
3.2 DYNAMIC MECHANICAL THERMAL ANALYSIS improvement in comparison with the unfilled one, and then
Curves showing the temperature dependence of the slowly increased for further inclusion of CaCO3 whisker. It can
be seen that the inclusion of CaCO3 whisker has drastically
improved the tribo-performance (, ) of PEEK.
  

5 0%
5%
15%
4 25% 0.5 10
¹/10-6 mm3.(Nm)-1

µ
8
EĄ/GPa

3 0.4 ¹
 6
2
0.3
µ

4
1
0.2
2
0
0.1 0
0 50 100 150 200 250 300
0 10 20 30
CaCO 3 content/%
t/ć

Fig.3 Temperature dependence of storage modulus for Fig.5 Friction coefficient(μ) and wear rate(ω) of
PEEK composites in various CaCO3 content CaCO3/PEEK composites

320
 Thermomechanical Properties and Tribological Behavior of CaCO3 Whisker Reinforced Polyetheretherketone Composites
Filled in PEEK, the CaCO3 whisker improved the
hardness,stiffness,thermal stability and load-carrying capacity,
and contributed to abate the ploughing, plastic deformation of
composites, and the adhesion between the materials and
counterparts, finally led to decreaseof frictional coefficient and
a significant improvement of the wear resistance. Nevertheless,
the blends with more amount of CaCO3, partial whiskers
became accumulated. Weaker interfacial adhesion between the
polymer matrix and whisker induced partial whisker debonded
from matrix into wear debris to be the “third body”. The third
body abrasion led to the increased wear again.
4. CONCLUSIONS
In whisker reinforced thermoplastics, thermomechanical
properties were governed by polymer matrices, but
significantly influenced by fillers. CaCO3/PEEK composites
showed a large change in CTE at Tg, but CTEs of PEEK
composites at temperatures below and above Tg were much
lower than pure PEEK. For 25%CaCO3/PEEK the average
CTE in a temperatures range of 25-120ć is about half lower
than PEEK. CaCO3 whisker showed an significant effect on
the dynamic stiffness at low and high temperatures. The
increase of whisker content contributed to a rise to the storage
modulus. The tribological performance of CaCO3/PEEK
composites was found to be considerably better than neat
PEEK.With an increase of CaCO3 whisker content in
composites, coefficient of friction continuously decreased,
while wear rate of composites showed minima for about l5%
CaCO3 inclusion with an approximate 7 times improvement in
comparison with the unfilled one. The effectiveness of the
reinforcing CaCO3 whisker contributes to increase the thermal
stability, stiffness and load-carrying capacity of PEEK
composites, to abate the effects of adhesion and thermal
softening of composites, which conforms to affect the
tribological properties in a beneficial way.
ACKNOWLEDGEMENTS
This work was supported by Doctor Conferring Points
Foundation of the Ministry of Education of China(grant No.
20060386008),Fujian Provincial Natural Science Foundation
(grant No.2008J0152) and Science Foundation of Fujian
Education Bureau(grant No.JA07011).
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pp.1536-1542.
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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Corrosive Fretting Wear Behavior of a Titanium Alloy TC11 in Artificial Seawater
H.Y. Ding 1*, Z.D. Dai 2, Y. Zhang 1, G.H. Zhou1
1
Department of Mechanical Engineering, Huaiyin Institute of Technology, Huaian 223003, China;
2
Academy of Frontier Science, Nanjing University of Aeronautics and Astronautics, Nanjing 210016 China
ABSTRACT
By using the ball-on-flat configuration at 30Hz frequency in
SRV tribo-tester with various normal loads and amplitudes, the
corrosive fretting wear behavior of a titanium alloy TC11 flat
against a high carbon bearing steel counter ball was investigated
in artificial seawater and distilled water respectively at room
temperature for 1h. The worn surfaces of TC11 were observed
by scanning electron microscopy (SEM) and analyzed by
energy dispersive spectroscopy (EDS). The influences of the
load, amplitude and aqueous medium on the friction coefficient
and wear resistance of TC11 were analyzed. It is clear that the
friction coefficient curve undulates in the fretting proceeding
and fluctuates from 0.2 to 0.6 in the seawater, while it shows
better stability in the distilled water which fluctuates from 0.5 to
0.6. The friction coefficient curve gets more stable as the
amplitude decreasing in both the aqueous media. Results from
the SEM and EDS analysis revealed that compared with that in
distilled water, the lubrication surface film formed on the wear
scar in the artificial seawater could reduce the friction
coefficient greatly, even to 50%. The wear volume-loss of TC11
in the artificial seawater is always lower than that in the distilled
water. It demonstrates the dominant roll action of the lubrication
of seawater and therefore presents a negative synergy ratio
between corrosion and wear. The wear mechanism of TC11 is
delamination fatigue associated with abrasion at short
amplitude, whereas it is only abrasive wear at long amplitude.
Keywords: Titanium alloy, Corrosive wear, Fretting
INTRODUCTION
Fretting is defined as “phenomena occurring between two
surfaces having oscillatory relative motion of small amplitude”.
It occurs in a variety of vehicle, especially in aircraft, such as
low-pressure turbine blades and disks [1-2]. Titanium alloys
are indispensable materials in the field of aeronautics and
astronautics due to their high specific strength, wonderful
corrosion-resistance and high applied temperature. But they are
sensitive to fretting wear extremely [3-5]. The position fretting
occurred is exactly the zone easy to generate corrosion, and the
couple metals would change their behavior when they work in
the environments of corrosion owing to the corrosion effect.
Synergism between corrosion and wear usually appears
positive interaction, namely accelerating each other [6-9]. But
sometimes “negative” interaction, i.e., corrosion weakens the
wear loss, maybe also occurs, which has been observed on
stainless steel and titanium [10]. For titanium, many corrosive
wear had been done in different media such as air, acid solution,
simulated bio-liquid and 3.5%NaCl solution, etc [11-17]. Since
battle-plane and helicopter often fly off from the floating
aerodrome or shore in the environment of sea atmosphere,
titanium alloy TC11, widely used in the battle-plane, was
selected in this work to conduct the fretting wear experiment in
seawater to investigate the influence of corrosive medium on
* Corresponding author. Tel.: +86-517-83559196
E-mail addresses: dhy@hyit.edu.cn
322
the friction and wear property. Furthermore, synergism between
corrosion and wear of TC11 in seawater at fretting contact
would be revealed by comparing with that in the distilled water.
EXPERIMENTAL METHOD
TC11 with the hardness of 317 HV was used here as lower
specimen. Specimens in the dimension of 20mm×18mm were
prepared by using electrical discharge method. The surface
roughness (Ra) of each grounded sample was lower than 1.6 m.
The commercially available bearing steel ball (GCr15) in
diameter of 10mm was selected as the mating ball. The chemical
compositions of the tribo-matches were shown in Table 1.
Table 1 Composition of TC11 and GCr15 (Me, %wt)
Al Mo Zr Si Ti
TC11
5.8-7.0 2.8-3.8 0.8-2.0 0.2-0.35 Remained
C Cr Mn Si Fe
GCr15
0.95~1.05 1.40~1.65 0.25~0.45 0.15~0.35 Remained
Ball-on-flat fretting tests were conducted on SRV
tribo-tester (Optimal Company, Germany). The upper ball was
clamped at the top grip and moved reciprocal. TC11 specimen
was screwed in the lower table and kept motionless. Fig.1
shows a schematic of this test apparatus as well as specimen and
the mating ball. All the experiments were performed at room
temperature in two aqueous media of distilled water and
artificial seawater with pH 8. The artificial seawater solution
was synthesized in the laboratory according to the Ref. [18].
The rubbing surfaces were ensured to be submerged in aqueous
by using an injection-tube per 20 min.
Fig.1 Schematic diagram of the frictional pair
Each test was carried out at 30 Hz within 1 h. The
experiments were conducted at three different amplitudes of
100, 200, and 300 μm. The normal loads were varied from 20 N
to 40 N. Before each test, the upper balls and lower samples
were ultrasonically cleaned in acetone for 10 min.
Three repetitive experiments were conducted with each
material couple at the same fretting condition. The friction
coefficient is obtained directly from the software in the
tribometer, and the data here were the average value of the three
replicate experiments. After the experiments, the wear debris
and corrosion products were observed firstly on the original
wear scars and then the samples were ultrasonically cleaned in
 Corrosive Fretting Wear Behavior of a Titanium Alloy TC11 in Artificial Seawater

acetone to remove all the products from the worn surface. The
morphology and composition of the wear scars, material
transfer, and wear debris were observed and analyzed by using
Hitachi-S3000N scanning electron microscopy (SEM) with
energy dispersive spectroscopy (EDS). The wear depth was
measured by a non-contact optical profilometer (ADE Company,
USA).
The electrochemical measurements were carried out in a
three-electrode cell. The titanium alloy specimen was used as
the working electrode. A platinum plate and saturated calomel
electrode (SCE) were used as the counter and reference
electrode, respectively. Measurements were performed in
artificial seawater at a temperature of 20ºC using a CHI760B
potentiostat / galvanostat system at a potential scanning rate of
0.1 mV/s. Potentiodynamic anodic polarization curves were
automatically acquired and the corrosion potential (Ecorr) and Fig.2 Friction coefficient curves at different normal loads in
corrosion current density (icorr) were determined using the Tafel distilled water
extrapolation method.
RESULTS AND DISCUSSION
INFLUENCE OF LOAD AND AMPLITUDE ON THE
FRICTION COEFICIENT OF TC11
Fig.2 shows the variation of friction coefficient curves
within 1 h at various normal loads under three amplitudes of
100, 200, and 300 m in distilled water. The friction coefficient
curves in artificial seawater under the same condition are shown
in Fig.3.
We find that the friction coefficient curve undulates
seriously in the fretting process and fluctuates from 0.2 to 0.6
with further sliding in the seawater, while it shows better
stability in the distilled water which fluctuates from 0.5 to 0.6
and even exhibits a straight line at 100 m. Although the
friction coefficient values are irregular as load increases, the
curves get more stable as the amplitude decreases in both the
aqueous mediums. It indicates that the amplitude has
remarkable effect on the friction coefficient of TC11/GCr15
tribopair in aqueous.

Fig.3 Friction coefficient curves at different normal loads in

artificial seawater

Due to the hardness of only 317 HV, much lower than

60HRC of the mating ball GCr15, the TC11 is easier to be

323
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

notched and tiny debris would be generated inevitably in the INFLUENCE OF THE MEDIA ON THE FRICTION
fretting process. It is impossible for the tiny debris to be COEFFICIENT AND WEAR-LOSS OF TC11
expelled from wear scar surface completely on account of the The mean stable friction coefficient available is the
small amplitude. On one hand, the remains of wear debris may average of all the values after 5 min that is thought as the
act as abrasive to plough the matrix severely; on the other hand, relative stable period. The friction coefficient values and depths
the debris between the tribo-pair would separate two metal of the wear scars of TC11 under various conditions are listed in
surfaces and act as cushion or rolling balls to decrease Table 2.
coefficient in the aqueous medium.
Generally, extra surface-film attributed to some active Table 2 Friction coefficients and depths under different
elements maybe formed in seawater. When the tribo-pair runs in parameters
larger amplitude, the film, together with the initial exfoliated Friction
Load Amplitude Depth (μm)
debris, is easy to be secondary milled to granule, as shown in coefficient
(N) (μm)
Fig.4 (a). These granules can play the role of rolling balls to Water Seawater Water Seawater
reduce friction coefficient. Meanwhile, long amplitude results 100 0.55 0.25 18 17
in a relative small overlap zone and the granules are much easier
20 200 0.58 0.29 30.5 18
to be expelled from the wear scar, partial metal surface would be
exposed and metal-to-metal contact forms, the friction 300 0.55 0.5 70 56
coefficient would increase consequently. Thus the procedure of 100 0.56 0.34 22 18
forming granular debris and removing debris alternates 30 200 0.54 0.37 77 23
repeatedly. The friction coefficient fluctuates in the fretting
proceeding accordingly. 300 0.57 0.44 86 76
100 0.57 0.26 32 25
40 200 0.52 0.33 90 56
(a)
300 0.47 0.29 100 88

It is evident that the friction coefficients in artificial

seawater are always lower than those in distilled water at any
load and any amplitude, even decrease to 50%. It demonstrates
that the seawater could reduce the friction coefficient.
As we known, seawater is a natural electrolyte with
complex ingredients. Sodium chloride, calcium chloride,
phosphoric acid, sodium silicate, magnesium sulfate etc. are
existed in our artificial seawater, among which the element Si
is easy to form lubrication film [19]. Under the action of
friction force, the active elements such as S, P, Cl would react
with the element Fe in the GCr15 ball, and the
(b) easy-shear-tribolayer containing ferric sulfide, ferric
phosphate and ferric chloride is therefore formed. As
well-known, chlorides have a real lubricant effect [14]. The
tribo-film is expanded and spread easily on the Ti alloys
surface at certain normal load, and a complete
low-friction-film would be formed consequently, as shown in
Fig.5 (a). Then the metal-to-metal-contact is separated by such
a film and the actual friction coefficient decreases accordingly.

(a)

Fig.4 SEM photographs of the wear scars before cleaning at

different amplitudes in distilled water: (a) 300m-40N; (b)
100m-40N

The worn zone is mostly overlapped at small amplitude. It

is difficult for the generated debris to be expelled and the
tribo-pair is separated by the debris all the time, which can be
pressed to a separated layer at a high load (shown in Fig.4 (b)).
As a result, the friction coefficient would keep a relative
constant value.

324
 Corrosive Fretting Wear Behavior of a Titanium Alloy TC11 in Artificial Seawater
(b)
Fig.5 SEM photographs of the wear scars before cleaning at
different amplitudes in seawater: ˄ a ˅ 100m-20N; ˄ b ˅
300m-20N
Fig.5 depicts two SEM photographs under different
amplitudes at 20N in seawater before cleaning. It can be seen
from Fig.5 (a) that a typical lamellar film, probably the
lubrication film formed by active elements in the seawater,
appears on the wear scar at smaller amplitude of 100 m.
Besides some lamellar substances, there is still other granular
debris on the surface at amplitude of 300 m, revealed in Fig.5
(b). Results from the EDS analysis revealed that the element of
Fe, belonging to the upper ball, is detected in the wear scar. This
means a material transfer. Furthermore, elements of Ti, Cl, Na,
S, and Ca are also detected in the scar, seen in Fig.6. So it can be
concluded that the wear scars generated in seawater are covered
by corrosion products accompanied with materials transferred
from the opposite ball besides debris. Mentioned assumption
and analysis above are verified.
Fig.6 corresponding spectrum of Fig.5 (a)
Table 2 reflects that the wear losses of TC11 in seawater
are always lower than those in distilled water. It implies a
negative synergy ratio between corrosion and wear. It can be
thought that the soft easy-shear tribofilm, formed by the active
ingredients in seawater, plays a role of anti-friction to prevent
and control the wear process. Although it is the corrosion
product, the anti-friction film can relieve and even eliminate the
malicious destruction induced by the micro-cutting and plough
effect at fretting, thus the effect of corrosion on wear exhibits a
negative synergy ratio.
To illustrate the influence of wear on corrosion, a dynamic
scan from -1.5 V to +1.5 V (SCE) at scan rate of 0.1mV/s was
conducted on TC11 with three different states of original sample,
325
after immerging, and after corrosive fretting. Typical anodic
potentiodynamic polarization curves measured in artificial
seawater are presented in Fig.7, and the corrosion potential
(Ecorr) and corrosion current density (icorr) are also summarized
in Table 3.
Fig.7 Polarization curves of TC11 with different states: (a)
Original sample; (b) After immersing for 168 h; (c) After
corrosive fretting
Table 3 Results of polarization experiments of TC11
Ecorr icorr
State
/V / A.cm-2
Original sample -0.007 2.4×10-6
After immerging -0.196 1.27×10-6
After corrosive fretting -0.425 6.04×10-7
In seawater, the typical passivation behaviors can be
clearly observed in TC11 with all the three states, that is, the
electrode is anodically polarized to a more positive potential
whereas the value of the corresponding current remains limited.
It demonstrates that the passive film can be easily formed on the
surface of titanium alloy in seawater.
It is worth noticing that the polarization curves of TC11
after both the corrosive fretting and immersion in seawater
present obvious shift towards to negative direction according to
that of the original sample, which implies increase of the
corrosion, evidenced in Fig.7. However, the icorr in seawater
exhibits reduction trend after immersion or fretting, among
which the icorr of TC11 after corrosive fretting in seawater
decreases 75%, compared with that of original sample and the
corrosion speed markedly reduced. It maybe assumed that the
passive film prevents corrosion in seawater.
WEAR MECHANISM
Fig.8 presents SEM images of wear scars in artificial
seawater at different amplitudes after cleaning. The obvious
scratch grooves parallel to the direction of friction were
observed in the scar at long amplitude of 300m, as shown in
Fig.8 (b). It exhibits typical plough and micro-cut effect and
implies the wear mechanism of abrasive wear. However,
besides the scratch grooves, some corrosion pitting and
scalelike traces, the signs of fatigue scale off, were observed on
the friction zone at short amplitude of 100m, evidenced in
Fig.8 (a). The wear mechanism is therefore possibly corrosion
fatigue associated with slight abrasive.
It maybe interpreted that longer amplitude results in
larger sliding distance, the lamellar product is easier to be
repeatedly milled into granular particle, and contribute to
dominative plough and micro-cut action. The debris enwrapped
with lubricative film is difficult to run over the overlapped
friction zone at short amplitude, and the corrosion behavior
occurred may accelerate the generation of sub-crack due to the
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
weak repeating tangent stress at fretting. The dominating wear
mechanism hereby presents corrosion fatigue associate with
slight abrasive at short amplitude.
(a)
(b)
Fig.8 SEM photographs of the wear scars after cleaning
at different amplitudes in seawater:˄a˅100m-20N;˄b˅
300m-20N
CONCLUSIONS
1. The friction coefficient curve undulates in the fretting
process as time goes by, but it has better stability in the distilled
water. The friction coefficient curve gets more stable as the
amplitude decreasing in both the aqueous.
2. The lubrication surface film formed on the wear scar in
the artificial seawater can reduce the friction coefficient greatly
and even decrease to 50% compared with that in distilled water.
3. The wear volume-loss of TC11 in the artificial seawater
is always lower than that in the distilled water, which
demonstrates the dominant anti-friction action of the lubrication
of seawater and therefore presents a negative synergy ratio
between corrosion and wear.
4. The wear mechanism of TC11 is delamination fatigue
associated with abrasion at short amplitude, whereas it is only
abrasive wear at long amplitude.
Note that the conclusions obtained in this work are
only proper for the present experiment within 1h, and it
should be further confirmed by extended trial.
ACKNOWLEDGEMENTS
This work is supported by Jiangsu province key Laboratory
of friction wear opening Foundation under grant No.
kjsmcx07003.
326
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corrosion wear behaviour of selected stainless steels in
potash brine,” Wear, 258, pp. 1357–1363.
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 Investigation on Rolling Contact Fatigue and Wear Properties of Railway Rail

Investigation on Rolling Contact Fatigue and Wear Properties of Railway Rail

Wenjian WangˈWen ZhongˈJun GuoˈQiyue Liu*
Tribology Research Institute, Traction Power State Key Laboratory, Southwest Jiaotong University, Chengdu 610031,
China

(Extended Abstract)

ABSTRACT simulating wheel is about 0.62~0.67%.

∗
The rolling tests of rail material were carried out under
unlubricated condition using a JD-1 wheel/rail simulation
facility. The rolling fatigue and wear behavior of rail roller
were investigated by examining the microhardness, wear
volume and wear scar using microhardness tester and
scanning electronic microscopy. The results indicate that
the wear volume of rail roller would increase rapidly with
axle load increasing and curve radius decreasing. The
wear volume of U71Mn rail is bigger than PD3 rail’s. The
microcrack on PD3 rail roller has propagated toward
depth direction along the angle of 15~20°. By comparison, Fig.1 The scheme size of simulation specimens
it is not found the obvious flaking defects on the wear scar
of U71Mn rail and the wear surface is relatively smooth.
Furthermore, U71Mn rail material has better fatigue
resistance performance. It is concluded from the
experimental results that the relationship between rolling Rail roller
fatigue and wear can be seen as competitive and
restrictive coupling mechanisms. In other words, while the
wear is serious, the fatigue damage is slight. On the basis
of the above experimental results, it is found that
increasing wear rate using rail grinding can alleviate its
fatigue damage. The test results in the field indicate the
rail asymmetrical grinding can prevent and alleviate
Fig.2 Positions from the rail roller were taken
effectively fatigue oblique crack damage of high-speed
railway rail. The simulation speed of rail roller is 160 km/h and the
Keywords: Rail; Wear; Rolling contact factigue; Coupling cycle numbers of rail roller is 106. The curve radius is
mechanism; Rail grinding substituted by the simulate attack angle. The curve radius
is 1200m, 800m and the simulation axle load is 16t, 21t
1. INTRODUCTION
and 25t, respectively.
Along with the development of the high speed and heavy The rolling fatigue damage and wear behavior of rail were
haul railway, the wear and rolling contact fatigue of rail are investigated by examining the microhardness, wear
currently one of the principal limitations of railway volume and wear scar using microhardness tester
transportation. Head checks in particular are prevalent in (MVK-H21, Japan), mechanical photoelectric analytical
curves and switches where flange contact at the gauge balance (TG328A, 0.1mg) and scanning electronic
corner results in increased slip and decreased wheel-rail microscopy (SEM) (QUANTA200, FEI, England).
contact area [1]. These surface-initiated cracks can lead Furthermore, based on the analysis of fatigue damage
to complete failure of railway rail and potential derailment. and wear behavior of rail rollers, the relationship between
Therefore, rolling contact fatigue and wear of rail affects rolling contact fatigue and wear of rail was explored in
the operation safety of railway more and more seriously. particular.
So, they have been focused on by many researchers [2].
3. RESULTS AND DISCUSSION
2. EXPERIMENTAL DETAILS
The results indicate that the wear scar width of PD3 rail
The rolling wear tests were carried out without any
roller is less than U71Mn’s. Moreover, the wear volume of
lubricant using JD-1 wheel/rail simulation facility in
U71Mn rail is bigger than PD3 rail’s under different testing
Southwest Jiaotong University. The tester is composed of
conditions, as shown in Fig.3. So, PD3 rail has the better
a small wheel served as rail and a larger wheel served as
wear resistance. For the same rail material, the wear
wheel, as shown in Fig.1. The large wheel roller is driven
volume of rail roller would increase rapidly with axle load
by electric motor. The braking force can be obtained by
increasing and curve radius decreasing. For PD3 rail, it is
the brake shoe applied to small rail roller shaft during
observed that the there are three fatigue microcracks on
continuous testing operation. The geometric sizes of
the surface of wear scar. The microcrack has propagated
simulating rollers are determined by means of Hertz
simulation rule (Fig.1). The rail roller was cut from the toward depth direction along the angle of 15~20°, shown
railhead (Fig.2) and the simulation rail material is PD3 rail in Fig.4a. The growth of fatigue crack may result in the
and U71Mn rail, respectively. The carbon content of fracture of rail. By comparison, it is not found the obvious
flaking defects on the wear scar of U71Mn rail and the
∗
Corresponding author. E-mail:lqy9065@yahoo.com.cn. wear surface is relatively smooth. It is observed that the

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
length of microcrack is short and propagate slowly
compared with PD3 rail material (Fig.4b). Due to the large
wear volume of material, the fatigue microcrack of U71Mn
rail could be worn off in a certain extent before its
propagation. So, U71Mn rail has better fatigue resistance
performance. The hardness results of rail rollers of before
and after testing show that the hardness increase ratio of
U71Mn material is more than PD3 material’s and the
value is 20.89%. That is to say, the plastic deformation of
U71Mn is more serious in the rolling contact process.
Furthermore, the fatigue crack would initiate along the
direction of plastic deformation and grow toward depth
direction along a sharp angle. The good deformation
capacity could alleviate the initiation and propagation of
fatigue microcrack in a certain extent. So the fatigue
damage of U71Mn rail material appears slight.
6 is proposed that new rail asymmetrical grinding is used to
5 PD3
U71M n
Wear volume/g
4 could change the contact zone of rail and make contact
3
2 force between wheel flange and rail and aggravate rail
1 can prevent and alleviate effectively the fatigue oblique
0
No.1 No.2 No.3
(No.1:1200m, 16t; No.2:1200m, 21t; No.3:800m, 25t)
Fig.3 Wear volume of the rail roller
(a) PD3 rail
(b) U71Mn rail
Fig.4 SEM photographs of wear scar of rail roller
The experimental results show that PD3 rail has better
wear resistance compared with U71Mn rail, but the fatigue
crack damage is more serious. Furthermore, the fatigue
crack growth rate of PD3 rail is more than U71Mn rail’s.
So, it is concluded that the abilities of wear resistance and
fatigue resistance are different characteristics of rail
material. It is inferred from the experimental results that
the relationship between rolling fatigue damage and wear
can be seen as competitive and restrictive coupling
mechanisms. In other words, while the wear is serious,
328
the fatigue damage is relatively slight. The relationship
between crack growth rate and surface wear rate has
been given by Pairs [3].The analysis shows that the crack
growth depends strongly upon the stress intensity factor
and wear rate of material. When the surface wear rate of
material is more than the crack tip growth rate, the length
of crack is continuously shortened during the wear
process and until the crack disappears completely.
Furthermore, it is also found that the severe side wear of
rail can alleviate the oblique crack damage of rail in
Guangzhou-Shenzhen high-speed railway.
On the basis of the relationship between fatigue crack and
wear, it is found that increasing wear rate of rail can
alleviate its fatigue damage. Rail grinding is conducted as
the measures to alleviate rolling contact fatigue damage
on the running surface of rail in a lot of railways [4]. So, it
prevent and alleviate oblique crack damage of high-speed
railway by increasing rail wear artificially. The test results
in the field indicate that the rail asymmetrical grinding
point move toward the center of rail tread [5]. The
movement of contact point can increase the guidance
side wear. In conclusion, the rail asymmetrical grinding
crack damage of high-speed railway rail.
4. CONCLUSIONS
In this paper, the rolling contact fatigue damage and wear
characteristics of rail material have been studied using
JD-1 wheel/rail simulation facility. The conclusions from
this study are as follows:
1. The relationship between rolling fatigue and wear can
be seen as competitive and restrictive coupling
mechanisms.
2. Increasing rail wear rate can alleviate its fatigue
damage. The rail asymmetrical grinding can prevent and
alleviate effectively the fatigue oblique crack damage of
high-speed railway rail.
ACKNOWLEDGEMENTS
The work was supported by the National Natural Science
Foundation of China (No.50675183 and No.50521503)
and the National Basic Research Program of China
(No.2007CB714702).
REFERENCES
[1]Stuart Grassie,Paul Nilsson, Kjell Bjurstrom, et al.
Alleviation of rolling contact fatigue on Sweden’s heavy
haul railway [J].Wear, 2002, 253:42-53.
[2]Ekberg A, Kabo E. Fatigue of railway wheels and rails
under rolling contact and thermal loading-an overview [J].
Wear, 2005, 258(7-8):1288-1300.
[3]P. C. Paris, F. Erdogan. A critical analysis of crack
propagation laws [J]. Journal of Basic Engineering, 1963,
85:528-534.
[4]Kapoor A, Fletcher D I, Franklin. The role of wear in
enhancing rail life [J]. Tribology Research and Design for
Engineering Systems, 2003 Elsevier B V, 331-340.
[5]WANG Wenjian, CHEN Mingtao, GUO Jun, et al. Rail
grinding technique and its application in high-speed
railway [J]. Journal of Southwest Jiaotong University,
2007, 42(5):574-577(In Chinese).
 Superlubricity Characteristics Using Ceramic Composite Mineral Powder as Lubricating Oil Additive

Superlubricity Characteristics Using Ceramic Composite Mineral Powder as Lubricating Oil Additive
*
Yuzhou Gao1, , Wengang Chen1,2, Huichen Zhang1
1
Dalian Maritime University(Electromechanics and Materials Engineering College Dalian 116026, China)
2
Southwest Forestry University(College of Communication, Machinery and Civil Engineering Kunming 650224, China)

ABSTRACT compound powder of serpentine and silica with ratio of 1:1

A kind of composite powder mixed serpentine with silica is
used as lubricant additive in this paper. The tribological
property of 1045 steel pairs lubricated with composite additive
oil was studied using an AMSLER friction and wear tester. The
surface topographies and composition of the worn surface of
1045 steel rings were analyzed by SEM and XPS. The
experimental results show that the composite additive can
achieve an ultra low friction coefficient of 0.007 for the 1045
steel friction pairs. The worn surface is smooth with only a
small amount of scratches on the local area. The XPS result
after 100h test shows the carbon was concentrated on the worn
surface besides Fe, O, Si and Mg. The existence of the
carbon-rich surface layer is the main reason for the
superlubricity characteristics.
Keywords: Composite powder; Superlubricity; Additive;
Serpentine
INTRODUCTION
Wear involves complex phenomena depending on dynamic
parameters, material parameters and environmental parameters.
In order to reduce wear, it is becoming more and more
dissatisfactory only depending on lubricant oils with the
development of the machine industry in modern society. So in
the past decades, putting additives into oil to reduce friction
coefficient and improve antiwear ability has been widely
explored and applied in lubrication engineering[1-3]. In these
studies, a kind of a mineral powder prepared by the mechanical
method has been used as lubricant additive in recent years[4-5].
Most of these applications reveal that the additive can improve
the wear-resistant property of the friction pairs, but its
friction-reducing characteristic is not effective. Some of the
experimental results have even presented the phenomenon that
the coefficient of friction increased[6-7]. At present, a kind of
composite mineral powder as additive which can effectively
solve this problem has been found through a series of tests.
The powder was mixed by serpentine and silica. In this paper,
we explore the acting mechanism of mixed mineral powder by
means of friction and wear test and SEM, XPS analyses.
modified by oleic acid(preparation method refer to References
8) and pure oil into ball-milling machine. The attained mixed
solutions(the amounts of powder were 2 wt.% of the lubricating
oil) were ultrasonically oscillated for 2 h. The properties of wear
and friction were evaluated by an AMSLER friction and wear
tester under the load of 750 N with the fixed upper sample and
the lower sample rotating at 200 r/min for 100 h. The friction
pairs were made of 1045 steel. The hardness of HRC 43~45
could be attained after heat treatment. The size of the upper
sample was 10×10×16 mm and the lower sample was 40 mm in
diameter and 10 mm in thick. The lower sample was cleaned
ultrasonically in acetone before and after experiment. Weight
loss was measured by weighing the lower samples to an
accuracy of 0.1 mg by using electronic balance. The worn
surface topography was examined using a Philips XL–30
scanning electronic microscope (SEM). The composition and
the chemical state of the film were analyzed by Thermo VG
ESCALAB250 X-ray photoelectron spectroscopy (XPS). An Al
Ka line at 1486.6 eV was used with the pass energy of 50.0 eV.
The vacuum of the analysis chamber was 2×10-8 Pa. An
HW-T6000 profilometer was used to measure the surface
roughness of the samples.
2 RESULTS AND DISCUSSION
2.1 THE SEM AND SURFACE ROUGHNESS ANALYSIS OF
THE LOWER SAMPLE
Figure 1 shows the SEM photographs of the steel rings after
friction and wear test under the same load with different
lubricants on the AMSLER friction and wear tester. From
Figure 1(a), it can be seen that there are many deep scratches on
the surface of the 1045 steel ring lubricated with pure oil. Figure
1(b) shows the topography of the steel ring lubricated with
composite additive lubricant. It can be seen that there are only a
few scratches on the local area and the majority of its surface is
very smooth.

1. EXPERIMENTAL DETAILS

The additive is composite of serpentine and silica powder.

The X ray diffraction analysis indicates the two kinds of
additive powder is antigorite and hexagon mineral powder
respectively. The serpentine and silica was first pulverized into
particles with sizes of less than 0.07 mm, then uninterruptedly
ground for 24 h using a QM-BP planetary ball-milling machine.
The resulting fine powder were smaller than 10 m. Add the

*Corresponding author. Tel: +86 411 84729613. (a)

E-mail address: zhouyugao@yahoo.com.cn

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
(b)
Fig. 1 SEM micrographs of worn surface of 1045 steel rings
lubricated with different lubricants
(a) Lubricant without additive (b) lubricant containing
composite powder
The results of surface roughness measurement are shown in
Figure 2. Figure 2(a) is the surface roughness curve of the
sample lubricated with pure oil. It can be seen that the curve of
roughness fluctuates largely, and it is comparatively intensive to
fluctuate. Figure 2(b) is the surface roughness curve of the
sample lubricated with containing additive lubricant. It can be
seen that the curve is comparatively smooth. Table 1 is the
numerical value results of the surface of the samples lubricated
with different lubricants. The Ra value of the sample lubricated
with pure oil is 0.32. And the surface roughness of the sample
lubricated with composite additive lubricant is 0.11. These
results illustrate that the surface of the sample lubricated with
composite additive lubricant is extremely smooth, even a
mirror-like surface. The ultrafine grinding action of the additive
powder to the friction pairs is the reason that induce the
appearance of the mirror-like surface.
(a)
(b)
Fig. 2 The roughness curve of the two samples surfaces
lubricated with different lubricants.
(a) Lubricant without additive (b) containing additive lubricant
Table 1 The roughness of surface comparison of the two
samples lubricated with different lubricants
lubricant Rt(m) Rmax(m) RZ-D(m) Ra(m)
Without
3.15 2.95 2.58 0.32
additive
With additive 1.99 1.91 1.39 0.11
2.2 FRICTION COEFFICIENT AND WEIGHT LOSS
330
Figure 3 shows the variation of friction coefficient of the
friction pairs lubricated with different lubricants. It can be seen
that the friction coefficient of the friction pairs lubricated with
pure oil is gradually decrease with friction time increasing and
eventually remain at 0.05 at the test time of 100h. The friction
coefficient of the friction pairs lubricated with lubricant
containing additive occurred an fast reduced process, which
reached 0.0142 at the test time of 20 h. The friction coefficient
reached 0.007 at the test time of 30 h and remained this value
until the test ended. It indicates that the addition of the
composite powder caused the superlubricity phenomenon. The
ultra-low friction coefficient has relation to the super-smooth
surface which was obtained by the friction process, but it can't
obtain friction coefficient of this value when the surface
roughness of friction pairs were finishing polished to the same
value. So it indicates that the super smooth surface is not the
only pacing factor to the ultra-low friction coefficient.
Fig. 3 Friction coefficient vs. test duration at different
lubricant systems
The weight loss of the 45 steel rings lubricated with
different lubricants was measured during the test process. The
weight loss of the sample lubricated with pure oil for 100 h was
2.9 mg. However, the weight loss of the sample lubricated with
the lubricant containing composite powder for 100 h was 2.7 mg.
Namely, the addition of the composite powder makes the weight
loss of the sample decrease by 6.9%. It indicates that the
composite powder as lubricant additive can also enhance the
anti-wear property of the lubricant.
2.3 XPS ANALYSIS
X ray photoelectron spectroscopy(XPS) is one of the main
methods to analyse the chemical composition of the surface
layer in present[9-10]. In order to verify the superficial element
composition and chemical state of the sample surface after
friction test and subsequently study the emergence mechanism
of the ultra-low friction coefficient. An XPS analyse was carried
on the worn surface after 100 h friction and wear test lubricated
with containing additive lubricant. Figure 4 shows XPS
characteristic spectrum of the sample surface and the surface
after 12 min etching. Table 2 shows the atomic percentage of
elements of the sample surface at different etch times. It can be
seen that the main composition elements of the worn surface
were Fe, C, O, Mg and Si. The appearance of the Mg and Si
elements confirms the microcontent transfer of the additive
from lubricant to the friction pairs surface occurred. The
high-content of the C and O elements indicates that the additive
induces the surface modification of the worn friction pairs
occurred.
 Superlubricity Characteristics Using Ceramic Composite Mineral Powder as Lubricating Oil Additive

special compounds can accelerate the break of this bond. The

catalysis of the silica impel the coovalent bond of Si and O
broke and generate two kinds of oxygen, O and O*ˉ(The
symbol * shows it has a unmated electron). The two kinds of
oxygen can generate oxidation-reduction reaction with acroteric
substance and make the appearance of the elementary C
(amorphous carbon) from the dissociation of the hydrocarbon as
they react with macromolecule lubricant. Which make the
content of the C element in the superficial layer increasing. The
existence of the modified layer and the ultrafine grinding action
of the additive powder to the friction pairs induce the ultra-low
coefficient appeared.

Fig. 4 XPS image of the worn surface

Table 2 The atomic percentage of elements at different etch

times

Etch
time Si Fe C O Mg
˄min˅
0 2.9229 4.2293 63.7673 28.6873 0.3879
6 0 38.5565 23.4591 37.3395 0.6450
12 0.254761 44.4084 18.0288 36.7338 0.5744

In order to explore the chemical states of the composition (a)

elements at different position in the film. The high-resolution
XPS spectra of the Fe2p, O1sˈMg1sˈSi2p and C1s of the sample
surface and after 12min etched surface were collected and were
shown in the Figure 5. It can be seen from the Figure 5(a) that
the C element presents as organic relic in the surface of the film.
The organic relic mainly derived from the heat decomposition
of the lubricant during the friction and wear process. The
half-peak breadth of the diffraction peak exceed 2.5eV after 12
min etching indicates that the C element exists as different
phases. The C element mainly derived from the heat
decomposition of the lubricant during the friction and wear
process. Figure 5(b) shows that the O element exists as
Fe2O3(530.1eV) and organic relic(531.7eV) in the surface layer.
However, the O element exists as Fe2O3(530.3eV) after 12 min
(b)
etching. Figure 5(c) shows that the Fe element exists as
Fe2O3(711.3eV) in the surface layer ˈ and as Fe(707.5eV,
720.4eV˅, Fe2O3(710.4eV) and Fe3O4(723.5eV) after etching.
Figure 5(d) shows that the Mg element exists as silicate both in
the surface layer and after etching. Figure 5(e) shows that the Si
element exists as SiO2 and silicate in the surface layer, but there
are not any obvious peak can be observed after etching. It can be
seen that there are only microcontent Si and Mg elements exist
in the surface layer, which is derived from the deposition on the
surface and infusion in the matrix of the additive powder.
However, there a deeper oxidizing layer appeared in the worn
friction sample and the content of the C element is very high.
The serpentine has several active atom groups, such as
unsaturated Si-O-Si, O-Si-O, OH-Mg-OH(O), and OH-. The
(c)
break of O-Si –O bond occurred easily, and the addition of

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
(d)
(e)
Fig. 5 The high-resolution XPS spectra of the C1sǃO1sǃFe2pǃ
Mg1s and Si2p of the worn surface lubricated with composite
powder as additive(a)C1s, (b) O1s, (c) Fe2p, (d) Mg1s, (e) Si2p
3 CONCLUSION
The composite oil additives can achieves an ultra low
friction coefficient of 0.007 for the 1045 steel friction pairs and
lowers the weight loss of the friction pairs. And the worn
surface is smooth with only a small amount of scratches on the
local area of the worn surface. XPS results after test show that
the carbon was concentrated on the worn surface besides Fe, O,
Si and Mg. The reason of the appearance of the carbon-rich
layer and oxygen rich layer is the catalysis of the additive. The
existence of the modified layer and the ultrafine grinding action
332
of the additive powder to the friction pairs induce the ultra-low
coefficient appeared.
ACKNOWLEDGEMENTS
This work is supported by the National Natural Science
Foundation of China under Grant No.50472025.
REFERENCES
[1] A. Hernandez Battez, J.E. Fernandez Rico, A. Navas Arias,
et al. 2006, “The tribological behaviour of ZnO
nanoparticles as an additive to PAO6,” Wear, 261,
pp.256-263.
[2] Wang L B, Wang B, Wang X B, et al. 2007, “Tribological
investigation of CaF2 nanocrystals as grease additives,”
Tribology International, 40, pp.1179-1185.
[3] Chen S, Liu W M. 2006, “Oleic acid capped PbS
nanoparticles: Synthesis, characterization and tribological
properties,” Materials Chemistry and Physics, 98,
pp.183-189.
[4] Yu Y, Gu J L, Kang F Y, et al. 2007, “surface restoration
induced by lubricant additive of natural minerals,” Applied
Surface Science, 253, pp.7549-7553.
[5] Qi X W, Yang Y L, Fan B L. 2007, “Influence and
mechanism of the formation of self-repair coatings with
magnesium silicate hydroxide powder additives of different
concentration,” Lubrication engineering (in chinese), 32(6),
pp.46-49.
[6] Chen W G, Gao Y Z, Zhang H C, et al. 2008, “Influence of
heat-treated serpentine powder on wear properties of metal
surface,” Journal of the chinese ceramic society, 36(1),
pp.30-34.
[7] Gao Y Z, Zhang H C, Xu X L, et al. 2006, “Formation
mechanism of self-repair coatings on the worn metal
surface using silicate particles as lubricant oil additive,”
Lubrication Engineering (in chinese), 10, pp.39-42.
[8] Chen W G, Gao Y Z, Zhang H C. 2007, “Research on Heat
Treatment of the Self-repairing Additive and its
Dispersibility,” Lubrication engineering (in chinese), 32(8),
pp.52-55.
[9] Ouyang J M, Bai Y, Yu G, et al. 2004, “XPS Spectra of
Langmuir Blodgett Films and Their Electroluminescence,”
Spectroscopy and Spectral Analysis (in chinese), 24(4),
pp.499-501.
[10] Huang W D, Zhan R J. 2003, “Raman Spectra and XPS
Analyses of the Diamond like Carbon Film Deposited by
Surface Wave Plasma,” Spectroscopy and Spectral
Analysis (in chinese), 23(3) , pp.512-514.
 On the Wear-Resistance of Zinc-Based Composites Reinforced by Modified Silicon Phase

On the Wear-Resistance of Zinc-Based Composites Reinforced by Modified Silicon Phase

Zhao Haofeng 1 Wang Ling *2 Wang Wei2 Tan Xingxuan2

2 2
Huang Tingli Xia Zhengjun Liu Yanling2 Liu Bin1

1.Department of Materials, Nanjing University of Information Science &Technology, Jiangsu, Nanjing 210044,China
2.Amorphous and Information Composites Lab, Nanjing University of Information Science & Technology,
Jiangsu, Nanjing 210044,China

(Extended Abstract)

ABSTRACT wheel, as shown in Fig.1. The rotational speed of the grinding

This paper deals with the microstructure and properties of wheel was 240rmin-1 and the normal pressure was 70N. The
zinc based composites ZA30Si2 under the treatment of the samples were cleaned and dried before and after wear test and
modifier containing K,Na and the rare earth elements. The test the worn lost was measured with a photoelectrical balance of
material was prepared with pure zinc ingot (Znø99.99wt %) and scale 1/10000.
the Al-Si matrix alloy. Basic composition of the test sample was
Al (29~31 wt %),Si (1.8 ~2.4 wt %) and Zn for the rest. Impact
toughness test, tensile test and wear test were conducted. The
test results show that under the treatment of K,Na and the rare
earth elements, the massive primary silicon crystal can
transform to flower-like silicon. It is also found that the
combined effect of rare earth elements, Na and K can obviously
refine the grains in the matrix. The test results show that the zinc
based composites enhanced by flower-like silicon has higher
hardness and better wear- resistance.
Keywords: Silicon phase, Zinc, Wear-resistance, MMCs

1.INTRODUCTION
Zn-Al alloys have been successfully used to substitute
some copper alloys for the manufacture of certain easily
worn-out parts due to their good antifriction performance[1]. If
some kind of hard inorganic phases scatter in a pretty tough
metal matrixē the abrasion performance of the materials
could be improved[2]. Although Si was added in zinc
aluminum alloy to form a hard silicon phase[3-4], but it
seriously cut apart the alloy matrix. It decreases not only the
toughness of the alloy, but also the wear-resistance[5]. 1-Furnace shell , 2-Thermal insulation layer , 3-Heating coils,
Therefore in this paper, we deal with the effect of modified 4-Specimens holder, 5-Thermocouple, 6-Furnace lining, 7-Specimens,
8-Abrasive wheel,9-Driving shaft
silicon phase on the wear-resistance of zinc- based alloys.
Fig. 1 Sketch of the wear tester
2. EXPERIMENTAL
The test alloy was ZA30Si2 alloy, which basic composition
were Al (29~31 wt %), Si (1.8 ~2.4 wt %) and Zn. The test
3. RESULTS AND DISCUSSION
material was prepared with pure zinc ingot (Znø99.99wt %) and
the Al-Si matrix alloy. An electric resistance crucible furnace Fig.2 shows microstructure of ZA alloy containing silicon.
was used for alloy melting. The melting temperature was at Fig.2(a) is microstructure of ZA alloy containing silicon
720-760 ć. The molten metal was treated with self-made treated with 2wt% modifier, while Fig.2(b) is microstructure of
modifier containing K, Na and the rare earth elements in the ZA alloy containing silicon without modifier treatment. It can
working temperature range. After that, the treated melt was
be seen from the figures that some blocky phases exist in the
poured into a steel mold to form a test sample.
Impact toughness test was conducted with JB-30 tester and matrix of ZA alloy without modifier treatment. But as the alloy
tensile test was performed with 1-5-5 tensile tester. The is treated with a certain amount of modifier, the shape of block
Hardness test was placed on HBRV-3000 tester. The silicon phase turns to flower-like.
morphology of silicon phase was observed with KYKY1000
scanning electron microscope. Fig.3-Fig.6 show the mechanical properties and
Wear test was performed in a wear tester with a grinding wear-resistance of ZA30Si2 alloy. It can be seen from Fig.3
and Fig.4 that the impact toughness and the tensile strength of
* ZHAO Haofeng, Dr.,Prof., Nanjing University of Information
ZA30Si2 alloy increase to maximum as the modifier addition
Science &Technology ,email: neuhfz@163.com reaches 2.5 wt%. This phenomenon relates the shape change of

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

silicon phase. It means that as the modifier addition reaches 2.5 9.0

wt%, the shape change of silicon phase turns to flower-like.

8.5

8.0

2
7.5

aK/J/cm
7.0

6.5

6.0

0.0 0.5 1.0 1.5 2.0 2.5 3.0

W/ wt%

Fig.3 The relation between impact toughness ak and modifier

content W of ZA30Si2 alloy

180

170
(a) Treated with modifier
160

s b /MPa
150

140

130

0.0 0.5 1.0 1.5 2.0 2.5 3.0

W /wt%

Fig.4 Relationship between tensile strength sb of ZA30 Si2 alloy

and modifier content W

(b) without modifier

Fig.2 Microstructure of ZA alloy containing silicon
×400

Fig.5 is the relationship between the hardness and the

modifier addition. It can be also seen from the figure that the
hardness of ZA30Si2 alloy increases with modifier
addition.Fig.6 shows the wear- resistance of the alloy. In the
figure, Q denotes the worn lost. According to comparison of Fig.5 Relationship between hardness HB of ZA30Si2 alloy
Fig.5 and Fig.6, it can be seen that the harder the alloy, the and modifier content W
stronger the were-resistance of the alloy. The high hardness
60
and were-resistance evidently are connected with modified
hard silicon phase. It is obvious that the silicon can prop up 58

load and resist the abrasion of abrasives during friction. We 56

find that through observing the worn surface, the deeper

Q /mg

54

furrows and metal drops appeared on the ZA30Si2 alloy

52
without modifier addition, as shown in Fig.7(a). But when
50
ZA30Si2 alloy was treated with modifier, the furrows on the
worn surface of the alloy became superficial, as shown in Fig.8. 48
0 .0 0 .5 1 .0 1 .5 2 .0 2 .5 3 .0

It is obviously concerned with some blocky silicon phase W /w t%

falling off the alloy without modifier addition. Through the

Fig.6 Relationship between worn lost Q of ZA30 Si2 alloy and
analysis of the metal drops, it can be seen that there is modifier content W
element Si in drops, as can be seen in Fig.7(b).

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 On the Wear-Resistance of Zinc-Based Composites Reinforced by Modified Silicon Phase

4. CONCLUSION
In this paper, we found that K,Na and rare earth elements
can turn the primary blocky silicon into flower-like in
ZA30Si2 alloy . The hard flower-like silicon can adhere
strongly to the alloy matrix and prop up load to resist the
abrasion during friction.

REFERENCES

[1] Dellis, M.A., Keustermans,J.P. and Delannap,F., 1991,

(a) morphology “Zn-Al matrix composites: investigation of the thermal
expansion creep resistance and fracture toughness”,
Materials Science and Engineering, 135, pp.253-257.
[2] Hao,Y., Chen,T. and Ma,Y., 1997, “The Fabrication
Technique and Mechanical Properties of SiCp/ZA27
Composites”,Special Casting & Nonferrous Alloys,20,
pp.25-28.
[3] Zhang,Z.,XU,C .and Wang,J., 2005, “Damping behavior
of ZA27 alloys doped with silicon”, Functional Materials,
10,pp.1-5.
[4] Chen,T.,Yuan,C. and Hao,Y., 2008, “Wear properties of
in-situ Sip/ ZA27 composites”, Journal of Chinese
Non-ferrous Alloy ,7,pp.6-9.
(b) energy spectrum [5] Zhao,H. F. and Wang,L., 2002, Casting Zinc Alloy and Its
Fig.7 SEM image of worn surface of alloy without Composite, China Standard Press,Beijing.
treatment of modifier

(a) morphology

(b) energy spectrum

Fig.8 SEM image of worn surface of alloy with
treatment of modifier

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

On the Wear-Resistance of Low-Alloyed Steel Modified by Inoculants

1 2 1 2 1
Wang Ling * Zhao Haofeng Yan Kai Liu Bin Wang Wei
1 1 1 1 1 1 2
Chen Xi Qin Qing Wang Zhigang He Jun Liu Mengyin Liu Zhigang Wu Hongyan
1
Amorphous and Information Composites Lab, Nanjing University of Information Science & Technology,
Jiangsu, Nanjing 210044,China
2
Department of Materials, Nanjing University of Information Science & Technology, Jiangsu, Nanjing 210044,China

(Extended Abstract)

ABSTRACT the worn lost was measured with a photoelectrical balance of

This paper deals with the wear-resistance of low-alloyed scale 1/10000.
Cr2Custeel under the treatment of inoculants containing rare
earth elements. The test material was prepared with carbon steel
plate (C,0.1-0.25wt %) , chromium plate (Cr ø99.99wt %) and
copper plate (Cu ø99.99wt %). Basic composition of the test
sample was Cr (1.5~2.5 wt %), Cu (0.8 ~1.2 wt %), C(0.1-0.25
wt %)and iron for the rest. The test results show that under the
treatment of inoculants ,some branch grains become uniaxial
and small. The test results show that the wear-resistance of
low-alloyed steel with treatment is higher than that of steel
without treatment.
Keywords: wear-resistance,steel, inoculants

1.INTRODUCTION
Low-alloyed steel processes many features, such as lower
cost, enough strength and good toughness, so they are used
extensively in many fields, such as in mine, metallurgy,
chemical industry, electric power works, architecture industry 1-Furnace shell ,2-Thermal insulation layer ,3-Heating
and engineering machine industry [1]. But this kind of steel has coils,4-Specimens holder,5-Thermocouple, 6-Furnace lining,
lower wear-resistance[2,3]. In order to improve the 7-Specimens, 8-Abrasive wheel,9-Driving shaft
wear-resistance of this steel to meet some special purpose, it is Fig.1 Sketch of self –made wear tester
necessary to investigate the relationship between properties and
3. RESULTS AND DISCUSSION
microstructure of this steel[4]. Therefore this paper focuses on
Fig.1 shows the microstructure of Cr2Cu steel. It can be
the effect of inoculants elements on the microstructure and
wear-resistance of low-alloyed Cr2Cu1 steel. seen from the figures that some branch grains become uniaxial
branch grains with help of inoculants. Fig.1 (a) shows the
2. EXPERIMENTAL morphology of branch grains without inoculants, while Fig.1 (b)
The test material was prepared with low carbon steel shows the morphology of branch grains with inoculating
(C,0.1-0.25wt %), chromium plate (Cr ø99.99wt %) and copper elements.
plate (Cu ø99.99wt %). Basic composition of the test sample
was Cr (1.5~2.5 wt %),Cu (0.8 ~1.2 wt %),C(0.1-0.25 wt %)
and Fe for the rest. An electric arc furnace was used for steel
melting. The melting temperature was at 1600 ć. The molten
metal was treated with self-made inoculants containing rare
earth elements (Nd, Ce and Pr) at 1600 ć .After then the treated
melt was poured into a dry sand mold to form a test samples.
Wear test was performed in a wear tester with a grinding
wheel, as shown in Fig.1. The rotational speed of the grinding
wheel was 240rmin-1 and the normal pressure was 70N. The
sample must be cleaned and dried before and after wear test and

*WANG Ling ,Prof. Nanjing University of Information Science

& Technology, Jiangsu, Nanjing 210044,China
email:wangl20052005@163.com,Tel.13770857394
(a) without treatment

336
 On the Wear-Resistance of Low-Alloyed Steel Modified by Inoculants

50

48

46

HRc
44

42

40

0.0 0.5 1.0 1.5 2.0 2.5 3.0

W /wt%

(b) treatment with 3wt% inoculants

Fig.2 Microstructure of low-alloyed steel alloy ×400 Fig.4 Relationship between hardness HRC of low-alloyed steel
and inoculants content W
Fig.3-Fig.5 show the mechanical properties and
wear-resistance of low-alloyed steel. It can be seen from Fig.3
that the impact toughness of low-alloyed steel alloy increases
with inoculants addition till to3 wt%. 100
Fig.4 shows the relationship between the hardness of the
steel and inoculants addition. It can be also seen from the figure 90
that the hardness of low-alloyed steel alloy increases with
inoculants addition. 80
Fig.5 shows the wear-resistance of the alloy. The high
-1
R /g

hardness and were-resistance evidently are connected with 70

modified grains. The more the grains, the more the boundaries,
which can resist the abrasion of abrasives during friction. It was 60

found through observing the worn surface that the furrows on

50
the alloy without inoculants were deeper ,which is obviously
concerned with its lower strength and hardness of the alloy. On 0.0 0.5 1.0 1.5 2.0 2.5 3.0
the friction surface of low-alloyed steel with the treatment of W /wt%
inoculants, some shallower furrows appear. So the
wear-resistance of low-alloyed steel with more grains is higher Fig.5 Relationship between worn-lost R of low-alloyed steel
than that of steel without treatment. From Fig.3 -Fig.5 it can be and inoculants content W
seen that although the addition of main elements such as Cr and
Cu in the alloy dose not change, but the properties of the alloy
change with the addition of inoculants. It proves that the shape 4 CONCLUSIONS
and numbers of gains do affect the properties of low-alloyed Inoculants element can turn the branch grains to branch
steel including wear-resistance. It indicates that the boundary uniaxial in the low-alloyed steel alloy. The microstructure of
has an important role not only for toughness of the steel, but also low-alloyed steel can be refined by the inoculants. The
for wear-resistance. wear-resistance of low-alloyed steel treated by inoculants is
7.0
higher than that of low-alloyed steel without treatment. The
reason is that the grain boundary has an important role for
6.5
wear-resistance of the steel.
6.0

5.5 REFERENCES
5.0
2
K /J/cm

4.5
[1]Kulka, M., Pertek, A., 2003, “Microstructure and properties
of bonded 41Cr4 steel after laser surface modification with
4.0
re-melting,” Applied Surface Science , 214, pp. 278-288.
3.5 [2]Yang, R.,Li, L. and Li ,Y. ,1999, “Study on a new low alloy
3.0 high strength and high toughness and wear resistance
steel, ”Iron and Steel, 134, pp.23-28.
2.5
0.0 0.5 1.0 1.5 2.0 2.5 3.0 [3]Li, W., 2006, “Progress of wear-resistant steel and iron
W /wt% technology,” Foundry, 11, pp.11-13.
[4]Tong, J., 2003, “Progress of investigation on wear-resistant
Fig.3 Relationship between toughness impact K of Low-alloyed steel,” Water Conservancy and Electric Power Machinery, 2,
steel alloy and inoculants content W pp.5-8.

337
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Research on Worn Mechanism of Disc-Brake Pair Materials for Drilling Rig
*
X.H. Wang1, , S.W. Zhang2, D.G. Wang2, N. Wu1
1
College of Mechanical Engineering & Applied Electronics technology, Beijing University of Technology,
Beijing, 100124, China
2
School of Mechanical & Electrical Engineering, China University of Petroleum, Beijing, 102200, China
ABSTRACT
A new build-up welding material for brake-disc and a new
type of asbestos-free frictional material are developed, of which
the tribological behaviours and wear mechanisms of build-up
welding materials are discovered. XRD pattern shows that
iron-base solid solution of -Fe and Cr in build-up welding
material has fine property of crack arrest, and -Fe turns into
-Fe under frictional heat as well as frictional austenite phase
-(Fe, Ni) +-Fe + carbide forms, which improves plastic
deformation ability of material in wear surface and anti-thermal
fatigue property of brake-disc, in addition, carbide Fe3C, Fe5C2,
SiC and intermetallics NbNi, NbNi5 disperse in solid solution of
-Fe and Cr make frictional surface hardness of brake disc
become higher to improve wear-resisting property of brake-disc.
SEM and EDAX patterns show that the wear process of brake
block and brake disc is a dynamic process of surface film
generating, growing, cracking, stripping and regenerating.
When frictional temperature is lower, the wear of brake block is
mainly abrasive wear and that of brake disc is oxidized and
abrasive wear, and their surface film breaks off mostly by
fatigue flaking. When frictional temperature is higher, the wear
of brake block is mainly adhesive wear and that of brake disc is
adhesive and oxidized wear, and their surface film is scaled
mainly by adhesive tearing.
Keywords: Brake block, Brake disc, Friction material;
Build-up welding material, Worn mechanism
1 INTRODUCTION
The disc-brake system of drilling rig is a frequent braking
system of heavy-duty, and frictional work generated in process
of brake is transformed into heat in a short time, which makes
surface temperature rise highly, and its flash temperature can
even reach 1280ć[1,2]. The performance quality of frictional
pair material directly influences the reliability of disc-brake
equipment, the safety and benefit of drilling well, especially in
deep well and ultra-deep well, specific pressure of brake and
temperature are both higher, energy load is much large, so more
requests on wear resistance and heat fading-resistance
performance are put forward[3,4]. Hence, development of brake
disc and brake block material with excellent friction and wear
performance and definite anti-thermal fatigue and anti-heat fade
performance is the key technique in realizing excellent brake
performance and safe reliability. Therefore, a new type of
disc-brake block material and a surface build-up welding
material of brake disc for drilling rig are developed, which
constitutes friction pair with them, and their friction and wear
performances under variable temperatures are tested.
Topography, elementary components and phase structure of
wear surface of brake block and brake disc are analyzed by
employing SEM, EDAX and XRD analytical apparatus when
thermal equilibrium temperature are respectively 150ć and
300ć, and their tribological behavior and wear mechanism are
revealed, which provides technical support and theoretical
* the correspondence author is X.H. Wang
338
instructions for extending application of the new brake pair
materials.
2 EXPERIMENTAL MATERIALS AND METHODS
The brake block material is a new type asbestos-free
frictional material and its basic constituents are organic binderǃ
refractory inorganic adhesives ǃ asbestos-free organic and
inorganic fibreǃaramid fibreǃresinǃsteel fibreǃmineral fibreǃ
graphiteǃstuffingǃfriction material modifier and so on. The
brake disc adopts surface overlaying technology, and its
material adopts SiǃMoǃWǃVǃNb to strengthen and improve
build-up welding metallic hardness, anti-scuffing and oxidation
resistance, matrix material of brake disc adopts steel 35,
microstructure after surface overlaying are austenite and
carbide ǃ inter-metallic compound, age-hardening effect of
surfacing welding metal is obvious, and its hardness can reach
HRC38̚48.
The variable temperature friction and wear characteristic
experiment is carried out by the way of disc-ring sample mode
on the type of MMW-1 multifunctional friction and wear tester,
and the friction and wear performance indexes of brake pairs
under different thermal equilibrium temperature by adopting
various combination of load and sliding speed, the range of test
load is 25̚165N, the range of sliding speed is 1.18̚3.31m/s.
Topography, elementary components and phase structure after
wear are analyzed by employing SEM, EDAX and XRD
respectively.
3 ANALYSIS OF WORN MECHANISM FOR BRAKE
BLOCK MATERIAL
Wear surface and elementary components of brake block are
analyzed by employing SEM and EDAX when thermal
equilibrium temperature are at 150ć and 300ć respectively to
reveal wear and failure mechanism. X-ray energy-dispersive
graph of original surface of brake block shows that surface
element constituents before wear are C, O, Fe, Si, Na, Mg, Al, K,
Ca, Ti etc, among which main constituents are C, O, Fe
respectively coming from graphite, phenolic resin, aramid fibre
and steel fibre, other elements come from mineral fibre,
inorganic bond, friction material modifier, stuffing and so on.
3.1 SEM AND EDAX ANALYSIS OF WEAR SURFACE
FOR BRAKE BLOCK
3.1.1 SEM ANALYSIS OF WEAR SURFACE WHEN
THERMAL EQUILIBRIUM TEMPERATURE IS 150ć
The SEM topography of wear surface of brake block at
thermal equilibrium temperature 150ć is shown in Fig.1, the
characteristics of wear surface are as follows.
There are obvious surface film on wear surface of brake
block, which is thinner and in plastic state as well as dense and
smooth. In spalling area of surface film, it can be seen the
fracture trace of surface film. Honeycomb cavity and header of
organic fibre brought about by obvious material shedding
appears on naked friction surface, and the spalling pits appear
on matrix due to spalling of clumpy particles. In addition,
 Research on Worn Mechanism of Disc-Brake Pair Materials for Drilling Rig
spalling trace of surface film can be found on friction surface
due to fatigue and extended fatigue crack from friction surface
to subsurface depth due to friction heat and surface stress. In
spalling area of surface film, the obvious fracture crack can be
found on surface film because of matrix crack, and the thermal
cracking and thermal oxidization occur on matrix material
influenced by friction heat, which is shown by matrix shape of
friction surface and analysis of EDAX.
Fig.1 SEM topography of brake block wear surface at thermal
equilibrium temperature 150ć
By the analysis of EDAX, it can be drawn that the friction
surface of brake block at thermal equilibrium temperature
150ć is evidently divided into four areas, which is mixture area,
Fe-abundant area, carbon-abundant area and spalling area.
In the Mixture area, surface topography of brake block is
smooth without ploughing and rolling trace, with a uniform and
continuous distribution in black-and-white. Main constituents
of surface film is C, O, F, Nb, Fe, Cr, Al, Si, Ti, Na, Mg, K, Bb,
Ca and so on, which consists of various constituents of friction
pair. Mixture of abrasive dust adheres to friction surface and
smears under the effect of friction heat, which forms surface
film and distributes in bilateral areas along sliding direction.
Because grindings generating in friction process with surface
adhesive energy and cohesive energy move to sides of brake
block and discharge, and mix sufficiently in moving process. In
addition, because roughness of friction surface is higher and
hardness is lower relatively, grindings can easily generate
resident and gathering and adhere on friction surface firmly,
which are smeared into smoothing surface film in following
sliding process.
In the Fe-abundant area, surface film mainly consists of
ferrum and other constituents, which distributes in major center
area along gliding direction. Friction temperature of this area is
relatively higher, therefore materials of brake block begins to
soften, which is liable to make ferrum in friction surface adhere
to steel fibre in brake block and make ferrum of brake disc shift
towards friction surface of brake block. Meanwhile, ferrum with
higher hardness and its oxide abrasive dust can be embedded
into friction surface of brake block with lower hardness under
the effect of frictional interface stress, and exiguous abrasive
dust of ferrum oxides also can be deoxidized to elementary
ferrum by reducing atmosphere under the effect of high
friction temperature, which the activity of nascent ferrum is
339
higher, and is prone to sinter on friction surface of brake
block[5]. Binding, embedding and sintering are the reason that
Fe-abundant surface film emerge on friction surface of brake
block during friction process.
The Carbon-abundant area is the zone where graphite and
aramid fibre comparatively gathered, and its surface film is
smooth and grayish-black with breadcrust phenomenon. The
reason of its formation is that heading of organic fibre on
friction surface with higher activity is liable to absorb graphite
and other carbide granules. Meanwhile, it enhances the
possibility that oxygen diffuses into its interior through fibre,
which makes oxidization expand into its depth, and exiguous
abrasive grindings forming after oxidization film cracking and
spalling have bigger surface energy and deposit on its surface
incessantly, which produces surface film with carbon-abundant
structure. Surface film of carbon-abundant area is smooth with
lubricating effect, which is favorable to improving wear
resistance of brake pair.
The components of spalling area are basically the same as
that of original surface of brake block. Spalling area is also the
regeneration zone where the surface film is spalled, and its
surface is rough and uneven with loose and denuded state.
3.1.2 SEM ANALYSIS OF WEAR SURFACE WHEN
THERMAL EQUILIBRIUM TEMPERATURE IS 300ć
The SEM topography graph of wear surface of brake block
at thermal equilibrium temperature 300ć is shown in Fig.2.
Likewise, Surface film distributes uniformly and continuously
on friction surface under high temperature. Frictional surface is
divided into mixture area, Fe-abundant area and spalling area
by EDAX analysis.
Fig.2 SEM topography of wear surface of brake block at
thermal equilibrium temperature 300ć
The surface film of Mixture area is distributed with crumby
hard granule, exiguous oxide and carbide granule as well as
sheared slender fibre. Surface topography appears much loose,
interface between granules is distinct, and bond strength with
matrix is loose. The surface film of Fe-abundant area is mostly
oxide layer of ferrum, and fracture and spalling traces as well
as overlapping structure of multilayer surface films can be
easily found on surface film. The spalling area is the zone
where the surface film is spalled and appears variously, some
spalling surface are distributed with many spalling pits of hard
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
granules running away caused by loosing due to fatigue as well
as unspalling hard granules and mineral fibre, some are in
loose state and distributed with many incompact granular
grindings and cracks due to fatigue. Moreover, because organic
fibre is drawn, sheared and spalled, heading and drawing,
shearing traces can be found on some spalling surface.
In addition, more severe oxidization, carbonization and
thermal decomposition occur on wear surface of brake block
under high temperature.
3.2 WEAR MECHANISM ANALYSIS OF WEAR
SURFACE FOR BRAKE BLOCK
It is shown in above analysis that wear of brake block is
divided into the following processes.
(1) At the beginning of wear, surface friction temperature of
brake pair is lower, surface wear between brake block and brake
disc is mainly abrasive wear, while the hard granules of friction
surface of brake block plough on surface of brake disc, the
hard peaks from friction surface of disc-brake also plough on
soft friction surface of brake block. Because the combined
strength between hard granule and matrix of brake block is
lower, it may become the third body under many collisions,
which accordingly aggravates wear of brake pair, especially
wear of brake block. At this stage, the worn of brake pair is
mainly abrasive wear.
(2) With the rise of frictional temperature, friction surface of
brake block begins to soften and expand, abrasive wear is
intensified, abrasive grindings admix sufficiently and
aggregate in process of grindings transferring to sides of brake
block and excavating, adhere and daub to brake block surface
incessantly, and the uniform and continuous surface film is
formed. Moreover, because temperature is relatively higher at
central area of friction surface of brake block, oxidation is prone
to take place at congregating place of steel fibre and thus
oxidizing layer come into being; while the activity of headings
of organic fibre is relatively higher at congregating place of
organic fibre, it is prone to absorb graphite and carbide granule,
thus surface film with carbon-abundant structure come into
being. At the same time, because of alternate stress of friction
surface of brake block and loss of adhesion due to thermal
decomposition of cohesive material, matrix surface of brake
block is prone to crack, which brings about fracture of surface
film, produces more granules, and intensifies abrasive wear. At
spalling area, loss of adhesion causes constituents in friction
surface of brake block to shed, producing granule and spalling
pits on wear surface. Surface film shedding of brake block is
mainly fatigue spalling at this stage.
(3) During high-temperature wear period, severely
influenced by friction heat, obvious softening and plastic flow
can be found on friction surface of brake block, and its
anti-shearing ability is weakened, adhesive wear is intensified.
At the same time, most of organisms of friction surface pyrolyze
under frictional high temperature and mix with abrasive dusts,
thus the hybrid with larger surface cohesive energy is formed,
and adhere not only to brake-disc surface but to brake-block
surface, which form surface film. Exiguous Fe-oxide granules
can be deoxidized into nascent ferrum with higher activity
under high friction temperature, which is prone to adhere to
steel fibre-abundant place of brake block surface, forming the
zone of Fe-oxidation[5]. At high temperature, thermal
decomposition of cohesive material in brake block is
strengthened, shedding of constituents due to loss of adhesion
becomes more serious, organic fibre is in semi-fluid state at this
time and obvious drawing, shearing and carbonization and
oxidization of organic substance can be found. Surface film
spalling of brake block is mainly adhesive tear at this stage.
340
In addition, instantaneous high temperature results in
thermal decomposition of organisms in subsurface of brake
block in friction process, and escaped gaseous molecules
generate high pressure under instantaneous compression and
spray over friction surface, so pore or crack appearV[6,7], bigger
thermal stress within material interior is produced due to
temperature gradient of friction surface, which makes minute
cracks appear. With the expansion of cracks, friction surface of
brake block splits and accordingly accelerates wear of brake
block.
4 ANALYSIS OF WORN MECHANISM FOR BRAKE
DISC MATERIAL
4.1 XRD ANALYSIS OF FRICTION SURFACE
The X-ray diffraction spectrums of original surface of
brake-disc and its frictional surface when thermal equilibrium
temperature is respectively at 150ć and 300ć are shown in
Fig.3. The figure indicates that their phrases are basically same
and stable, distributes evenly before and after wear, which main
constituents are iron-base solid solution of -Fe and Cr, carbide
Fe3C and Fe5C2, and a small amount of intermetallic compound
NbNi, NbNi5 and carbide SiC. But a small amount of -(Fe,Ni)
phrase is generated due to friction heat.
Diffraction angle 2Ù
(1) Original surface; (2), (3) Wear surface when temperature is
at 150ć and 300ć
Fig.3 The X-ray diffraction spectrums of original surface of
brake-disc and its frictional surface when thermal equilibrium
temperature is at 150ć and 300ć
Alloying Cr, Mo plays a role of solid solution and
consolidation, the Fe-based solid solution of -Fe and Cr is a
soft matrix phase with fine plasticity and ability of crack arrest
which helpfully improves performance of anti-thermal fatigue.
Carbide Fe3C, Fe5C2, SiC and intermetallics NbNi, NbNi5, are
hard phases with high hardness dispersing in solid solution of
-Fe and Cr, which can improve the alloy hardness and
mechanical properties of brake-disc surface, and also can make
the material age-hardening under high temperature and enhance
property of resistance to wear. In addition, -Fe turns into -Fe
under frictional heat and frictional austenite phase -(Fe, Ni)
+-Fe + carbide forms, which is helpful to improve plastic
deformation of friction surface and strengthen its property of
anti-thermal fatigue. Plastic deformation of frictional surface
also brings about distortion of crystal lattice in surface material,
which results in rising of ferritic microhardness of friction
surface material and strengthens hardness of friction surface,
which is beneficial to improve anti-wear property of brake disc.
 Research on Worn Mechanism of Disc-Brake Pair Materials for Drilling Rig

4.2 SEM AND EDAX ANALYSIS OF FRICTION
SURFACE FOR BRAKE-DISC
The analysis of friction surface and elementary composition
is carried out by employing SEM and EDAX, to reveal wear
form and failure mechanism of brake-disc when thermal
equilibrium temperature is at 150ć and 300ć
4.2.1 SEM ANALYSIS OF WEAR SURFACE WHEN
THERMAL EQUILIBRIUM TEMPERATURE IS 150ć
The SEM morphologies of worn surface are shown in Fig.4
when thermal equilibrium temperature is at 150ć. Surface film
distributes obviously on wear surface of brake-disc with plastic
state, which is rolled and coated in surface of brake-disc to form
one or more layers of stepped construction. Because of friction
heat, cooling and surface stress, there appears cracking, lifting
and spalling on surface film, which results in surface film
unevenly distributing In addition, three-body abrasive particles
appear in the process of friction, which causes obvious
three-body wear.
The oxide contents in surface film at 150ć is higher than that at
300ć, which shows that oxidation wear of the former is serious
than the latter. This is because some metal oxides can be easily
deoxidized by the reducing atmosphere formed in thermal
decomposition of organic matter under higher friction heat,
which inhibits oxidation of metal. In the meanwhile, the effect
of friction heat can make surface and subsurface of brake disc
generate deformation, which results in Nb, Mo and other solute
atoms aggregating to friction surface. The directional
aggregation of alloy elements in friction surface is beneficial to
enhance strength of surface film and reduce temperature of
friction interface[8].

Fig.5 SEM morphologies of wear surface when thermal

equilibrium temperature at 300ć

Fig.4 SEM morphologies of wear surface when thermal

equilibrium temperature at 150ć
4.2.2 SEM ANALYSIS OF WEAR SURFACE WHEN
THERMAL EQUILIBRIUM TEMPERATURE IS 300ć
The SEM morphologies of worn surface are shown in Fig.5
when thermal equilibrium temperature is at 300ć. Surface film
also distributes on worn surface of brake-disc and its shape is
the same as that at 150ć, but dense and smooth. Under high
temperature, high load and repeated rolling of three-body
abrasive particles, more serious plastic deformation occurs on
worn surface, surface film accumulating and overlaying also
occurs. In addition, in the friction process, owing to high
temperature of friction and normal load, serious adhesion also
occurs on local area of worn surface, form many adhesive
joints.
4.2.3 EDAX ANALYSIS OF WORN SURFACE FOR
BRAKE-DISC Energy/kev
According the EDAX analysis of wear surface for Fig.6 EDAX of original surface and its worn surface when
brake-disc when thermal equilibrium temperature is at 150ć thermal equilibrium temperature is at 150ć and 300ć
and 300ć shown in Fig.6, the materials from brake-block
surface transfer to brick-disc surface in friction process, and 4.3 SEM AND EDAX ANALYSIS OF GRINDINGS FROM
surface film of brake disc is formed by mixture of different BRAKE PAIR
components from friction pair. In addition, oxidation wear The SEM morphologies of grindings of brake pair are
generates in process of friction and oxide appears in surface film. shown in Fig.7 and Fig.8 when thermal equilibrium temperature

341
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
is at 150ć and 300ć, and their X-ray energy spectrums are
shown in Fig.9. When thermal equilibrium temperature is at
150ć, grindings appears by flake, fibrous and powder. With
EDAX analysis, the components of flake grindings are basically
the same as that of surface film of brake disc, which is caused by
surface film cracking and scaling. Powdery grindings is from
small worn particles of metal oxide, mineral fiber, small hard
grains, graphite and organic degradation products in brake
blocks, while the slender fibrous grindings is organic fibers
sheared in brake block, which they are the worn products of
oxidation, fatigue and abrasive wear.
Fig.7 The pattern of SEM of abrasive dust for brake pair when
the thermal equilibrium temperature is at 150ć
Fig.8 The pattern of SEM of abrasive dust for brake pair when
the thermal equilibrium temperature is at 300ć
Energy/kev
Fig.9 X-ray energy spectrum of abrasive dust for brake pair
when thermal equilibrium temperature is at 150oC and 300oC
When thermal equilibrium temperature is at 300ć, a lot of
crumb, granular, flake grindings and slender fibrous debris
distributes on dense powdery grindings. With EDAX analysis,
grindings is mainly the worn products of brake block, and wear
of brake block is serious at high temperature and wear of brake
disc tends to be stable, among the grindings, crumb and granular
grindings are the hard particles such as Al2O3, SiO2, SiC and
TiO2 running away from worn surface of brake block, flake
grindings is surface film scaling from worn surface of brake
342
disc, fibrous grindings is the organic fiber sheared in brake
block, while the components of dense powdery grindings is
basically the same as that at 150ć, which shows that oxidation,
fatigue and abrasive wear occurs in process of wear likewise.
4.4 WEAR MECHANISM ANALYSIS OF WEAR
SURFACE FOR BRAKE DISC
From above XRD, SEM and EDAX analysis, it can be
drawn the following conclusions.
(1) In the initial stage of wear, due to slight rise of
temperature, friction surface is not prone to oxidize, and it is
hard joints in brake block that plough the surface of brake-disc,
which is a two-body abrasive wear mechanism.
(2) With the rise of friction temperature, localized oxidation
occurs, and the oxides deform, fracture, sinter, adhere and been
compacted into furrows under effect of load, which eventually
form oxide layer. After oxide layer is broken and scaled under
surface cycle stress, oxide abrasive grains occur and three-body
abrasive grains appear, which results in greater plastic
deformation of friction surface, the interaction of oxidization
and abrasive wear come into being.
(3) With the rise of frictional temperature, oxidation wear
aggravates, and its cracking and regenerating become a major
behavior of wear. Because of friction heat, wear of brake block
begin to intensify. Wear products coming from brake block and
brake-disc mixed up together to form mixture with some surface
adhesive and cohesive energy. The surface film grows up
rapidly and extends soon. Besides, as effect of cycle contact
stress surface film appears fatigue flaking.
(4) After entering friction stage of high-temperature, wear
of brake disc is mostly adhesive and oxidation wear. Due to
softening of friction surface of brake disc and brake block, the
plastic deformation becomes more serious and roller
compaction is as primary mode, and friction surface appears
broad and deep trace of roller and has little furrows. Meanwhile,
in process of friction, as effect of high temperature, oxide
grindings of iron is easily deoxygenated to elemental iron by H2,
C and CO. The activity of nascent iron is high and easily been
sintered together with grindings[5], which makes the surface
film more dense and smooth, and scaling of surface film is
mostly adhesive tear.
5 CONCLUSIONS
(1) The wear process of brake block and disc is a dynamic
process of surface film generating, growing, cracking, spalling
and regenerating. Meanwhile the oxidizing, ploughing, rolling,
adhesive and other actions occur in process of surface film
generating, which is the comprehensive effects of abrasive,
oxidizing and adhesive wear.
(2) When friction temperature is lower, the brake block wear
mechanism is abrasive wear and the brake disc wear mechanism
is oxidization and abrasive wear, and spalling of surface film is
mostly fatigue flaking. When friction temperature is higher, the
brake block wear mechanism is adhesive wear and the brake
disc wear mechanism is adhesive and oxidization wear; and
spalling of surface film is mostly adhesive tearing. Moreover,
thermal cracking, thermal oxidization, carbonization and
cyclization of organic substance can increase wear of brake
block and leave pore or crack on friction surface, finally bring
about crack on surface of brake block and thus fatigue wear
occurs.
ACKNOWLEDGEMENTS
The research is supported by Funding Project for Academic
Human Resources Development in Institutions of Higher
 Research on Worn Mechanism of Disc-Brake Pair Materials for Drilling Rig

Learning under the Jurisdiction of Beijing Municipality. [5] Jia, X., Zhou, B.L, Chen, Y.T,1995, “Study on worn surface
layers of the friction pair vonsisting of semimetallic friction
REFERENCES materials and grey cast iron,” Tribology. 1995, 15,
pp.171-176.
[1] Yi, M.Z., Han, Z.H., Chen, H., 1996, “Study on the brake
[6] Wang, B.Z., Yao, A.Y., 1992, “Research on meerschaum
friction characteristic of plasma sprayed Fe-Ni-Co-WC
brake-friction material and analysis of its friction and wear
coating,”. Tribology, 16, pp.150-155.
mechanism,” Proceedings of the 5th National Symposium on
[2] Wang, X.H., Zhang, S.W., Fan, Q.Y., 2002, “Experimental
Tribology, Partĉ, pp.591-596.
study in screening and matching of disc brake pair materials
[7] Zhang, M.Z., Liu, Y.B., Yang, X.H., 1999, “The progress in
of drilling rig,” Tribology. 22, pp.197-201.
the tribologial investigation of automotive friction
[3] Zhang, S.W., Wang, X.H., Fan, Q.Y., 2001, “Investigation of
materials,” Tribology, 19, pp.379-384.
the tribological performance of friction pair for disc brake of
[8] Hui, W.H., Zhang, P., Liu, J.J., 1994, “A study on wear
drilling rig,” Science in China(Series A), 44, pp.253-258.
resistance of new type Ni-Fe-W-S alloy brush plating layer,
[4] Fan, Q.Y, Zhang, S.W., Li, W.M., 1995, “Thermal design, a
Tribology, 14, pp.124-133.
new concept of the disc brake design,” Oil Fleld Equipment,
24, pp.22-25.

343
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Modelling of Self-Lubrication in Frictional Interaction

I. G. Goryacheva /Professor (Institute for Problems in

Mechanics, Prospect Vernadskogo, 101, Moscow
119526, Russia)

(Extended Abstract)

ABSTRACT
Composite materials containing a matrix (hard phase) and
inclusions of a softer material (soft phase) arranged at the grain
boundaries of the hard phase are widely used for increasing the
working capacity of frictional units, for example, for making
coatings in sliding bearings. The model is developed to study
the extrusion of the soft phase on the surface of the antifriction
alloy in frictional interaction. The model is used to analyze the
influence of the mechanical and geometric characteristics of the
hard and soft phases of an antifriction alloy (yield limits of these
phases, temperature of melting of the components, size and
concentration of inclusions, etc.) on the amount of the solid
lubricant formed on the surface of the alloy in operation and
providing the self-lubrication and protecting the friction
surfaces against seizure and scoring. On the basis of the analysis
performed, the recommendations are given for creating new
wear- and score-resistant alloys.
Keywords: self-lubrication, antifriction alloy, composite
INTRODUCTION
Different composite materials (for example, antifriction
aluminum alloys) are used for increasing the working capacity
of frictional units. The antifriction effect of such materials is
based on squeezing the soft phase out, which leads to the
formation of a surface film protecting the friction surfaces
against seizure and scoring (self-lubrication effect) [1,2]. This
effect is particularly significant in critical regimes of friction in
which the contact pressure and temperature are high, whereas
the amount of liquid lubricant is not sufficient for
hydrodynamic lubrication.
The aim of this study is to investigate the influence of the
composition of an antifriction alloy on the amount of the solid
lubricant appearing on the surface in operation.
PROBLEM FORMULATION
Consider a layer of thickness h made of an antifriction alloy.
The layer is adhered to a rigid base. A rough rigid indenter with
the mean distance between asperities l and mean radius of the
coefficients λm , λ i ; temperature of melting of the
components; as well as the characteristics of the alloy: initial
bulk concentration of the soft phase n 0 ; mean distance
between inclusions 2 R . The amount of the soft phase
squeezed out on the surface of the alloy is under investigation.
When solving this problem, we assume that there are two
main mechanisms of the extrusion of the soft phase on the
surface of the antifriction alloy in frictional interaction: the
extrusion of the soft phase to the surface of the alloy from a
subsurface layer in which the plastic flow of the soft phase
occurs. and melting of the light melting component near the
contact surface. The extrusion of the soft phase is caused by the
matrix deformation which can be both elastic and plastic in this
subsurface layer. It is assumed that in the region of plastic
deformation of the matrix, the soft phase completely exudes
from the alloy. In the region of elastic deformation of the matrix,
the amount of the soft phase squeezed out on the surface is
defined by the deformation of inclusions. Accordingly, the
solution of the problem includes the following three steps:
- determination of the temperature and stress fields in the alloy
taking into account the inhomogeneity of the fields near the real
contact spots;
- determination of the regions of plastic flow of the matrix and
inclusions;
- calculation of the amount of soft phase appearing on the
surface of the alloy due to deformation and due to the melting of
the light-melting components.
p0
rigid indentor V
grains
of the
hard phase
h
inclusions
of the
soft phase
rigid base

asperity tip Ra slides along the surface of the layer with the Fig.1 Scheme of contact of the antifriction alloy and the
indentor
velocity V (Fig. 1). The values of the nominal pressure and
temperature at the contact surface, p0 and T0 , friction CALCULATION OF THE STRESS AND
TEMPERATURE DISTRIBUTIONS INSIDE THE
coefficient μ , and heat-sharing ratio k are known. The COMPOSITE LAYER
following characteristics of the materials of the matrix
We assume that the layer of thickness h is much smaller than
(subscript m ) and inclusions (subscript i ) are also assumed to the other two dimensions of the layer. The thickness h
be specified: Young’s moduli E m , Ei and Poisson’s
considerably exceeds the roughness characteristics Ra and l
ratios ν m ,ν i ; coefficients of thermal expansion α m , α i ;
which, in turn, are much larger than the characteristic contact
compression yield stresses σ m , σ i ; heat conductivity
y y
size. The velocity of relative sliding of the surfaces V is

344
 Modelling of Self-Lubrication in Frictional Interaction

smaller than the critical velocity Vc of thermoelastic instability larger than the mean size of inclusions R0 . In this case, the
for the system under consideration. extrusion of the soft phase is predominantly caused by the
For determination of the averaged stresses and temperature in plastic deformation of the matrix in this layer. The mean
the antifriction layer, we assume that the alloy is uniform and thickness δ of the solid lubricant film on the surface sharply
has the averaged elastic and thermal characteristics. increases as the initial concentration of the soft phase n 0
At a sufficient distance from the surface at which the influence
of the surface roughness is insignificant, the temperature and increases (Fig. 2, curve 2) or the yield limit of the matrix σ my
stresses in the alloy can be regarded as functions of only vertical decreases. The yield limit of inclusions σ iy insignificantly
coordinate z (the origin is located at the contact surface and influences the amount of the solid lubricant.
the z -axis is directed downwards). In this case, the temperature
- for comparatively small loads ( p0 < 10 ÷ 20 MPa) and high
distribution in the alloy is described by the stationary
heat-conduction problem. The elastic displacements in the layer yield limit of the matrix ( σ my > 150 ÷ 200 MPa), the layer of
satisfy the differential Lamé equations with the temperature
terms. plastic flow of the matrix does not exist or its thickness hm is
In the neighborhood of a separate asperity the surface comparable with the size of inclusions R0 . In this case, the
roughness leads to inhomogeneous stress and temperature fields
at depths comparable with the mean distance between extrusion of the soft phase is considerably influenced by the
asperities [3]. To determine the stress state in this case, a contact elastic deformation of the matrix. The mean thickness of the
lubricant film δ nonmonotonically depends on the initial
of separate rigid asperity of radius Ra with the elastic concentration of the soft phase n0 (Fig. 2, curve 1) and attains
half-space whose properties coincide with those of the
antifriction layer was considered. The method to calculate the the maximum for some value of n0 . The yield limit of the
stress and temperature fields near the contact spots is presented matrix insignificantly influences the thickness of the lubricant
in [4,5]. film.

AMOUNT OF THE SOFT PHASE SQUEEZED

OUT ON THE SURFACE OF THE ALLOY
Plastic flow of the matrix takes place if the maximum shear
stress τ max attains the yield limit of the hard phase σ my / 2 . Thus,

the thickness hm of the subsurface layer in which the plastic

flow of the matrix occurs (if such a layer exists) is defined by
the solution of the equation τ max ( hm ) = σ my / 2 where τ max is the n0
principal shear stress within the layer. Fig. 2 The mean thickness of the lubricant film δ [μm] versus the
In the region hm < z ≤ hi in which the deformation of the concentration R0 for σ my < 150 ÷ 200 MPa, σ iy = 30 MPa,
matrix is elastic, whereas the soft phase undergoes the plastic p0 = 10 MPa (curve 1) and p0 = 20 MPa (curve 2)
flow, the volume of the soft phase squeezed out from the alloy is
defined by the deformation of the inclusions. To estimate this ACKNOWLEDGEMENTS
volume, we consider the problem for a separate spherical
inclusion of the radius R0 located at the center of the elastic This work was carried out under financial support of
Russian Foundation for Basic Research (grantS 07-01-00282,
sphere of radius R . We assume that the stress state is 06-08-01480).
spherically symmetric and the inclusion is in the conditions of
plastic flow. The thickness of the layer where the plastic
REFERENCES
deformation of the inclusions occurs is determined from the
[1] N. A. Bushe, A. S. Gulyaev, V. A. Dvoskina,
relation τ max (hi ) = n0σi / 2 . The formula for calculation of the
y

K. M. Rakov, 1974, Bearings Made of Aluminum Alloys,

volume of the soft phase squeezed out from the alloy due to
plastic deformations of matrix and inclusions was reduced in
[5].
Calculation of the volume of the light-melting component
squeezed out from the alloy due to melting is based on the
temperature field analysis near the real contact spots.
NUMERICAL RESULTS
The analysis of the results indicates that the
self-lubrication of the antifriction alloy has different
mechanisms for different ranges of the parameters:
- for sufficiently high external loads ( p0 > 10 ÷ 20 MPa) and
not large yield limit of the matrix ( σ my < 150 ÷ 200 MPa), the
thickness h of the layer of plastic flow of the matrix is much
m
Transport, Moscow.
[2] N. A. Bushe, V. V. Kopyt’ko, 1981, Compatibility of
Friction Surfaces, Nauka, Moscow.
[3] I. G. Goryacheva, 1997, Contact Mechanics in
Tribology, Kluwer Academic Publishers.
[4] N. A. Bushe, I. G. Goryacheva, Yu. Yu. Makhovskaya,
2002, Effect of the Phase Composition of Antifriction
Aluminium Alloys on Their Self-lubrication in Friction,
Trenie i Iznos (Friction and Wear),v.23, 3, pp.286-295.
[5] N.A.Bushe, I.G.Goryacheva, Yu.Yu.Makhovskaya,
2003, Effect of aluminum-ally composition on
self-lubrication of frictional surfaces, Wear, 254, 2003,
p.1276-1280.

345
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
An Asperity-Contact Based Oxidation Model for Fretting Wear with the Presence of Debris
J. Ding, S. B. Leen, E. J. Williams, P. H. Shipway
School of Mechanical, Materials and Manufacturing Engineering, University of Nottingham, Nottingham, UK
(Extended Abstract)
ABSTRACT
The phenomena of near-surface plastic deformation and the
change of microstructure during the fretting process appear to
play an important role in fretting damage evolution, including
fretting wear and fretting fatigue. However, it is difficult to
incorporate such micro-damage mechanisms into conventional
macroscopic damage prediction models. In this study an
attempt is made to address this issue, with the aim of including
the evolution of micro-damage into the modelling of fretting
wear with the presence of wear debris, and in particular, to link
such phenomena as near-surface plastic deformation and
oxidation with macroscopic wear behaviour. Wear debris
entrapped within the contact during fretting is here treated as a
hardened and oxidised layer structure. As wear proceeds, the
debris layer is assumed to continuously penetrate into the
substrate by oxidation that is incurred by frictional heating and
local plastic deformation; meanwhile the top of the debris layer
is assumed to be removed by the abrasive action from the
counterbody. A multiscale modelling approach of fretting wear
is therefore presented, which integrates a macro-wear
simulation tool and a micro-asperity model. The finite element
based macro-wear simulation tool predicts local distributions
of contact pressure and slip, and determines the material
removal from the fretting interface. The former information,
together with local thickness of the debris layer, form the
inputs to the asperity model, so that cyclic plastic deformation
underneath the debris layer can be calculated. By knowing
the local plastic deformation, the movement of the debris layer
into the substrate within the macro-wear simulation tool can be
determined according to a plasticity-enhanced oxidation model.
The constants required by the multiscale modelling approach
will be identified from fretting tests, and then the simulated
results will be validated again testing measurements.
Keywords: Fretting wear, Asperity, Contact, Oxidation,
Friction
INTRODUCTION
Fretting is a small-amplitude oscillatory relative motion
that produces surface damage at the contacting locations of
engineering components. The size of fretting damage can be
divided into macro-scale or micro-scale. The macro-scale
damage includes wear and fatigue. Wear involves the loss of
material from the rubbing surfaces as well as the change of
surface geometry. Fatigue involves crack initiation and
propagation from the fretted region. The micro-scale damage
from fretting normally consists of the change of microstructure
and local plastic deformation. Micro-scale damage also
includes some reaction with the environment (e.g. oxidation)
which can significantly change surface deformation behaviour.
After an initial heavy wear period dominated by abrasion, the
fretting scar is actually covered by a compacted and oxidized
debris layer.
In the literature a number of models and approaches have
been proposed to evaluate macro-scale fretting damage. For
fretting fatigue, for example, critical plane fatigue damage
parameters [1,2] and fracture mechanics techniques [3] have
been relatively successful. For fretting wear, methods are
*Jian Ding - jian. ding@ nottingham .ac.uk
*To whom all correspondence should be addressed.
346
divided into two schools: one applies methods such as
Archard’s equation [4], the dissipated energy [5], which define
wear as the material volume that has been removed from the
contacting surfaces and give a measure of wear on the whole
contact. The second, more recent school [6-7] involves the
application of Archard's equation or the dissipated energy
method locally, in computational (continuum) mechanical
models, to predict not only the amount of wear but also the
shape of the wear scars. However, so far, nearly all such
macro-scale models for fretting damage have neglected the
issue of micro-scale damage, although it can be expected to
play an important role on the evolution of macro fretting
damage.
In this study an effort is made to link micro-scale damage
to macro-scale wear phenomenon, in particular, with the
presence of debris. The fretting contact with the presence of
debris is simplified and illustrated in Fig. 1. A debris layer Q3,
is assumed to be built up between two wearing bodies Q1 and
Q2. Q3 represents the compacted debris often observed in the
contact interface. There are two interfaces which connect the
debris layer Q3 to the first bodies Q1 and Q2. For the first
interface between the bottom surface of the debris layer and Γ1,
a rigid connection is assumed. The top surface profile of the
debris is referred to as Γ3. The interaction between Γ2 and Γ3 is
described by the frictional contact model. The fretting wear
process is assumed here to consist of two simultaneous
processes:
a. movement of the debris layer (Γ1) into the substrate by a
plastic-strain assisted oxidation process;
b. removal of the top debris layer (Γ3) by an abrasive
process from the asperities of the counterpart.
y
x
Γ2
Q2 Γ3
Q3
Γ1
Q1
Fig. 1 The fretting contact model with a debris layer
Reuchet and Remy [8] observed that the oxide scale
thickness formed on fatigue specimens was dependent
on the plastic strain amplitude, and suggested that the
kinetics of the oxide scale formation can be described
as:
§ Δε p ·
l = α dt = α 0 ¨¨1 + A ¸¸ t (1)
2
© ¹
where α0 and A are material constants, Δε p is the
applied plastic strain amplitude, and t is time. The
differential format of this equation is used here to
 An Asperity-Contact Based Oxidation Model for Fretting Wear with the Presence of Debris
describe the movement of Γ1 for a time period of dt at a
given x position, as follows:
§ Δε p ( x ) ·
α 0 ¨¨1 + A ¸
2 ¸¹
dl = © dt (2)
2 t
Plastic deformation near the oxide layer-substrate
interface is considered to be incurred by local asperities
pressing into the debris layer and moving tangentially. A
single asperity sub-model, as illustrated in Fig. 2, is
employed to simulate the plastic deformation underneath
the debris layer. λ is the width of the asperity model, and
R is the radius of the asperity. λ and R can be estimated
from the surface (roughness) characteristics of the
contacting surfaces. The compacted oxidised debris is
simulated here as a hard coating with an instantaneous
thickness l. The asperity is subjected to a normal load of
P and cyclic tangential displacement moving along the
whole surface of the asperity model, i.e. a distance λ.
P The technical and financial support of the EPSRC and
±δ
Debris layer l
Substrate
λ of equivalence between contact mechanics and fracture
Fig. 2 Asperity contact model
The link between the asperity sub-model and the
global model shown in Fig. 1 is as follows. Assuming,
for a given location x of the global model, the local
pressure is p(x), the local slip amplitude over one cycle
is δ(x), and the thickness of the debris is l(x). The
relation between the local pressure p(x) and the normal
load applied to the asperity model P is given as follows:
P = λp(x) (3)
Thus, the local plastic strain Δεp(x) at the position x can
be estimated by
δ ( x)
Δε p ( x ) = − Δε p,ref × (4)
λ/2
where Δε p,ref is the (equivalent) plastic strain range
per cycle obtained from the asperity model.
The top oxide debris layer is continually removed by
347
abrasion, as described by the following equation:
dh( x) = kp ( x)dδ ( x ) (5)
where k is a taken here (as a first approximation) as the
measured (global) Archard wear coefficient, p(x) is the
contact pressure and dδ(x) is the slip increment.
The wear process described above is implemented
by the finite element method. Fretting tests in Ti-6Al-4V,
involving at different normal loads, strokes and numbers
of cycles, were conducted to capture the evolution of the
debris layer geometry, as well as the mechanical
characteristics.
MAIN BODY HEADINGS
- EXPERIMENTAL STUDY
- ASPERITY-BASED OXIDATION WEAR MODEL
- RESULTS
- DISCUSSION
- CONCLUSIONS
ACKNOWLEDGEMENTS
Roll-Royce plc are gratefully acknowledged.
REFERENCES
[1] Szolwinski M.P. and Farris T.N., Mechanics of fretting
fatigue crack formation, Wear, 1996, 198, 93–107.
[2] Lykins C.D., Mall S. and Jain V.K., Combined
experimental–numerical investigation of fretting fatigue
crack initiation, Int. J. Fatigue, 2001, 23, 703–711.
[3] Giannakopoulos A.E., Lindley T.C. and Suresh S., Aspects
mechanics: theoretical connections and life-prediction
methodology for fretting-fatigue, Acta Mater 1998,46,
2955–2968.
[4] Archard J.F., Contact and rubbing of flat surfaces, J. Appl.
Phys. 1953, 24, 981–988.
[5] Fouvry S., Liskiewicz T., Kapsa Ph., Hannel S. and Sauger
E., An energy description of wear mechanisms and its
applications to oscillating sliding contacts, Wear, 2003, 255,
287-298.
[6] McColl I.R., Ding J., Leen S.B., Finite element
simulation and experimental validation of fretting
wear, Wear, 2004, 256, 1114-1127.
[7] Paulina C., Fouvry S., and Meuniera C., Finite
element modelling of fretting wear surface
evolution: Application to a Ti–6A1–4V contact,
Wear, 2008, 264, 26-36.
[8] Reuchet J. and Remy L., Fatigue oxidation
interaction in a superalloy—application to life
prediction in high temperature low cycle fatigue,
Metallurgical and Materials Transactions A, 1982, 14,
141-149.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Rolling Contact Fatigue of Silicon Nitride Balls under Pure Rolling Condition

Zhou Jing-ling/ College of Mechanical Engineering, Nantong University, Nantong 226019, china
Chen Xiao-yang/ Research Institute of Bearings, Shanghai University, Shanghai 200072, china
Zhang Pei-zhi/ Shanghai Institute of Materials, Shanghai 200437, china
Wu Guo-qing/ College of Mechanical Engineering, Nantong University, Nantong 226019, china

Extended Abstract A new type accelerated rolling contact fatigue test rig was
The rolling contact fatigue (RCF) life of ceramic balls is a reliable constructed, where a ball sample could be tested with three
technique to assess whether or not they are suitable to be used in contact points and in pure rolling condition. A schematic
rolling bearings. A newly developed pure rolling fatigue test rig diagram of the test rig is shown in Fig. 1.
with three contact points for bearing balls was used to perform
RCF tests and the fatigue properties of GCr15 steel balls and
two kinds of Si3N4 ceramic balls(GSN-200 and NBD-200)
produced with different technologies were compared. Ball surfaces
were examined after failure with optical microscopy and scanning
electron microscopy. It was identified by tests that the failure
Fig. 1 Schematic Diagram of Fatigue Test Rig
mode of ceramic balls was surface spall. The main factor of
2.2 TEST SAMPLES
ceramic ball failure was principal tensile stress. Life tests data, Balls of three materials were prepared. They were the GCr15
summarized in accordance with the Weibull theory, showed that steel balls ,the Silicon Nitride balls (GSN-200) produced by the
the life of GSN-200 balls was close to that of GCr15 balls, GPS(Gas Pressure Sintering) method and the Silicon Nitride
whereas the life of NBD-200 balls was much longer than those balls (NBD-200) produced by the HIP(Hot Isostatic Pressing)
of GSN-200 and GCr15. Under the same working condition, the method, respectively. The balls were of diameter 12.7 mm. All
temperature rise of all ceramic balls was lower than that of steel the specimen balls were of Grade 10.
balls, and their crack propagation rates were slower than that of 2.3 TEST CONDITION
steel balls. The force diagram acting on the specimen is shown in Fig.2.
Keywords: ceramic ball, pure rolling contact, RCF life The maximum contact stress values on the specimen ball
surface and the sample size are listed in Table 1.
1 INTRODUCTION
Ceramic materials have been found to be well-suited for use
as rolling elements in bearing assemblies. The RCF life of
bearing balls is a main method, to evaluate the performance of
bearing materials and their production technology. In general,
Fig. 2 Specimen Ball force Diagram and Stress Map
the RCF life of ceramic balls is a reliable technique to assess
Table 1 Contact stress and test parameters
whether or not they are suitable to be used in rolling bearings.
Specimen Contact Contact Maximum contact
A newly developed pure rolling fatigue accelerated test rig with Sample
material load load P2= P3 stress³Hmax (GPa)
three contact points for bearing balls is described. This test rig size
P1(N) (N)
has been used to perform rolling contact fatigue (RCF) tests for
GCr15 2000 1428 5.07 16
GCr15 steel balls and two kinds of Si3N4 ceramic balls (GSN-
GSN-200 1412 993 5.07 18
200 and NBD-200) produced with different technologies.
GSN-200 2000 1428 5.67 6
2 EXPERIMENT
GSN-200 2460 1730 6.07 5
2.1 TEST RIG
NBD-200 1412 993 5.07 8

* Project supported by Science and Technology Development Foundation NBD-200 2000 1428 5.67 8
of Shanghai, China(Grant No.07-102)
Corresponding author: WU Guo-qing, ph. D., Prof., E-mail: wu.gqing Truncated testing method was used in order to reduce test
@163.com

348
 Rolling Contact Fatigue of Silicon Nitride Balls under Pure Rolling Condition
time. When the maximum contact stress value is 5.07GPa, the
prediction rated life[1] L10 for steel balls is 2.5h(2.5*106 r).
According to the standard of bearing tests, the test time is
fivefold L10. Hence the ending time of steel balls was set at
12.5h. The ending time for ceramic balls was also 12.5h for
comparison purpose. Similarity, when the maximum contact
stress values were 5.57GPa and 6.07 GPa, the ending times for
the ceramic ball were set at 11h and 8h respectively.
3 EXPERIMENTAL RESULT
The test lives were analyzed by mathematical statistics.
Weibull distribution is a generally accepted life model. The
two-parameter Weibull distribution was adopted by Lundberg
and Palmgren[1] to fit empirical bearing fatigue life data.
The test data are shown in Fig.3, where n denotes sample
size. In Fig.3(a), the fatigue lives of ceramic and steel balls
under contact pressure 5.07GPa are compared. The results
7
showed that the L10 (1.588*10 number of stress cycles)of GSN-
7
200 ceramic balls was less than that of steel(2.002*10 number
of stress cycles), although L50 and L63 were greater than that of
steel under the same contact pressure. No remarkable
difference in the fatigue life between the tested GSN-200 balls
and steel balls was found. The Weibull slope showed that the
scatter in ceramic balls was greater than that in steel balls
because of defects of the ceramic material. In Fig.3(b), the
fatigue life of GSN-200 ceramic balls are shown under contact
pressures of 5.07GPa, 5.67GPa and 6.07GPa. The fatigue life
values decreased with increasing Hertz contact stress.
Of the eight NBD-200 ceramic balls tested, only one failed
under a contact pressure of 5.67 GPa, whereas no one failed
under a contact pressure of 5.07 GPa. Because of the small
number of failures generated, or the lack of it, no result was
obtained by Weibull statistics. It was shown that the life of
NBD-200 balls is much longer than that of steel balls.
(a) Ceramic and steel balls (b) GSN-200 ceramic balls
Fig. 3 Fatigue life plot
4 DISCUSSION
349
A tested ball under 6.07GPa was sectioned and polished to
investigate the crack propagation behaviour. Fig. 4(a) was a
surface view of the failure ball. Line A denoted the section
position. The section was cut through the sphere center. The
sectional view is given in Fig. 4(b). The subsurface cracks lay
underneath undamaged contact path instead of directly
underneath the spall. It is conjectured that spall eventually
occurred after many cycles of operation.
(a) Overview of the failure ball (b) Detailed crack network and crack propagation path
Fig.4 Surface and section observation under 6.07GPa
The subsurface crack section indicates that the crack
growth path was from subsurface to surface. These cracks
originated from volume defects of the material, and propagate,
to from fatigue spalls under the action of principal tensile
stresses. Fig. 4(b) shows a detailed subsurface crack network
and how a spall was formed in the lubricated rolling contact
condition.
5 CONCLUSIONS
The following conclusions can be drawn from the tests and
discussion:
(1) The life of tested GSN-200 balls was close to that of
GCr15 balls. The scatter in the former was greater. The
combination properties of the GSN-200 balls were better than
steel balls. The life of NBD-200 balls was much longer than that
of GSN-200, but the former was more expensive than the latter.
It is suggested to use GSN-200 balls as bearing balls when life
requirements are not stringent, and to use NBD-200 balls in very
important applications where high performance is required. It is
also recommended that the manufacturing process of GSN-200
balls should be improved to reduce their subsurface defects so as
to prolong their fatigue life.
(2) The ceramic balls failed by the maximum principal
tensile stress. The compressive strength and shear modulus of
ceramic balls were strong, whereas their tensile strength was
weak. The reason was that the defects (pores and cracks ect.) and
inhomogeneity in the ceramic materials made them sensitive to
tensile stress.
REFERENCES
[1] Harris T A. Rolling bearing analysis[M], 3rd edition. New
York: John Wiley & Sons, Inc. 1991.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Influence of Different External Pressure on the Thermo-Mechanical Coupling of the Rough
Surface during Sliding Contact
J. M. Huang, C. H. Gao*, Z. Liu
College of Mechanical Engineering and Automation, Fuzhou University, Fuzhou, 350002, China)
ABSTRACT
Based on 3D fractal theory the rough surface is
characterized. And its structural parameters are determined by
measurement of the roughness of a real frictional surface. A
thermo-mechanical coupling model for the rough surface
sliding friction is established. The model integrates the heat
flux coupling between the sliding surfaces and allows the
analysis of the effects of elastic deformation of contact
subjects and all of the correlation between asperities. To obtain
the transient contact process of the rough surfaces during
frictional sliding, the thermoelastic problem under this
three-dimensional model is solved by the nonlinear finite
element multiphysical methods in ANSYS8.1 software. The
effects of the different external applied pressure on the highest
contact temperature, the maximum surface contact pressure
and the biggest equivalent VonMises stress during frictional
sliding are analyzed. The numerical results from the analysis
and simulation show the highest contact temperature is
approximate proportion to the external applied pressure. But
some differences exist. The difference becomes more
distinctness with the increase of the sliding distance and the
temperature rise. The synthetical function of multiple factors
such as the elastic deformation, the rising temperature of
contact subject, the variation of the number of the contact
asperities and the interaction between asperities make the
instantaneous maximum contact pressure and the biggest
VonMises equivalent stress do not increase linearly with the
increase of the external applied pressure.
Keywords: external applied pressure, rough surface,
thermo-mechanical coupling, sliding contact
1. Introduction
When a medium is in sliding contact with a rough surface,
the sliding friction at the interface leads to energy dissipation
in the form of heat, the so-called frictional heating. Frictional
heating and associated temperature rise may significantly
affect the mechanical response of interacting surfaces. The
temperature rise results in thermal stresses, variations in the
real contact area, and contact pressure distributions at the
interacting sliding surfaces. It is, therefore, deduced on the
contact area and contact pressure or vice versa and, hence,
thermal and mechanical stress fields are completely coupled.
As it is well known, in actual surfaces the contacts between
two bodies always occur through asperities and so the real area
of the contact is less than the nominal one. When pressing two
rough surfaces together, primarily the peaks or asperities on
the surface will be in contact. Thus, the asperities or peaks of
the surfaces often carry very high loads. These high loads will
often cause yielding in the material. Under the different
external applied load, the contact area, contact pressure and the
thermal stress fields vary continuously. This is a complex
process. Knowledge of thermoelastic stresses in sliding solid
*
e-mail: gch@fzu.edu.cn
350
bodies is essential for accurate failure analysis of mechanical
systems [1].
The topography of engineering surfaces influences a
multitude of physical phenomena, such as contact, friction, and
wear, which are related to many engineering problems. The
realistic representation of engineering surfaces is, therefore,
necessary to obtain accurate information about the stresses and
strain fields in these types of problems. The simulation of
rough surface can simplify the research task to a certain extend.
At present, there are some approaches to describe a rough
surface [2], Recent years, the fractal technique has been
adopted to simulate the rough surface by many researchers [3-8].
Because of the complex of the sliding contact between
rough surfaces, many contact models [9-14] were established.
These models of surface contact were presented for a rigid,
nominally flat surface contacting against an elastic or fully
plastic, rough surface characterized by sphere. Jamil and
Kambiz [15] developed an elastic-plastic contact model based
on the contact between a fully elastic and fully plastic asperity
and a rigid nominally flat surface. Gong and Komvopulos [16]
modeled the elasto-plastic sliding contact of a sphere sliding
on a periodically patterned surface by using the plane strain
assumption and considering surface adhesion to describe the
stresses within the surface during contact. Hyun et al. [17]
presents a finite element calculation of frictionless,
non-adhesive, contact between a rigid plane and an
elasto-plastic solid with a self-affine fractal surface. To
examine the contact area, morphology and pressure
distribution as a function of load, they varied the ratio of the
yield stress to the Young’s modulus and the rate of strain
hardening in the constitutive law. Robert and Itahak [18]
established a statistical contact model between an
elasto-perfectly plastic spherical asperity and a rigid flat
surface to predict for contact area, contact force and surface
separation. All of these models mentioned above had not taken
into account the influence of the sliding and frictional heating.
Based on the review of the main contact mechanics models
Pugliese et al. [19] found there were big differences in the size
of the deformed zone and in the load suppouted by single
parabolas using the different roughness description approaches
and contact mechanics models. But these differences would be
mitigated when the whole profiles were considered.
In fact, when two rough surfaces contact, the sliding
friction at the interface leads to the frictional heating and
associated temperature rise, the thermal elasto-plastic stresses,
the thermoelastic instability. It is a typical thermo-mechanical
coupling problem. Wang and Liu [20] and Liu and Wang [21]
introduced a two-dimensional thermoelastic contact model of
two infinitely large, rough surfaces that accounts for the
thermal effect on the mechanical response. Huang and Ju [22]
pointed out that two-dimensional profile could not represent
real engineering surface and it was necessary to establish
three-dimensional thermo-mechanical coupling model to
analyze. Liu and Wang [23-25] extended the previous
analysis to a three-dimensional thermomechanical model of
 Influence of Different External Pressure on the Thermo-Mechanical Coupling of the Rough Surface during Sliding Contact
nonconfouming contacts. But this model is a steady model of
heat conduction. Gong and Komvopoulos [26] conducted a
fully coupled finite element analysis of an elastic-plastic
layered medium with a patterned surface in contact with an
elastic-plastic sphere, and then developed a thermomechanical
analysis of sliding contact between a semi-infinite elastic solid
possessing a smooth surface and a rigid fractal rough surface
[1]. Kadiric et al. [27] presented a numerical model to
calculate temperature profile, displacements, and stresses
resulting from a moving band shaped contact of a layered
half-space with a homogeneous rough or smooth cylinder. In
this model, steady state heat transfer was considered and the
contact was assumed to be infinitely long in the direction of
cylinder axis which enabled the assumption of stain in two
dimensions to be only considered. Robert and Ravi [28] used a
semi-analytical and finite element simulation to analyze the
sliding interaction between elasto-plastic spherical asperities.
They considered the influence of the average tangential and
normal forces, but neglected the interaction between asperities
and the effect of the frictional heating on stress and deformation.
The result showed that the effect of interference distance and
the associated frictional temperature rise on pressure and
In order to simplify calculation, a thermomechanical
analysis is presented for an elastic plane sliding against an
elastic, rough surface characterized by Brown fractal geometry,
the model is as Figure 2. In Fig. 2, A2, B1 are the friction
surfaces of the solid A and B, respectively, and A1, B2 are the
back surface of the frictional surface of the solid A and B,
respectively, A3, A4, A5, A6, B3, B4, B5, B6 are the sides of the
solid A and B, respectively, e1, e2 are the thickness of the solid
A and B, respectively, l, L are the length of the solid A and B,
respectively.
2.2 Heat transfer
To apply the thermal model with a FEM, it is assumed
that:
(1) The coefficient of friction remains constant during
sliding;
(2) The amount of heat generation by wear is very small
relative to the heat generated by friction, we neglect the effect
of material wear. Thus, the frictional heat flux q can be figured
out as
q ( x, y , t ) P ˜ p ( x, y , t ) ˜ v ( x, y , t ) (1)
where, p(x,y,t) is the interface contact pressure between the
solid A and B which can be obtained by solving the
VonMises equivalent stress distribution were great [29].
In this paper, the rough surface is characterized based on
3D fractal theory. A three-dimensional thermo-structure
coupling model for the rough surface sliding friction is
established. The model integrates the heat flux coupling
between the sliding surfaces and allows the analysis of the
effects of elastic deformation of contact solids and all of the
correlation between asperities. The purpose of this work is to
discuss and analyze the effect of the different external applied
pressure on the highest contact temperature, the maximum
surface contact pressure and the biggest equivalent VonMises
stress during frictional sliding contact between rough surfaces.
2. Mode and Formulation
2.1 The Rough Surface Model and the Friction Pair
Since the geometric structures of rough surface affect
engineering, especially through contact problems, a realistic
representation of rough surface, other than the traditional
statistical methods, is strongly necessary for obtaining accurate
information about the stresses and strains at contact interfaces.
In this study, the rough surface is simulated based on the
three-dimensional Brown fractal surface [16, 30]. Figure 1
shows the solid model with a Brown fractal rough surface.
thermal-structure coupling problem of the brake;  is the
coefficient of friction; v(x,y,t) is the relative sliding velocity;
(3) The materials of the contact solids are homogeneous
and their thermal properties are invariant with temperature.
(4) It is assumed that in the contact region the local
instantaneous temperatures of the solid A and B are equal and
the contact interface is an ideal plane. So the partition of
frictional heat flux between the solid A and B is assigned
naturally according to their thermophysical properties of
material.
Thermal initial condition is as follows.
(2)
TA TB T0 T f at t 0
where, T0 is the initial temperature of solid A and B. Tf is the
environmental temperature.
The thermal boundary conditions of the model are
described as follows.
The surfaces B1 of the solid B is partially in contact with
the solid A. In the contacting region there is frictional heat flux
generation. But outside the contact region, the surface is
subject to the thermal radiation and forced convection
condition. Thus the boundary condition of the surface B1 of the
solid B can be expressed as
w TB
kB [1  g (m)]hB1 (TB  Tf )  g (m) K c (TA  TB ) (3)
w z
 [1  g (m)]VA(TB4  Tf4 )  g (m)qB
where
­1 in the domain of solid A or B
Fig. 1 the solid model with a fractal rough surface
Fig. 2 Geometric contact model
351
g m  ®
¯0 out of the domain of A or B
and where kB is the thermal conductivity of solid B, Tf is
the environmental temperature, hB1 is the convection
coefficient, qB is the heat flux entering into solid B from the
contact region and can be obtain from the heat flux coupling
condition, Ê is the Stefan- Boltzman constant, A is the area of
the surface of the solid B out of the contact region. Kc is the
thermal conduction coefficient of the contact interface between
solid A and B.
As for solid B, the surface of solid A (A2) is a frictional
working surface. In the contact region there is frictional heat
flux generation. But outside the contact region, the surface is
subject to the thermal radiation and forced convection
condition. This can be expressed as
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

w TA For the 3-D case, then the thermal strain vector is:
[1  g (m)]hA1 (TA  Tf )  g (m)qA
kA
w z (4) ^ `
H th D (T  T0 )>1 1 1 0 0 0@T (7)

 [1  g (m)]VA(T  Tf )  g (m) K c (TB  TA )

4 4
A
where kA is the thermal conductivity of solid A, hA1 is the
convection coefficient, qA is the heat flux entering into solid A
from the contact region and can be obtain from the heat flux
coupling condition.
The surfaces A1ǃA3ǃA4ǃA5ǃA6 of solid A are assumed
to be adiabatic because solid A is only the very small one of a
real part. The surfaces B2ǃB3ǃB4ǃB5ǃB6 of solid B only exist
thermal convection.
This coupling condition on the contact region can be
written as:
q A  qB q
(on the contact point)
TA TB
2.3 Elastic problem
To simplify the calculation, it supposes the materials of
solid A and B are homogeneous and their thermal properties
are invariant with temperature. Using rectangular coordinates
coincident with the principal axes of elasticity, the stress-strain
relations for an isotropic elastic body are given by
^V ` >D @ H  H th ^ ` (6)
where ^V ` is a stress vector, ^H ` is total strain vector,
>D @ is the material elastic vector which is related to Young’s
in which D is a thermal expansion coefficient, T is the
transient temperature of the friction pair, T0 is the initial
temperature field of the friction pair.
2.4 The structural boundary condition
Assume that the applied pressure p exerted uniformly on
the surface (A1) of solid A along z direction and solid A is
immobile, it is hence assumed that the displacement along x
and y direction is equal to zero on solid A. To simulate the
motion of solid B, solid B is stationary in y and z axle
direction and applied certain displacement in x axle direction
(ux).
This procedure is developed into a command stream for
(5) thermoelastic analysis by using APDL (ANSYS Parametric
Design Language) to realize the relative move between solid A
and solid B and the thermal-structure coupling using the
commercial finite element software ANSYS 8.1.
3. Analysis and Discussion
The material of solid B is CA-15, the material of solid A is
resin bonded composite frictional material. In the analysis, we
used a set of available data in [31]. The parameters of the
material properties of solid A and B are given in Table 1, and
the mechanical properties of solid B are given in Table 2.
The relative velocity is 30m/s, the sliding distance is
modulus (E) and Poisson’s ratio X  and is a constant vector 1200 Pm and the uniform pressure exerted on the surface A1 is
for isotropic materials, ^H `
th
is thermal strain vector. P=10Mpa.
Supposed the thermal expansion only produces normal strain.

Table 1 Material properties for the transient thermoelastic analysis

Thermal conductivity Mass density Specific heat Thermal expansion Elastic modulus
W mK  (kg/m3) (Nm/kgK) coefficient (1/K) E˄GPa˅
Poisson’s ratio

B 48.46 7228 419 11e-6 175 0.3

A 1.212 2595 1465 30e-6 1.5 0.25

Table 2 Mechanical properties of CA-15

Ultimate tensile Yield strength Elongation Endurance limits
Heat treatment
strength Êb ø Ês ø Û5 ø % Ê-1 ø
Tempering at
CA-15 560MPa 400MPa 20 246MPa
750ć, air cooling

Fig. 3 shows the maximum surface temperature of solid A

and B versus the sliding distance for different external applied
pressure. One can see that the variation trend of the maximum
surface temperature of solid A is similar to solid B for
different external applied pressure. The maximum surface
temperature rises quickly when the sliding distance is less than
200 P m . The growing trend is slowing down after 200 Pm .
The temperature field of solid B is affected by every asperity

(a) Solid A

352
 Influence of Different External Pressure on the Thermo-Mechanical Coupling of the Rough Surface during Sliding Contact
(b) Solid B
Fig. 3 The maximum surface temperature of solid A and B
versus the sliding distance for different external applied
pressure
in the contact regions. The temperature field of solid A and
solid B are coupling and the maximum temperature of solid A
rises in small wave pattern. The wave pattern becomes larger
when the external applied pressure increases. As the sliding
distance increases, the surface temperature rises in terms of
the correlation between asperities. The maximum temperature
of solid A and B are approximate proportion to the increase
with the external pressure increasing for elastic contact. But it
has certain difference. The difference becomes more obvious
with the increasing pressure and temperature. As the friction
work is assumed to convert into friction heat, the thermal
energy in the friction body linearly increases with the external
applied load. But because of the asperities, the distribution of
the thermal energy is non-uniform. This is presented by the
uneven distribution of the temperature, and the variation law
of the maximum temperature can not be deduced simply. From
equation (2), it can be found that the maximum contact
pressure is the basic factor that influences the maximum
surface temperature when the friction coefficient and siding
velocity are constant.
Fig. 4 The maximum contact pressure versus sliding
distance for different external applied pressure
Fig. 4 shows that maximum contact pressure versus
sliding distance for different pressure. The transient maximum
contact pressure varies as the applied pressure
disproportionately because the elastic deformation and the
varying contact area. These also cause that the transient
maximum friction heat flux varies disproportionately.
Therefore, the maximum temperature in the contact area
doesn’t strictly linearity increase with the applied pressure.
Comparing Figs. 3 and 4, the transient maximum contact
pressure doesn’t increase linearly with the external applied
353
pressure. But the maximum temperature linearly increases
approximately. These draw a conclusion that the maximum
flash temperature and the region occurring maximum
temperature are fundamentally determined by the contact
pressure on the sliding contact surface, but the maximum
temperature is also affected by variety of factors such as the
shape, number and interaction of the asperities, the
distribution of maximum contact pressure, the whole pressure
field and the average contact pressure in the maximum
temperature region. The highest temperature results from
comprehensive function of multiple factors.
From Fig. 4, it can be found that the maximum contact
pressure increases and the fluctuation becomes more obvious
as the external applied pressure increases during the sliding. It
shows that the local temperature rises with the increasing
applied pressure. The deformation of the contact body
occurred and the distribution of contact pressure become more
and more complex during the friction sliding process. The
rising pressure causes more and more asperities of solid A are
to contact with solid B. The temperature rises and heat
transfers into the contact body. The thermal-structure coupling
between two contact bodies changes constantly. The region of
the maximum contact pressure varies and the interaction of
asperities increases.
Fig. 5 The maximum VonMises equivalent stress of
solid B versus the sliding distance for different external
applied pressure
Fig. 5 shows that the maximum VonMises equivalent
stress of solid B versus the sliding distance for different
external applied pressure. As the effect of friction heat and the
elastic deformation, the contact state of the contact surface is
changing continuously, which results in the changing frictional
heat flux and the varying temperature. These further affect the
stress and the maximum VonMises equivalent stress also
fluctuates continuously during the frictional sliding. The
trends of the maximum VonMises equivalent stress are
similar under the different pressure, but the fluctuation
increases. The similar trend is because of the similar trend of
temperature rise. The fluctuation is caused by the volatile
maximum contact pressure for the larger external applied
pressure. The friction and heat problems are affected by many
factors such as the heat transferring, the shape, number and the
interaction of asperities. The contact state of contact surface
becomes more complex. The maximum VonMises
equivalent stress dose not increase with the temperature rise
and the variation trend is not clear.
4. Conclusions
In this paper, the transient thermoelastic analysis of the
friction sliding contact between the fractal rough surface and
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
the nominal flat has been performed. The effect of frictional
heating, elastic deformation and the correlation between
asperities on the temperature rise, contact pressure, and stress
field was examined for different external applied pressure.
Based on the presented results and discussion, the following
main conclusion can be drawn.
1) The highest temperature of the frictional contact surface
was approximate proportion to the increase with the external
pressure increasing. But some differences existed. The
difference became more distinctness with the increase of the
sliding distance and the temperature rise. The value of the
flash temperature had a relation to the form and the number of
asperities, all of the correlation between asperities, the region
of the maximum contact stress, the whole stress distribution
and the number of the average contact pressure in region of
the highest flash temperature. It is a synthetical function of
multiple factors results in the highest temperature.
2) Because of the elastic deformation, the instantaneous
maximum contact pressure did not increase in proportional to
the applied pressure increased. With the applied pressure
increasing, the temperature of contact subject and the
deformation rose, which made the number of the contact
asperities increase and the interaction between asperities
strengthen. All these made the contact state vary continuously.
The maximum contact pressure tended to increase with
increasing the applied pressure. And its fluctuation amplitude
also increased. For the same frictional contact model, the
biggest VonMises equivalent stress of contact subjects
becomes bigger resulting from the increase of the applied
pressure. But its whole variations trend is not changed as of
the multiple factors.
Acknowledgements
This research is supported by the National Natural Science
Foundation of China (NSFC) under grant No: 50375028 and
50775039, the Education Council of FuJian Province China
under grant No: JB07008 and the Foundation of Fuzhou
University under grant No: XJJ-0603.
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 Influence of Different External Pressure on the Thermo-Mechanical Coupling of the Rough Surface during Sliding Contact
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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Effect of Transverse Surface Topography on Cavitation Erosion
Y. Li, Z. Xu, H. Chen, J. Wang, D. Chen
State Key Lab. of Tribology, Tsinghua University, Beijing, 100084, China
ABSTRACT
Experimental and numerical investigations on the effect of
transverse surface topography on cavitation erosion were
performed. Specimens made in 45 steel with different
transverse surface topographies, which were finished by
milling under different processing parameters respectively,
were tested in the water-tunnel experimental devices. Scanning
electronic microscope and photon microscope were adopted to
analyze the cavitation erosion degree on the specimens’ surface
after 120 minutes’ tests. Results showed that the degree of the
cavitation erosion was affected by the distribution and shape of
the surface topography, and the interval between the
topography units, which represented the topographies’
distribution, played a more important role than the shape of the
units. Numerical simulation results of the flow over flat
surfaces with transverse topographies, which were triangle or
trapezoid and proportional spacing, were obtained to explain
the effect of the transverse surface topographies on cavitation
erosion. The variation of the average pressure distribution in
the vicinity of the surface and pressure fluctuation caused by
the surface topographies both affect the collapse behavior of
the cavities which usually exist in the flow. Experimental and
numerical results indicate that the degree of cavitation erosion
on the specimens in the water-tunnel can be reduced by proper
topography design.
Keywords: Cavitation, Cavitation erosion, Surface topography
INTRODUCTION
Cavitation erosion is one of the most common wear
phenomena of the hydraulic machine[1]. It is caused by the
collapse of the cavitation cavities in the flow. When the local
pressure in the flow is lower than the liquid’s vapor pressure,
the liquid will vaporize and small cavities will generate. Those
cavities will transport with the flow to downstream and when
the local pressure outside the cavities rise back to higher than
the vapor pressure, the cavities will be compressed and finally
collapse. If this process just happens in the vicinity of the solid
surface, a high speed micro-jet towards the solid surface will
generate and attack the surface inducing cavitation erosion[2].
The velocity of the micro-jet can be up to several hundred
meters per second and the pressure load caused by it can be up
to several hundred mega Pascals[3, 4].
It is well known that surface topography is one of the most
important factors affecting cavitation erosion[5]. In most of the
traditional researches, people attribute this effect to its
influence on cavitation[6, 7, 8]. Researchers have found that
the irregulars on the surface usually make cavities generate in
the flow more easily, and they suggest that it is the reason why
the rough surface are eroded more rapidly than the smooth
ones in most of the experiments. However, the surface
topography does not always enhance the erosion degree.
Experiments by Nie[9] have shown that increasing the surface
roughness would reduce the possibility of cavitation caused by
single irregularity and decrease the degree of cavitation erosion.
Great progress has been made in this field, but most of the
*To whom all correspondence should be addressed.
356
*
results are obtained based on the analysis of irregularities and
geometric structure in millimeter or even larger scales. Some
researchers also made efforts to study the effect of topography
in small scale (i.e., surface roughness) on cavitation erosion
and found that surfaces pit more rapidly when they are
rough[10]. However, the relative researches reported are so
few that the relation between the roughness and cavitation
erosion are still uncertain. In this work, effects of regular
transverse grooves in sub-millimeter scale are investigated in
order to seek more details about the action of surface
topography to cavitation erosion.
EXPERIMENTAL RESEARCH
1. Equipments and methods
Experiments were performed in the circulatory water tunnel
(shown in Fig.1). It is one of the Venturi devises[11], which
make the operating fluid flow through a constricted path where
the velocity is increased and the corresponding drop in
pressure causes cavities to be nucleated. In the water tunnel
used in this work, a 3mm high, 10mm long rectangular bulge
was fixed in front of the specimen to narrow the flow path and
act as a cavitation inducer(as shown in Fig.2). The velocity in
the flow path was adjusted by the frequency-converter and the
maximum velocity is about 30m/s. The velocity and pressure
of the flow at the inlet of the test section was measured by the
flowmeter and manometer separately. The sectional dimension
of the test section is 50mm×20mm.
Fig.1 Schematic of the water tunnel (1.Storage Tank
2.Pump 3.Motor 4.Flowmeter 5.Buffering Tank 6.contraction
section 7.Test section 8.Back flow pipes)
Flow
Inducer
U
Sample
Fig.2 Schematic of the test section
Specimens were made of 45# steel and their surfaces were
first grinded and then grooved (as shown in Fig.3). As shown
in Fig.4, the grooves are perpendicular to the direction of the
flow, namely the transverse grooves. The shape and
distribution of the grooves are measured by the phase shift
micro-XAM 3D which has a resolution of 0.01nm in vertical
direction and 8.8~0.11m in horizontal direction. Five
parameters are adopted to describe the shape and distribution
of the grooves: the wavelength, O; the width of the groove, w;
 Effect of Transverse Surface Topography on Cavitation Erosion

the depth of the groove, d; the front edge angle, D, and the
back edge angle, E. The details of the parameters of the test
specimens are listed in Table.1.
field of view are counted. The average numbers of cavitation
pits on specimen No.1 and No.2 are 0.3/mm2 and 0.1/mm2.
Make a comparison between specimen No.1 and No.2, and
it will be found that the most significant difference is the width
of the grooves. Specimen No.1 has narrower grooves on its
surface.

Fig.5 SEM Photo of

the specimen after the
test: (a) Specimen No.1
(100×);(b) Specimen
No.1 (5000×);(c)
Specimen No.2
( 100× )
Fig.3 Specimens with grooves on the surface
U
A-A It can be concluded that the width of the grooves affects
A A w the degree of the cavitation erosion. As the depth of the
grooves are kept almost the same, changing the width of the
40
d D E grooves can be regarded as variating the shape of the grooves.
O In the above two cases, the width-depth ratio are 3.6 and 6.0.
Fig.6 shows the test result of specimen No.3 and No.4. The
30 key difference between these two specimens was the
(a) (b) wavelength of the topography, in another word, the distribution
Fig.4 Schematic of the grooved surface and parameters of of the grooves. Erosion marks can be found on the surface of
the grooves specimen No.3, whose duty ratio (w/) is about 0.15, while there
Table 1 Groove parameters of the test specimens are seldom on specimen No.4’s surface, whose duty ratio is 0.3.
The erosion marks and pits on specimen No.3 are similar with
No. O / m d / m w / m
that found on specimen No.1. This may indicate that the erosion
1 390 25 90 processes occur on the specimen No.1 and No.3 are similar. The
2 400 22 130 statistical numbers of cavitation erosion pits on specimen No.3
3 820 80 120 and No.4 are 0.2/mm2 and 0.1/mm2.
4 400 58 120
Tests were carried out in tap water, and the stream velocity
at the inlet of the test section was 14.2m/s and the pressure was
0.17MPa. The pressure at the outlet was 0.1MPa. Duration of
each set of tests was 120 min, and the temperature was
24±1C.
After each test, the specimen was cleaned and dried. Then
the specimens were observed by the scanning electronic
microscope (FEI Quanta 200FEG), which can capture the
enlarged SEM photos up to 1 million times. Erosion pits were
analyzed evaluate the erosion degree of the specimens.
2. Experimental results Fig.6 SEM Photo of
After 120min test, from the photos captured by SEM, it the specimen after the
can be found that there were quite a lot of pit about 2~5mm in test: (a) Specimen
scale on the surface of specimen No.1 (as shown in Fig.5(a)). No.3 (100×); (b)
Most of the erosion pits were found around the grooves. The Specimen No.1
erosion pits were 2~5m in scale and most of the case there (5000×); (c)
was a round influence area around each pit. However, on the Specimen No.4
surface of specimen No.2, there were seldom erosion marks.
Count the numbers of the pits around the sampling points on If a comparison be made between specimen No.2 and No.4
the specimens respectively. On each specimen, 9 points which (Fig.5(c) and Fig.6(c)), we can found that although the depth
are uniformly distributed on the test surface are observed in the of the grooves are different, no significant difference of
SEM with a magnification of 500 and the numbers of pits in the erosion degree were shown after the tests.

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

The above experimental results have shown that the shape are shown in Fig.7. The dimension of the calculation field was
and distribution of the transeverse surface grooves in the same as the water tunnel, but the grooved section was
sub-millimeter scale affect the degree of cavitation erosion. shorten to 10mm (the original length of the sample is 30mm)
But the reason why these difference occur were still uncertain, in order to reduce the amount of calculation.
so numercial methods were employed to analyze. Effect of the
width and wavelength of the grooves are considered separately. Table 2 Groove parameters of the simulation models
No. O / m d / m w / m
NUMERICAL ANALYSIS 1 0 0 0
2 400 25 50
(1) Numerical methods and models 3 400 25 75
The flow pressure and velocity were calculated based on 4 400 25 100
the continuity equation (Eq.1) and momentum equations (Eq.2), 5 400 25 150
which are also called Navier-Stokes equations. These 6 400 25 200
equations are applicable for any continuous medium. 7 400 25 300
8 200 25 150
w ( Uu ) w ( Uv) w ( Uw)
  0 (1) 9 800 25 150
wx wy wz
The left boundary is set to be pressure inlet and the
­ w ( Uu ) wp wW xx wW yx wW zx corresponding entry velocity in the simulation cases was 20m/s.
°  div( Uuu)     The right boundary is set to be pressure outlet, and the outlet
° wt wx wx wy wz
pressure is set to be 1atm. The top and bottom boundary were
°° w ( Uv) wp wW xy wW yy wW zy solid walls. The Reynolds numbers in these cases were 7.2×105.
®  div( Uvu)     (2)
So the standard k-H turbulent model was employed. The
° wt wy wx wy wz
convergence criterions of the calculations are that the residual
° w ( Uw) wp wW xz wW yz wW zz
° errors fall down to below 10-5.
 div( Uwu)    
°¯ wt wz wx wy wz

where U is the density of fluid, u is the velocity vector of the

flow, u, v, w are the velocity components at xˈyˈz orientations,
p is the pressure, and WxxˈWxyˈWxzˈWyxˈWyzˈWzx are the components
of W , the shearing stress tensors on the surface of the
infinitesimal cube. Ignoring the inertia force, they can satisfy
the Eq.3, where K is viscosity of the fluid.
­ wu wv w=50m, d=25m
°W xy W yx K(  )
wy wx
°
° wu ww
®W xz W zx K(  ) (3)
° wz wx
° wv ww
°W yz W zy K(  )
wz wy
¯
Finite volume method (FVM) was adopted to calculate the
function above throughout the calculation field. This method
divides the calculation field into grids, and integrates the w=100m, d=25m
differential equations (Eq.1~3 in this case) inside each grid to
get a set of discrete functions. And then solve these equation
set to get the solution. FVM can solve the problems with
complicated boundaries, and always keep conservational, so it
is widely used in computational fluid dynamics.
The simulation model is illustrated as Fig.7. Its dimension
is 164mm×20mm. In front of the grooved section a triangular
bulge was set as the cavitation inducer.
6ROLGZDOO
3UHVVXUH
w=150m, d=25m
3UHVVXUH
LQOHW RXWOHW
,QGXFHU
*URRYHGVHFWLRQ
6ROLGZDOO

Fig.7 Calculation model and mesh division

Nine kinds of grooves, including the smooth case, were

analyzed separately. The parameters of these cases are listed in w=300m, d=25m
Table.2 in details. Fig.8 Flow structure in the grooves
The boundary conditions and mesh of the calculation field Fig.8 shows the flow structures in the grooves which

358
 Effect of Transverse Surface Topography on Cavitation Erosion

located in the middle of the grooved section. The vortex in the (the cavity just keep state under this pressure), a little rise in
grooves get smaller and smaller as the increase of the grooves’ pressure, will accelerate the collapse speed greatly.
width, and at the point where the width-depth ratio (w/d)
equals to 6 (w=150m), the flow in the groove changes from 0.6

rotational to irrotational. R0 = 100 Pm

(NT)g0 = 10-10 Ngm
The flow structures in the grooves affect the pressure 0.5

distribution. Generally speaking, around the leading edge of

collapse duration tc / ms
the grooves, as the enlargement of the flow path, the flow 0.4

velocity slows down and the pressure drops while that around
the trailing edge is just the opposite way. The vortexes in the 0.3
grooves make this more complex, and difference in pressure
distribution can be found in Fig.9. 0.2

u =20m/s, O =400Pm, d =25Pm w =200 Pm

0.16 0.1
x Grooves(60.2~64.2mm) w =300 Pm
smooth pc
w =75 Pm 0.0
1000 10000 100000 1000000
0.12 w =50 Pm
Absolute Pressure / MPa

0.08
0.04
Low pressure
0.00
region
-0.04
60 61 62
Position in x direction / mm
Fig.9 Pressure distribution 50m away from the surface of the
grooved section
As shown above, the overall pressure distribution closed to
the surface has been changed by the grooves. Compared to the
smooth case, effect of the grooves is to increase the pressure
around the fore part (“low pressure region”) and reduce that
around the aft part (“high pressure region”). As the rise of
pressure in the low pressure region will diminish the cavitation,
which means the amount of the cavities will be reduced, it may
decrease the erosion degree downstream.
The pressure distribution in the vicinity of the surface is the
key factor which affects the degree of cavitation erosion.
Generally speaking, the higher the pressure is and the greater
the pressure fluctuation is the serious the erosion is[12, 13]. In
the high pressure region, cavities will suffer from the pressure
to compress and collapse. Rayleigh-Plesset equation (Eq.4) is
adopted to analyze the relationship between the pressure and
the collapse process of the cavities. Rayleigh-Plesset equation
is the fundamental equation in bubble dynamic. It can describe
the variation process of spherical bubbles in the state liquid.
w =100 Pm p / Pa
w =150 Pm Fig.10 pressure-collapse duration curve
High pressure
region Look back to the effect of pressure distribution on
cavitation erosion in the high pressure region, and it is
obviously that the higher the pressure is, the faster the cavities
collapse. So a low pressure is preferred when prevention of
cavitation erosion is needed.
A significant critical point, at which the width of the
grooves is about 150m, should be paid more attention to.
63 64 65 When the grooves’ width of the grooves is smaller than that,
the pressure rise around the fore part and the pressure drop
around the aft part comparing to the smooth case are
remarkable, while the width is larger than that, the averaged
pressure on surface with grooves is almost the same as that of
the smooth one. Surface with 150m wide grooves is the best
one to prevent cavitation erosion among the 7 models above
according to the previous discussions.
Another significant feature in pressure distribution is the
local pressure fluctuation generating around each groove. The
local pressure fluctuations caused by the surface grooves (w:
50~300m, d: 25m) can be up to about 10 kPa. According to
Fig.11, if the cavities encounter with pressure rise of this
magnitude when the outside pressure are around the critical
point, their collapse process will be accelerated greatly. So the
local pressure fluctuation could affect the erosion too. As the
higher the pressure is the quicker the cavity collapse, the rise
of the local pressure rise induced by the sharp topography will
accelerate the collapse process of the cavity.
u =20m/s, w=150Pm, d =25Pm
0.16
x Grooves(60.2~64.2mm)
Absolute Pressure / MPa

  3 2 p R  pf 4 PR 2V s
RR R   (4) 0.12
2 U UR R
where R is the radius of the bubble, PR is the pressure out of the 0.08 High pressure
cavity, P is the pressure far away from the cavity, s is the region

surface tension between the liquid and the gases inside the smooth
cavity and  is the viscosity of the liquid. 0.04 O =200 Pm
Rayleigh-Plesset equation is obtained base on the O =400 Pm
assumption that the bubbles keep spherical during the variation O =800 Pm
0.00 Low pressure
process, which does not meet the case when the collapse region
occurs in the vicinity of the solid surface exactly, but the
calculation results can still be used to determine the collapse -0.04
60 61 62 63 64 65
duration roughly. Fig.10 shows the relationship between the Position in x direction / mm
pressure outside the cavity and collapse duration. It indicates Fig.11 Pressure distribution 50m away from the surface of the
that as the increase of the pressure, the collapse duration grooved section
decreases and when the pressure is around the critical pressure

359
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
The integrated effect of surface topography on cavitation
erosion should consider both of the redistribution of pressure
of the global field and the fluctuation of pressure of the local
field.
Effect of the grooves’ distribution affects the erosion
degree in the similar way. Fig.11 indicates that the wavelength
of the topography also affects the pressure distribution in the
vicinity of the surface.
The dense grooves (w/Í>0.7) have stronger interaction than
the sparse grooves (w/Í<0.2), and the pressure varies more
quickly. Among the follow three types of grooves, when the
duty ratio (w/Í) is moderate (about 0.4~0.5) the structure is
better for preventing cavitation erosion.
CONCLUSIONS
From the experimental and numerical analysis on effect of
transverse topography on cavitation erosion, the following
conclusions can be drawn:
1. Transverse surface topography redistributes the pressure
distribution of the flow. The best distribution style to prevent
cavitation erosion is with high pressure upstream to diminish
the cavitation and with low pressure downstream to reduce the
collapse of the cavities. Grooves in certain shape and
distribution can properly adjust the pressure above the sample
and reduce the cavitation erosion.
2. Transverse surface topography increases the local
pressure fluctuation around each topography unit. The sharp
topography accelerates the collapse of the cavities in the near
wall field and enhances the cavitation erosion.
3. The total effect of the transverse surface topography on
cavitation erosion ought to consider both the two factors above.
Under the test conditions in this work, the grooves with a
width-depth ratio of from 5~6 and with a duty ratio of about
0.4~0.5 are the best in preventing cavitation erosion.
ACKNOWLEDGEMENTS
This work is supported by NSFC Project 50505020, and
also benefited from Project 2007CB70772 supported by
National Basic Research Program of China.
360
REFERENCES
[1] Huang, J. T., 1991, Theory and Application of Cavitation
and Cavitation Erosion, Tsinghua University Press,
Beijing.
[2] Trevena, D. H., 1987, Cavitation and Tension in Liquids,
IOP Publishing Ltd, Great Britain.
[3] Bourne, N. K., Field, J. E., 1995, "A High-speed
photographic study of cavitation damage," J. Appl. Phys.
78(7), pp.4423-4427.
[4] Brujan, E. A., Keen, G. S., Vogel, A., et al, 2002, "The Final
Stage of the Collapse of a cavitaion bubble close to a rigid
boundary", Physics of Fluids, 14(1), pp.85-91.
[5] Knapp, R. T., Daily, J. W. and Hammitt, F. G., 1981,
Cavitation, Water Conservancy Press, Beijing, China.
[6] Arndt, R. E. and Ippen, A. T., 1968, "Rough surface effect
on cavitation inception," Journal of Basic Engineering, 90,
pp.249-261.
[7] Chang, J. C., Huang, S. B. and Lin, C. B., 2006, "Effects of
inlet surface roughness, texture, and nozzle material on
cavitation," Atomization and Sprays, 16, pp.299-317.
[8] Lecoffre, Y., 1999, Cavitation Bubble Trackers, A.A.
Balkema Publishers, USA.
[9] Nie, M. X., 2001, "Cavitation prevention with roughened
surface," Journal of Hydraulic Engineering, 127(10),
pp.878-880.
[10]Ahmed, S. M., Hokkirigawa, K., Ito, Y., et al, 1991,
"Scanning Electron microscopy observation on the
incubation period of vibratory cavitation erosion," Wear,
142, pp.303-314.
[11]Preece, C. M., 1979, Treatise on Materials Science and
Technology, Academic Press, New York.
[12]Xu, W. X., 1990, "Calculation of motion of a single bubble
in pressure fluctuation field," Journal of Hydrodynamics,
5(1), pp.118-121.
[13]Hammitt, F. G., 1980, Cavitation and Multiphase Flow
Phenomena, McGraw Hill Inc, USA.
 The Theory of Debris Group in Ferrographic Analysis

The Theory of Debris Group in Ferrographic Analysis

Tonggang Liu*, Xiaohang Tang, Zhiyi Yang

College of Mechanical and Electrical Engineering, China University of Mining and Technology, Xuzhou, 221008, China

ABSTRACT information of wear debris has been developed.

Ferrography is now an accepted means of machine With an intention to minimize the work of wear particle
condition monitoring. The wear condition of machines should analysis and make the judgment of the wear system condition
be determined by studying all the debris suspended in oil in a more objective and precise way, the theory of debris group
sample as a whole rather than focusing on debris individually, in ferrographic analysis has been put forward.
which is time consuming. In order to minimize the work of
wear particle analysis, the theory of debris group in THE THEORY OF DEBRIS GROUP
ferrographic analysis has been put forward. The basic concepts
MAIN IDEA OF THE THEORY OF DEBRIS GROUP
and principles of this theory have been introduced. The
properties of debris group and their applications have been During the operation of machinery, wear particles are
reported. And the method of debris group analysis using produced as a result of contact between sliding surfaces. For
Mathematical Statistics and Fuzzy Mathematics also has been lubricated sliding contacts, the lubricating oil has the useful
discussed. The theory of debris group plays as a bridge property of conveying wear particles to a collection point
between wear particles and wear condition of wear system, which is usually the sump. Ferrography is a method for the
which minimizes the work of wear particle analysis and makes collection and determination of the concentration and
the judgment of the wear system condition in a more objective morphology of wear particles suspended in lubricants. To
and precise way. perform ferrography, the solid debris suspended in a lubricant
Keywords: Debris group; Ferrography; Quantified qualitative is separated and systematically deposited onto a glass slide.
analysis; Wear condition monitoring The resulting slide with its associated particles is called a
ferrogram. The ferrogram is examined under a microscope to
distinguish particle size, concentration, composition,
INTRODUCTION
morphology and surface condition of the ferrous and
Ferrography is a technique to separate wear debris and non-ferrous wear particles. This detailed examination, in effect,
contaminant particles from a lubricant and to arrange them on uncovers the mystery behind an abnormal wear condition by
a transparent substrate for examination [1, 2]. It’s widely used pinpointing component wear, how it was generated and often
in the study of wear mechanisms, and as a device for the what the root cause was. Fig. 1 illustrates the procedure and
detection of the onset of abnormal wear as might occur in the content of ferrographic analysis.
course of a mechanical wear failure in a machine [3-5]. Wear
debris is a strong indicator of tribological interactions under
which it was formed. Careful examination of quantity, size,
composition, and morphology of wear debris can yield specific
information about the conditions of the moving surfaces. For
many years, in maintenance, wear debris analysis has been a
subject of practical and economical interest, since wear
conditions in a machine can be monitored by the examination
of debris without costly dismantlement of machinery.
In wear debris analysis, wear modes are usually inferred by
correlating wear debris with possible wear situations. For the
past few decades, classified micrographs of wear particles
from various wear conditions have been available in the wear
particle atlas since the development of ferrography in the early
1970s. Examinations of wear debris have been carried out for
the recognition of damage and its correct attribution to
physical and chemical causes. And in recent years, in order to
overcome the subjectivity of the debris morphology
assessment, debris classification and status valuation of
individual judgment, there have been many research efforts
focused on the development of computer image processing and
automated classification systems for the wear debris
characterization and classification [6-10]. But no matter what
means one uses, before attempting to analyze wear debris in
each case, it is necessary to decide how many wear particles on
the ferrogram or in the oil sample should be investigated to
ensure that an accurate judgment of the wear system can be
made, and then accordingly to select the most appropriate
method for performing morphological analysis. However, no
specific methodology which can efficiently explore the

*Corresponding author. E-mail: nano@cumt.edu.cn. Fig. 1 The procedure and content of ferrographic analysis

361
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

For the wear debris produced on a certain wear condition,
their individual appearances such as shapes and sizes may be
different because of the complexity of wear process. When a
wear particle is found on a ferrogram, the appearance of this
wear particle only indicates that a given kind of wear type has
once existed. But whether this kind of wear type is still
existing, or if it is existing, how severe the wear condition is is
unknown to us. In other words, the individual characteristics of
a single wear particle have no direct relation to wear condition.
But according to experiments, the appearances of some debris
(namely a group of debris) are almost invariant and closely
related to the operating condition. So, the wear condition of
machines should be determined by studying all the debris as a
whole rather than focusing on debris individually. The
reasonable way for us to conduct wear condition monitoring and
fault diagnosis is to observe the whole ferrogram fully and
thoroughly, and thus get the information of how many debris
categories are existing and what about their size distributions
etc., then analyze these information synthetically and get the
results about wear condition monitoring and fault diagnosis.
It is the characteristic of a group of wear debris that has close
connection with operating condition of wear systems. This
relationship is exactly the most useful in wear condition
monitoring and fault diagnosis. What has been discussed above
is the main idea of the theory of debris group.
IMPORTANT PROPERTIES OF DEBRIS GROUP AND
THEIR APPLICATIONS
The rotary ferrograph offers a rapid and simple method of
debris separation. A measured volume of the oil sample is
applied by pipette to a glass slide located on a rotating magnet
assembly. Particles of debris are radially deposited as three
concentric rings by the combined effects of rotational, magnetic
and gravitational forces. The rotary ferrograph combines
magnetic and centrifugal separation, so it does not suffer from
interference due to carbonaceous material in the sample.
Removal of the lubricant by solvent washing and drying gives a
stable well-separated deposit pattern ready for examination
under the optical or electron microscope.
The magnetic head of rotary ferrograph and the ferrogram made
by rotary ferrograph are shown in Fig. 2. When the oil sample
drops at the centre of the rotating magnet at a constant speed, it
will follow the rotation of the magnet and spread out along
parabolic tracks in all the 360º directions which are tangential to
the magnetic flux. And the areas of the three rings in 360º have
the equal probability to capture the wear particles although the
parabolic routes of individual debris are in random directions.
And along any direction, wear debris are deposited on the
ferrogram according to size with large particles resting at the
entry point and gradually getting smaller towards the exit
point.

BASIC CONCEPTS AND PRINCIPLES OF THE THEORY

OF DEBRIS GROUP
As a newly developed method of qualitative ferrographic
analysis in present years, the three concepts of the method of
debris group analysis have been defined as follows:
(1) Debris group: The debris group refers to a group of wear
particles organized after a certain pattern, which includes both
the way of how the wear particles are produced in wear system
and the way of how the wear particles are deposited by
ferrograph. In the study of qualitative ferrographic analysis, a
debris group includes all debris in the visual fields of a
ferrogram which formed by a ferrographic microscope under
certain magnifying power (usually 400×). Since only the way of
wear particles’ production and deposition will affect the debris
group characteristic, the observing condition will only change
the size of the debris group without changing the debris group
itself.
(2) Debris group characteristic: Debris group characteristic
refers to the characteristic which distinguishes one type of
debris group from others. It can be in different forms of
expression in different methodologies of wear particle analysis,
but these different forms of expression should be identical in
expressing the characteristic of this type of debris group. All
debris groups with the same debris group characteristic can be
regarded as one kind of debris group.
(3) Parameter of debris group characteristic: The parameter of
debris group characteristic is quantified parameters which can
be used to express the debris group characteristic. In general,
several parameters of debris group characteristic will be used to Fig. 2 The magnetic head and ferrogram of rotary ferrograph
express a certain debris group characteristic.
It has been found in actual conducting of machine wear Here, the concept of equal possibility depositing area is
condition monitoring that every kind of wear condition of a introduced to illustrate the above property of rotary ferrograph.
certain machine does correspond to a certain kind of debris Equal possibility depositing area refers to the area in which
group, or in other words, a certain kind of debris group with a wear particles with the same depositing parameters ü size,
certain debris group characteristic does reflect that the machine material, position in oil layer, horizontal velocity and suchlike
is on a certain wear condition. The kind of wear condition can ühave the same possibility to deposit. On the ferrogram made
be determined once the debris group characteristic is identified. by ferrographic instrument with rotary magnetic head, all spots

362
 The Theory of Debris Group in Ferrographic Analysis
with the same distance to rotary center form an equal possibility
depositing area. Strictly speaking, there is no equal possibility
depositing area on the ferrogram made by analytical
ferrographic instrument, but approximately the spots with the
same distance to the entry can be taken as an equal possibility
depositing area.
Based on the concepts of debris group and equal possibility
depositing area illustrated above, two important properties of
debris group can be obtained.
Property I: All debris groups in the same equal possibility
depositing area of a certain ferrogram can be seen as one debris
group.
Property II: The debris groups on different ferrograms can
be regarded as the same debris group if three factors are fully
satisfied: the ferrograms are made by the same type of
ferrographic instrument; the ferrograms are made with the
same oil sample and ferrogram making processes; and the
debris groups are in the same equal possibility depositing area.
These two important properties of debris group bring us a
lot of convenience in auto-identification of debris and drawing
out parameters of debris group characteristic.
When drawing out the parameters of debris group
characteristic of a certain debris group, all debris categories
included in this debris group must be identified and their
quantified characteristics should be measured. Some debris
categories can be identified by using one microscopic method,
such as optical microscopy, while other debris categories can be
identified by using other microscopic methods, such as SEM
(scanning electron microscopy) and LSCM (laser scanning
confocal microscopy). For example, if a debris group which
includes some debris categories can not be identified by using
only one microscopic method, more than one microscopic
methods must be used to draw out the parameters of debris
group characteristic. It is very difficult or even impossible in
some cases to locate the debris group at exactly the same spot
when shifting from one microscopic method to another.
According to the Property I of debris group, it only needs to
locate the debris group in the same equal possibility depositing
area instead of at exactly the same spot. Although this also
requires technique, it is applicable. In this way, the various
debris categories included in that debris group can be identified
and the parameters of debris group characteristic of that debris
group can be drawn out.
And when analyzing oil sample containing metallic
nonferrous debris, magnetic fluid is used as a magnetization
agent to collect nonferrous debris in a stable depositing ratio.
But in order to avoid changing the deposition ratio of ferrous
debris by magnetic fluid, two ferrograms are needed to make.
One ferrogram (ferrogram A) is made directly without using
magnetic fluid, while the other ferrogram (ferrogram B) is
made by using magnetic fluid to magnetize the nonferrous
debris after ferrous debris have been removed from the oil
sample by a magnet. In this way, the parameters of debris group
characteristic including both ferrous and non-ferrous particles
can be drawn out from the ferrous debris group on ferrogram A
and nonferrous debris group of ferrogram B. According to the
Property II of debris group, as long as the three factors are fully
qualified, these two debris groups can be regarded as one debris
group. The parameters of debris group characteristic drawn out
from these two ferrograms (ferrogram A and B) can be regarded
as coming from one debris group.
HOW TO DETERMINE A PRACTICABLE DEBRIS
GROUP
A debris group is a group of wear debris which embodies the
363
debris group characteristic. Theoretically, only one kind of
debris group can be defined on a given ferrogram. The size of
the debris group has a maximum limit, which includes all the
particles on the ferrogram. In order to reduce the work load of
analyst as far as possible, relatively smaller debris group is
selected in practice. That is to say, a method should be
proposed to determine the minimum size of the debris group.
Once the minimum limit of the size of a debris group has been
determined, any group of wear particles whose size is equal to
or bigger than this minimum limit is also a debris group. They
are all equal in value in application of the theory of debris group.
In following space, a ferrogram made by using rotary
ferrography modeled KTP as shown in Fig. 3 has been used as
an example to illustrate the determination of the minimum limit
of a debris group.
Inner ring
Middle ring
Outer ring
D
Fig. 3 Ferrogram made by using rotary ferrograph
In Fig. 3, a circular sector with central angle D can be
formed by two radiuses from the center of the concentric rings.
When D=2S, the biggest debris group is defined. Since this
circular sector has included every kinds of equal possibility
depositing areas (spot with same distance to the center), a
practical debris group should be a circular sector with 0<D<2S.
It has been discovered in our practice that when the area of
groups of wear particles are equal to or bigger than 105 Pm2 (this
is exactly the area of a visual field under the magnifying power
of 400× of a ferrographic microscope), the parameters of debris
group characteristic drawn out of these groups of wear particles
tend to be stable. According to the property II of debris group,
any visual field with magnifying power less than 400× can also
fully represent the area with equal depositing possibility on
which it located. Forming one visual field on every spot of
equal possibility depositing area, three families of visual field
will be obtained. A debris group is thus defined by three
envelopes of these three families of visual fields. This debris
group is composed of countless visual fields, although
theoretically it is exactly the smallest debris group. The envelope
of the visual field family on one ring is illustrated in Fig. 4.
Radius
Debris
deposition
ring
Family of
visual field
Fig. 4 The envelope of visual fields family on one ring
In actual practice, two simplifications can be made to decrease
visual fields needed for observing.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
(1) As shown in Fig. 4, there are many overlapping parts in
the adjacent visual fields of the family of visual field on every
deposition ring, which introduces a lot of repeated analysis
work. To avoid the repetitious work, the visual fields can be
selected one by one to form a rectangle area as illustrated in Fig.
5 (four visual fields form a rectangle area in one deposition
ring). Thus, the total number of visual fields to define a debris
group is decreased to twelve, with every ring having four visual
fields.
Radius
Debris
deposition
ring Visual field
Rectangle area
Fig. 5 The definition of a debris group
(2) It has been found that the middle deposition ring almost
has no value in conducting condition monitoring and fault
diagnosis. All information obtained from middle ring can also
be obtained from the outer edge of inner deposition ring and the
inner edge of outer deposition ring. So, the four visual fields
form a rectangle area in middle deposition ring can be rejected.
Now, through above simplifications the smallest debris
group is defined by eight visual fields from inner and outer
deposition ring. This is the standard size of a practicable debris
group. The debris group defined by the wear debris in these
eight visual fields is named as Standard Debris Group. The
standard debris group can be further simplified in routine
condition monitoring as follows:
(1) It has been found that the outer deposition ring gives
useful information only when special wear types occurred, such
as corrosive wear. Such information can also be obtained from
inner deposition ring although it is not as obvious and accurate
as that of outer deposition ring. It is no use to conduct debris
group analysis including the outer ring every time because these
special cases do not often occur after all. The debris group
analysis of outer deposition ring is necessary only when there
are some reflections of these kinds of wear in inner deposition
ring.
(2) It is well known that the most important thing in
conducting wear condition monitoring and fault diagnosis is the
continued sampling of wear systems and comparing. When a
system is operating normally, the generated amount of rubbing
wear debris is fairly constant. When the system enters into an
abnormal wear mode the quantity and size of wear debris
increasing noticeably. In general, the wear system remains on
normal wear condition for a long period of time, and the debris
group characteristics of the samples obtained in this period are
almost unchanged during that time. There is no need to conduct
debris group analysis of the whole debris group for those
normal samples. It is recommended that the debris group in
routine condition monitoring after the running-in finished is
defined by 1~2 visual fields, and one of them must be located at
the spot where the biggest depositing ratio occurs (namely the
innermost edge of the inner deposition ring) to ensure
representativeness. These 1~2 visual fields defined an
incomplete debris group are called Simplified Debris Group.
The debris group analysis of whole debris group is necessary
only when abnormal information is obtained from the simplified
364
debris group.
The simplified debris group is mostly used in routine wear
condition monitoring. It has been proved in practice that the
accuracy of wear condition monitoring is not reduced while the
efficiency is increased greatly through above simplifications.
THE METHOD OF DEBRIS GROUP ANALYSIS
The method of debris group analysis is a newly developed
method to conduct quantified qualitative ferrographic analysis.
Based on the theory of debris group, it can be seen as a
comprehensive application of the theory of debris group. The
procedure to conduct this method can be divided into the
following three steps:
(1) Determine the suitable size of debris group. In this step,
it is recommended that in routine wear condition monitoring the
simplified debris group should be defined and in other cases the
debris group should be defined by the standard size. The
magnifying power of the ferrographic microscope should be
also taken into account to determine the suitable size of debris
group. In general, the magnifying power of 400× or 300× is
preferred during wear particles observing.
(2) Constitute the parameters of debris group characteristic
according to the demands of ferrographic analysis. In this step,
several parameters of debris group should be constituted and
these parameters of debris group should meet the following
demands:
ÚSince the parameters of debris group characteristic are
quantified parameters used to express the debris group
characteristic, they should be constituted by measurable
physical factors of wear debris such as shape, size, color, and
optical density etc.
ÚThe debris group can be determined by the parameters
together or solely, and thereby distinguish one debris group
from others. This is to say, the debris group expressed by these
parameters of debris group characteristic which corresponds to
a certain wear condition, will not be confused with other debris
groups which correspond to other wear conditions. With this
restriction, it is ensured that one kind of debris group
corresponds to just one kind of wear condition.
ÚSince the debris groups can have various sizes, to ensure
the constituted parameters of debris group characteristic can be
used in all debris groups, they must be normalized to relative
parameters, such as percentage. This will also bring us great
convenience to popularize the results or make comparisons.
The debris group can be objectively regarded as a group of
debris organized in certain pattern. Drawing out the parameters
of debris group characteristic can be seen as to analyze the
individual characteristics of all debris included in the debris
group and then synthesize them to get overall results. The
mathematical tools applied in this process should have the
functions not only to analyze the individual characteristics with
an acceptable reliability, but also to synthesize the overall
results from individual characteristics. The Mathematical
Statistics seems qualified to solve this problem. Furthermore,
since there are many uncontrollable factors which will bring
about random error in our analysis process, it will be an
important part in our analysis to effectively control the random
errors. The theory and method of random error analysis in
Mathematical Statistics provide us with useful means to
improve our constituting and drawing out of parameters of
debris group characteristic.
(3) Select suitable mathematical tools to establish the
relationship between the parameters of debris group
characteristic and the wear condition. In the process to conduct
machine condition monitoring by using ferrography, there are
 The Theory of Debris Group in Ferrographic Analysis

many fuzzy characteristics, such as the wear condition which is fuzzy decision-making in Fuzzy Mathematics can be employed
usually marked as “normal”, “caution” and “danger”; and the to conduct wear condition monitoring and fault diagnosis.
number of debris which is usually measured as “dense”, “much”,
“less” and “little” etc.. The most important is that the change of ACKNOWLEDGEMENTS
wear condition is a gradual process with obvious intermediary
This project is supported by the National Natural Science
characteristics, and it is also a process with outstanding fuzzy
Foundation of China (No. 50802111) and part by Natural
characteristics. To solve this problem with fuzzy factors and
Science Foundation of Jiangsu Province of China (No.
intermediary characteristics, the method of Fuzzy Mathematics
BK2008130).
seems to be suitable. It has been proved in our practice that the
methods of fuzzy decision-making and opinion concentration in
Fuzzy Mathematics give us powerful means to conduct wear REFERENCES
condition monitoring and fault diagnosis [11]. [1] Roylance B. J., Hunt T. M., 1999, The Wear Debris
Analysis Handbook, Coxmoor Publishing Company,
CONCLUSIONS Oxford, UK.
[2] Roylance, B. J., 2005, “Ferrography—Then and now,”
(1) Wear debris is a strong indicator of tribological
Tribology International, 38, 10, pp.857-862.
interactions under which it was formed. Careful examination
[3] Macian V., Payri R., and Tormos B. etc al., 2006,
of quantity, size, composition, and morphology of wear debris
“Applying analytical ferrography as a technique to detect
can yield specific information about the conditions of the wear
failures in Diesel engine fuel injection systems,” Wear,
system. The wear condition of machines should be determined
260, pp.562-566.
by studying all the debris as a whole rather than focusing on
[4] Prabhakaran A., Jagga C. R., 1999, “Condition monitoring
debris individually.
of steam turbine-generator through contamination analysis
(2) The debris group is a group of wear particles organized after
of used lubricating oil,” Tribology International, 32, 3,
a certain pattern. The theory of debris group has established a
pp.145-152.
completely new ideology of quantified qualitative ferrographic
[5] Akagaki T., Kato K., 1992, “Ferrographic analysis of
analysis. The debris group plays a bridge between wear particles
failure process in a full-scale journal bearing,” Wear, 152,
and wear condition of wear system. With the aid of this bridge,
2, pp.241-252.
it is no longer a so hard work for us to find out the relationship
[6] Cho, U., Tichy, J. A., 2000, “Quantitative correlation of
between wear particles and wear condition. The method of
wear debris morphology: Grouping and classification,”
debris group analysis derived from this theory has been proved
Tribology International, 33, 7, pp.461-467.
a useful method to conduct quantified qualitative ferrographic
[7] Stachowiak G. W., Podsiadlo P., 2006, “Towards the
analysis in actual practice. The properties of debris group have
development of an automated wear particle classification
greatly expanded the application range of quantified qualitative
system,” Tribology International, 39, pp.1615-1623.
ferrographic analysis. The simplified debris group is mostly
[8] Myshkin N. K., Kwon O. K., Grigoriev A.Y. et al., 1997,
used in routine wear condition monitoring. The debris group
“Classification of wear debris using a neural network,”
analysis of whole debris group is necessary only when abnormal
Wear, 203-204, pp.658-662.
information is obtained from the simplified debris group. It has
[9] Roylance B. J., Albidewi I. A., Price A. L. et al., 1992,
been proved in practice that the accuracy of wear condition
“The development of a computer-aided systematic particle
monitoring is not reduced while the efficiency is increased
analysis procedure—CASPA,” Lubrication Engineering,
greatly through above simplifications.
48, pp.940-946.
(3) The procedure of debris group analysis including: determine
[10] Podsiadlo P., Stachowiak G. W., 2005, “Development of
the suitable size of debris group; constitute the parameters of
advanced quantitative analysis methods for wear particle
debris group characteristic according to the demands of
characterization and classification to aid tribological
ferrographic analysis; select suitable mathematical tools to
system diagnosis”. Tribology International, 38,
establish the relationship between the parameters of debris
pp.887-897.
group characteristic and wear condition. Mathematical
[11] Jian C., Zhiyi Y., 1998, “Fuzzy synthetic decision-making
Statistics provide us useful means to draw out the parameters of
system in ferrographic analysis,” Wear, 222, pp.1-20.
debris group characteristic And as the change of wear
condition in a machine is a gradual process, the methods of

365
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

A Method to Monitor Nonferrous Debris in Ferrographic Analysis

Liu Tonggang*, Liu Shujin, Yang Zhiyi
College of Mechanical and Electrical Engineering, China University of Mining and Technology, Xuzhou, Jiangsu
221008, China

(Extended Abstract)
ABSTRACT
The method of employing magnetic fluids as a 2 EXPERIMENTAL PROCEDURE
magnetization agent to collect nonferrous wear debris in
ferrography has been attempted. The magnetic fluid constituted 2.1 THE PREPARATION OF MAGNETIC FLUID
Fe3O4 magnetic particles has been prepared using a
precipitation reaction. Tetrachloroethylene is used as a carrier Magnetic fluid is a stable colloidal solution of subdomain
liquid which is convenient for mixing with lubricating oil. magnetic particles approximately 10 nm in size coated with a
Oleic acid is used as a surfactant which enables magnetic stabilizing surfactant or dispersing reagent which is then
particles to adhere to the surface of nonferrous wear debris. dispersed into carrier liquid[3]. Such solutions having both fluid
Then the nonferrous wear debris was magnetized and and magnetic properties have lead to numerous industrial
deposited on ferrogram with stable depositing ratio. With the applications[4]. The magnetite was used as the magnetic
help of magnetic fluids, the ferrographic analyst would achieve particle of the magnetic fluid in this experiment, it was
the operating condition of the machine more accurately. prepared using the usual precipitation reaction that occurs upon
Keywords: ferrography, nonferrous debris, magnetic fluid, mixing FeCl2 and FeCl3 in an alkaline medium(sodium
magnetization hydroxide). The chemical formula for the action is
Fe2++2Fe3++8OH–ψFe3O4+4H2O. Surfactant Oleic acid was
1 INTRODUCTION
used to prevent magnetite particle from coagulation. Being
The ferrography technology is a valuable method used to dried, the magnetite was dispersed into carrier liquid
determine both the quantity and quality of wear debris Tetrachloroethylene and the magnetic fluid was synthesized.
contained in lubricating media[1]. Since ferrography is a kind of
oil analysis technology which separates wear debris from a
lubricant by magnetic force, due to the magnetic field, the 2.2 WEAR TEST AND FERROGRAPHIC ANALYSIS
ferrous debris align themselves in chains along the length of
The procedure of wear test and ferrographic analysis
the slide with the largest particles being deposited at the entry
experiments is shown in Fig. 1. Lubricated and room
point in analysis ferrograph (for rotary ferrograph, the center of
temperature wear tests of copper block on steel ring are
the ferrogram is taken as the entry point, the outer edge of the
performed to generate wear debris on MM200 wear test
ferrogram is taken as the exit point)[2]. Nonferrous debris,
machine, the used oil is collected to harvest wear debris for the
unaffected by the magnetic field, are randomly deposited on
ferrographic analysis. The wear debris contained in the oil
the ferrogram either by the pull of their gravity for some large
sample were deposited on ferrograms using rotary ferrograph
debris or by the weak magnetism for the debris embedded with
instrument modeled KTP. After debris deposition, each slide
small ferrous particles. If nonferrous debris can’t be deposited
was washed with acetone to remove excess oil and hold debris
or deposited on ferrogram randomly, it will be difficult for
in position. In this process, ferrogram A was made without
analysts to find them and conduct reasonable analysis. In order
using magnetic fluid while ferrogram B was made using
to collect wear debris of nonferrous metal material more
magnetic fluid. The ferrograms were later examined using
effectively and deposit them on ferrogram in stable depositing
optical microscope with bichromatic light. Then their images
ratio, these nonferrous debris must be made magnetic. In this
are captured by a high resolution CCD camera and transferred
work, the method of employing magnetic fluids as a
to a computer for image processing and analysis.
magnetization agent has been attempted.

Fig. 1 The procedure of wear test and ferrographic analysis experiments

*Correspondeing author. Tel.: +86-516-83884696; E-mail:
nano@cumt.edu.cn.
366
 A Method to Monitor Nonferrous Debris in Ferrographic Analysis
3 RESULT AND DISCUSSION
3.1 CHARACTERATION OF THE MAGNETIC FLUID
The Fe3O4 particles has been characterized by TEM, the
result shows that most of the particles were spherical in
average particle size of about 10 nm. And the magnetization
curve (M vs. H) of the nanoparticles was made at room
temperature using vibrating sample magnetometer. The curve
shows a lack of hysteresis, characteristic of superparamagnetic
materials.
3.2 DEPOSITION OF NONFERROUS WERA DEBRIS
The wear debris on Ferrogram A which was made without
magnetic fluid were shown in Fig. 2. Because all the debris
were steel debris and smaller than 10μm which is below the
abnormal size 15μm[12], it was deduced that the wear couple
were working at normal condition. However, considering that
the copper block is much softer than steel ring, there may be
some copper debris in the lubricating oil. Then the magnetic
fluid was added into the oil sample and ferrogram B was made.
As shown in Fig. 3, a lot of wear debris larger than 15μm were
found on the ferrogram. These debris are in yellow and red
color of copper, they are not in chains as regular as that of steel
debris although they have been magnetized by magnetic fluid.
From the characteristics of the debris on this ferrogram, the
copper block was obviously in sever wear condition. Without
the application of magnetic fluid, the real operating condition
of these sliding bearings could not be achieved.
Fig. 2 Image of Ferrogram A without using magnetic fluid
Fig. 3 Image of ferrogram B using magnetic fluid
3.3 MAGNETIZATION MACHNISM OF NONFERROUS
WEAR DEBRIS BY MAGNETIC FLUID
With the help of surfactant, the magnetic particle in
magnetic fluid can adhere to the surface of the nonferrous
367
metal debris, then the nonferrous debris would be coated with
a nanometer layer of magnetic particle (shown in Fig. 4) and
become ferrous. As known, the size of wear debris collected by
ferrography is about 1̅100μm which is 103 times of that of the
magnetic particle, and the difference in their volumes or
weights is even more. Furthermore, the magnetic particles in
order of nanometer on the wear debris can hardly been seen
under ferrographic microscope if proper amount is used. So the
characteristics of the nonferrous metal debris would not be
influenced remarkably. And then the real operating condition
of the wear system would be achieved.
Fig. 4 Model of magnetic particles on nonferrous debris
4 CONCLUSIONS
New kind of magnetic fluid constituted of Fe3O4 magnetic
particles has been prepared using a precipitation reaction.
Nonferrous wear debris in oil sample to be analyzed by
ferrography can be magnetized by them and deposited on the
ferrogram by magnetic field force.
Copper debris has been chosen as an example of nonferrous
debris to illustrate the magnetization effect of the magnetic
fluid. In general, different kinds of nonferrous debris need
different magnetic fluids. Surfactant plays an important role in
this research. The size of the wear debris collected by
ferrographic instrument was much larger than that of magnetic
particles adhered to their surface. So the characteristics of the
nonferrous metal debris would not be influenced remarkably
under microscope. With the help of the magnetic fluid, the
ferrographic analyst would achieve the operating condition of
the machine more accurately.
REFERENCES
[1] Cheng Jian, Yang Zhiyi, 1998, “Fuzzy synthetic
decision-making system in ferrographic analysis”, Wear,
222, pp.1-20.
[2] Anderson DW,1982, “Wear particle atlas (revised)”. Naval
Air Eng. Center Report, No. NAEC-92-163.
[3] Liu Tonggang, Yang Zhiyi, 2007, “Investigation on
synthesis of magnetic fluids containing carbon-coated iron
nanoparticles”, Proceedings of MNC2007, pp. 977-980.
[4] Berkovsky, B.M., Medvedev V.F., Krakov, M. S., 1993,
Magnetic Fluids Engineering Applications, Oxford
University Press, Oxford.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Interaction between Micro-Particales and Bubbles in Cavitation-Erosion of Hydro-Machinery
Wang Jiadao*, Chen Haosheng, Xu Yanji, Qin Li, Li Yongjian, Chen Darong
State Key Laboratory of Tribology, Tsinghua University, Beijing 100084, P. R. China
Extended Abstract
The cavitation-erosion is induced by the collapse of bubbles
in the water. In the cavitation-erosion of hydro-machinery, it is
generally accepted that the collapse of bubbles in water is
attributed to the sharp rise of the pressure induced by the
fluctuation of the fluid. However, it is proposed in this research
that the collapse of bubbles is attributed to the interaction
between micro-particles and bubbles in fluid. The cavitation
-erosion experiments conducted in a rotating-disc flow shows
that the most of micro-particles suspended in the water were
damaged by the collapse of bubbles after cavitation-erosion,
and played indispensable roles to induce the collapse of
bubbles in the fluid. In the experiments, damage of the micro
particles was evaluated by a transimission electron microscope
(TEM) and the collapse of bubbles was estimated by the
erosion pits on the solid surface.
Keywords: collapse of bubbles, cavitation-erosion, particles.
1 Introduction
Cavitational activity in close proximity to solid boundaries
is known to lead to material damage, which called as cavitation
-erosion. Cavitation-erosion is the main cause of damages in
hydraulic machinery, such as the water-turbine generator sets,
the marine propellers, and so on. The generation of
cavitation-erosion involves bubbles or cavities generation,
collapse of bubbles and material damage induced by the
micro-jets and shockwaves [1-4]. Cavitation-erosion can be
induced by an acoustic field and a fluid flow field. However,
they are different in the mechanism on generation of cavities
and collapse of bubbles. In fluid field, when a volume of liquid
is subjected to a sufficiently low pressure it may rupture and
form a cavity with a relatively low gas pressure. Such a low
pressure cavitation bubble in a liquid will begin to collapse due
to the higher pressure of the surrounding medium. [1-2] In
acoustic field, microscopic gas bubbles which are present in a
liquid will be forced to oscillate due to an applied acoustic
field. If the acoustic intensity is sufficiently high, the bubbles
will first grow in size, and then rapidly collapse. Because the
acoustic cavitation is more controllable, it has been applied to
investigate phenomena in cavitation, and the total process of
cavitation in acoustic field has been observed and proved by
experiments. [3-4] However, there is no experiment which
directly proves the above process of the cavitation in a fluid
flow field.
In order for cavitation inception to occur, the cavitation
"bubbles" generally need a surface on which they can nucleate.
This surface can be provided by impurities in the liquid or by
small undissolved microbubble within the liquid. [5-8] In our
study, the cavitation in a flow field has been investigated. The
investigation focused on the interaction between micro
-particles and bubbles in the cavitation.
2 Experiment
The purpose of the experiments was to find out the interation
between the micro-particles and bubbles in the cavitation-
erosion of hydro-machinery. In the experiement, a typical
rotating-disk testing machine was employed. The material of
the samples used in the experiments was Q235 steel without
heat treatment. The surface of the sample had been grinded and
the average roughness was 0.7-0.8 μm. The size of each
*email: jdwang@tsinghua.edu.cn
368
sample was 40 mm× 30 mm×6 mm. The diameter of the
rotating-disk was 300 mm. 4 samples were fixed on the
rotating-disk and they were equispaced. In order to produce
enough bubbles in close proximity to sample surface, the
height of the samples was 1 mm out of the disk surface. The
rotating speed of the disk was 2800 r/min in the experiments
and consequently the central velocity of the samples was 30
m/s. The temperature of the water in the experiments was kept
at room temperature by the low temperature circulation water
tank.
3 Experiment result
3.1 Damage of micro-particles induced by bubble collapse.
In order to investigate the action of bubble collapse on micro-
particles during cavitation-erosion, single crystal SiC micro-
particles with diameter between 0.5 and 4 μm were applied and
suspended in the de-ionized water. Microstructure and
composition of SiC particles were analyzed with a high
resolution transimission electron microscope (HRTEM, Philips
TECNAI-20) and an energy dispersive spectrometer (EDS,
EDAX Phoenix) respectively, and the result was shown in Fig.
1. Before the test, almost every particle was a single crystal
with smooth and sharp edges, shown as Fig. 1 a, and it was
well crystallized, shown as Fig. 1 b. After 15 minutes testing in
the experiment, the lattices of about 40% micro-particles were
damaged and a typical microstructure was shown as Fig. 1 d.
The figure clearly shows wavelike contours composing of a
series of ridges and troughs paralleling each other in some
places. An enlarged dislocated area was shown as Fig.1 e.
From the figure, dislocations always agglomerated in the
troughs and happened along the direction of troughs. Each
dislocation corresponded to a distortion area around. Therefore,
from the high density dislocations in the figure, the lattices in
SiC particles were distorted sufficiently after the test. However,
SiC usually is brittle and has poor deformability with few
dislocations. When the bubble collapse appears, the pressure
may be several hundred atmospheres at its point. Therefore,
this experiment result should be attributed the very powerful
attack induced by the bubble collapse for a short duration.
Composition analysis of SiC before and after the test also
had been done by EDS, as shown in Fig. 1 c and f respectively.
Compared with the spectrum of the particle before the test,
there was an oxygen peak after the test, showing the particle
was oxygenated. The atoms might enter into the greatly
distorted lattice of SiC or exist in some silicon oxide
transformed from silicon carbide. But the above two processes
hardly occurred at room temperature because of the quite high
thermodynamic stability of SiC. The previous studies showed
that at the point of total bubble collapse, the temperature of the
kelvin
vapor within the bubble may be several thousand .
Therefore, the oxidation of SiC particles should be induced by
the bubble collapse.
3.2 Effect of micro-particles on bubble collapse. In order to
study the effect of the particles on the bubble collapse,
de-ionized water added with particles was used in the
experiments. Cavitation-erosion on the disk surface was
applied to evaluate the bubble collapse. The particles were
made of CeO2 with different nominal diameter, such as 1.2 μm
and 1.8 μm. Some pictures of the particles observed by SEM
are shown in Figure 2. The concentration of the particles was 1
 Interaction between Micro-Particales and Bubbles in Cavitation-Erosion of Hydro-Machinery

kg/m3. The running time is 10 min respectively. The
experiment results show that the micro-particles had
remarkable effect on the generation of the erosion pits, shown
as Fig. 2 (b) and (c). However, there was no erosion pits on the
disk when only de-ionized water was employed, shown as Fig.
2 (a). This result is generally attributed to more bubbles
a b
induced by the micro-particles in the water. To valudate this
idea, bubbles were introduced directly below the disk in the
de-ionized water. The result showed there was no erosion on
the disk yet. Therefore, the above concept should be doubted.
A reasonable explanation may be that the micro-particles were
a key role to induce the bubble collapse.
c

5nm 0.00 2.00 4.00 6.00 8.00

d e f

5nm 2nm 0.00 2.00 4.00 6.00 8.00

Fig. 1 TEM and EDS images of SiC particles. (a-c) Morphology, lattice image, and EDS analysis of the SiC particle before the test. (d) Lattice image
of the SiC particle after the test. (e) Enlargement of the boxed area in Fig. 1 d. (f) EDS analysis of the wavelike contours in Fig. 1 d

a b c

Fig. 2 Cavitation-erosion results on the disk surfaces in (a) de-ionized water, (b) de-ionized water suspended 1.2 μm particles and (c) de-ionized water
suspended 1.8 μm particles

4 Conclusion Emissions During Acoustic Cavitation”, Science, 295,

According to the experimental results, some conclusions can
be drawn as follows: Firstly, micro-particles were powerfully
attacked because of the bubble collapse. This result showed the
micro-particles and the bubbles should be together during the
bubble collapse in the flow filed. Secondly, micro-particles
should be a key role to induce the bubble collapse in the flow
field except introducing bubbles in the interface between the
micro-particle wall and the water.
References
[1] Knapp, R. T., 1970, Cavitation, McGraw Hill, New York.
[2] Bruno, G., Pecha, R., 2000, “Mie scattering from a
sonoluminescing bubble with high spatial and temporal
resolution”, Phys Rev E, 61(5), pp.5253-5256.
[3] Taleyarkhan, R. P., West, C. D., Cho, J. S., Lahey, Jr. R. T.,
Nigmatulin, R. I., Block, R. C., 2002, “Evidence for Nuclear
pp.1868- 1873.
[4] Ohl, C.D., Arora, M., Dijkink, R., Janve, V., Lohse, D.,
2006, “Surface cleaning from laser-induced cavitation
bubbles”, Appl Phys Lett, 89, pp.074102.
[5] Harvey, E. N., McElroy, W. D., Whiteley, A. H., “On cavity
formation in water”, 1947, J Appl Phys, 18, pp.162-172.
[6] Arora, M., Ohl, C. D., Morch, K. A., 2004, “Cavitation
inception on microparticles: A self-propelled particle
accelerator”, Phys Rev Lett, 92, pp.174501.
[7] Jones, S. F., Evans, G. M., Galvin, K. P., 1999, “Bubble
nucleation from gas cavities- a review”, Adv Coll Interf Sci,
80, pp.27-50.
[8] Gniloskurenko, S. V., Raichenko, A. I., Nakamura, T., et al,
2002, “Theory of initial microcavity growth in a liquid metal
around a gas-releasing particle. II bubble initiation
conditions and growth kinetics”, Powder Met Met Cer,
41(1-2), pp.90-9.

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Magnetization of Friction Surfaces and Wear Particles under Tribological Processes

Alan Hase, Hiroshi Mishina

Chiba University, 1-33, Yayoi-ch, Inage-ku, Chiba-shi, Chiba 263-8522, Japan

Extended Abstract

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Magnetization of Friction Surfaces and Wear Particles under Tribological Processes

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Wear Progress Prediction of Carbide Tool in Turning of AISI1045 by Using FEM
*
Xie L.-J. 1 , Schmidt C. 2, Biesinger F. 3, Schmidt J. 2, Pang S.-Q. 1
1
School of Mechanical and Vehicular Engineering, Beijing Institute of Technology, Beijing, 100081, China
2
Institut für Produktionstechnik (wbk), Universität Karlsruhe(TH), Germany
3
Institut für Werkstoffkunde I, Universität Karlsruhe(TH), Germany
ABSTRACT
FEM is a powerful tool for predicting cutting process
variables, which are difficult to obtain with experimental
methods. In this paper modeling techniques on continuous chip
formation using the commercial FEM code ABAQUS are
discussed. A combination of three chip formation analysis steps
including initial chip formation, chip growth and steady-state
chip formation is used to simulate the continuous chip
formation process. Furthermore, after introducing a heat
transfer analysis, temperature distribution of the cutting insert at
steady state is obtained. In this way, cutting process variables
e.g. contact pressure (normal stress) at tool/chip and tool/work
interface, relative sliding velocity and cutting temperature
distribution at steady state are predicted. Many researches show
that tool wear rate is dependent on these cutting process
variables and their relationship is described by some wear rate
models. By implementing a Python-based tool wear estimate
program, that launches chip formation and heat transfer analysis,
reads predicted cutting process variables, calculates tool wear
based on wear rate model and then updates tool geometry, tool
wear progress in turning operation is estimated. In addition, the
predicted crater wear and flank wear are verified with
experimental results.
Keywords: Tool wear, FEM, Turning operation, Chip formation,
Orthogonal cutting
INTRODUCTION
Tool wear is very important in cutting process because it
affects machining quality, tool life and machining cost. At
present, tool wear is mainly investigated using experimental
methods. Tool wear tests are extremely tedious and consume a
considerable amount of work and tool materials although new
testing is designed to speed up the experiment such as rapid
wear testing. With the development of more and more
powerful computers and numerical techniques, numerical
methods such as Artificial Intelligence (AI), Finite Difference
Method (FDM) and Finite Element Method (FEM) are applied
to study phenomena in metal machining, such as cutting force,
temperature, and even progressive tool wear. FDM and FEM
provide the possibility of predicting the progress of tool wear
profile. Earlier progressive tool wear estimation with
numerical methods dates back to 1978, when E. Usui et al
predicted crater wear with FDM method, using wear model
deduced from adhesive wear [1]. Later Maekawa et al
predicted flank wear successfully with this wear model [2].
And only recently, FEM was used to predict progressive tool
wear by Y. C. Yen and J. Söhner et al [3]. It is expected that in
Usui’s wear model, which is based on one or several wear
mechanisms and describe the relationship between wear rate
and cutting process variables such as normal pressure,
temperature, and relative sliding velocity on tool face. This
type of wear model is applicable for the implementation of tool
wear estimation with numerical methods.
In this paper, the FEM code ABAQUS is used as the FEM
calculation tool for chip formation and heat transfer analysis.
Main program and subroutines of Tool wear calculation are
developed with the object-oriented programming language
---Python [4]. The developed program is used to estimate tool
wear under the cutting condition listed in Table 1.
Table 1 Cutting condition
Cutting type Orthogonal cutting, turning operation,
dry cutting
Work material Mild carbon steel AISI1045
Tool material Uncoated carbide WC-Co
Tool geometry Jo=-7q, Do=7q, rH=0.0245mm
Cutting parameters vc=300m/min, ap=2mm, f=0.145mm/r
1 MODELING PROCEDURE
Tool wear estimation is performed by a tool wear
calculation program that automatically calculates cycle by cycle
until a tool reshape criterion VBmax is reached. In each
calculation cycle, chip formation and heat transfer analysis jobs
are submitted to simulate the steady-state cutting process and
obtain the necessary cutting process variable for the calculation
of nodal wear rate. Then nodal wear rate is calculated using the
wear mathematical model. An optimum cutting time increment
is searched by program according to a user-specified VB
increment value and the calculated nodal wear rate. Next nodal
displacement due to wear in the cutting time increment is
calculated at every tool face node, and tool geometry is updated
according to the calculated nodal displacement. If the produced
flank wear VB is smaller than VBmax, a second tool wear
calculation cycle starts with the updated tool geometry.
1.1 CONTINUOUS CHIP FORMATION SIMULATION
Material Model A thermal elastic-viscoplastic material
constructive model developed by O. Vöringer [5] is used in the
following study, which is described by Eq. 1.
m
§ §T · · n

the future FEM will become an effective tool for the tool wear V T , H  V 0 ¨¨1  ¨¨ ¸¸ ¸¸ (1)
study and partly take the place of experimental methods. © T ¹ ¹
© 0
The realization of tool wear estimation with FDM or FEM is 'G0
based on wear mathematical models. Except for with T 0 , where m=1.78, n=0.53, 'G0 0.58ev ,
H
semi-empirical tool wear models such as Taylor’s tool life kIn ( pl0 )
equation, there are other types of wear models, such as E. H
H0 7.29 u 105 s 1 , and V 0 1352 MPa . k is Boltzmann
*email: rita_xie2004@163.com

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 Wear Progress Prediction of Carbide Tool in Turning of AISI1045 by Using FEM

constant, T is temperature in Kelvin and V is the yield stress in Hole surface

MPa.
Chip Separation Chip separation modelling is one of the main Bottom face
problems in chip formation analysis. It is considered in two Rake face
aspects: chip separation criterion and model realization. Chip A
separation criterions can be categorized into geometrical and
physical ones. Geometrical criterion defines a critical distance.
Physical criterion is based on some physical parameters such as A
Flank face Bottom face Flank face
stress, strain energy density or plastic strain. Model realization
has several methods such as element removal, nodes splitting, (a) The real tool geometry, the (b) The mesh of the tool
nodes de-bond and mesh adaptability. Because continuous chip circled part is the part of the
formation is considered in this paper, chip separation is realized edge engaged in the cutting
using Arbitrary Lagrangian Eulerian (ALE) technique supplied
by ABAQUS/Explicit. Its main advantages include: chip
separation is formed automatically by solution-dependent
meshing process; no chip separation criterion needs to be
specified arbitrary or according to experiments.
Analysis Steps The entire continuous chip formation modelling
includes three analysis steps: initial chip formation, chip growth,
and steady-state chip formation. The first two analysis steps
supply steady chip geometry for the steady-state chip formation
analysis step. In the first two steps, chip formation is modeled as (c) Temperature field at t=0s (d) Temperature field at t=2.2s
a Lagrangian problem with Lagrangian workpiece top surface
tracing the development of chip geometry. In the third step, chip Fig.2 Heat transfer analysis
formation is simulated as an Eulerian problem, in which
steady-state is studied by the flow of material through the mesh. 1.3 WEAR CALCULATION
During all the chip formation steps, coupled thermo-stress
Wear Rate Calculation At conventional cutting speed, it is
analysis is performed [6]. Fig.1 shows the development of chip
assumed that flank wear and crater wear are dominated by two
formation in the three steps.
main wear mechanisms: adhesive and abrasive wear. Because E.
Usui’s wear model, given by Eq.2, is derived from adhesive
wear and applicable to describe abrasive wear as well, it is used
to calculate nodal wear rate.
Concave surface
designed on the
w CvsV f exp(O T ) (2)
where w is wear rate in mm/s, i.e. the wear volume per unit
workpiece geometry

area and unit time; vs is the relative sliding velocity of the

(a) Initial geometry and mesh
(b) Initial chip formation
analysis, t= 0.18ms
workpiece material on the tool face and the unit is mm/s; V f is
the normal stress in MPa, T the absolute temperature, their
values at steady state are obtained from the chip formation and
heat transfer analysis; C and O are constants, their value for
the combination of carbon steel and carbide P20 are given in
Table 2.

Table 2 Characteristic constants for carbon steels [9]

(c) Chip growth analysis, t= (d) Steady-state analysis,
0.09ms t=1ms
Fig. 1 Chip formation analysis[7]
1.2 HEAT TRANSFER ANALYSIS
It is found that temperature of the tool is still climbing when
the tool temperature at tool-chip and tool-workpiece interface
approaches steady state. Heat transfer analysis [8] is performed
for the tool to reduce the calculation time of thermal steady-state
analysis. As shown in Fig. 2, the tool used in this analysis is
At
extended to include the part, which is surrounded by the rake
face, flank face, bottom face, and the central hole’s surface. The
tool used in the former chip formation analysis steps is only the
highlighted part. Initial temperature and heat flux data are
imported from the former chip formation analysis. After 2.2s
cutting, the whole tool reaches a steady temperature
distribution.
C [m2/MN] O [K]
Tt1150K T<1150K Tt1150K T<1150K
1.198u10-2 7. 8u10-9 2.195u104 5.302u103
Nodal Moving Direction Tool wear expression in geometry
is realized by moving tool face nodes inwards the tool body.
Nodal moving direction is calculated at every tool face node
using different methods. On rake face, nodes are moved in the
average normal direction of its two adjacent element faces. On
flank face, nodes are moved perpendicular to the direction of
cutting velocity. Moving direction of the tool edge node is
modified along rake face when it is pointed out of the tool.
last nodal moving direction is normalized to unit vector D .
Cutting Time Increment Calculation Cutting time increment
't means the duration of cutting time between two successive
tool wear measurements. The suitable value is searched by
program according to a user-specified flank wear land width
increment value 'VB, in which the produced flank wear
increment is within the range of 'VB r permitted error.

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Nodal Displacement Calculation Nodal displacement is 0.2 0.1

calculated at every tool face node by Eq. 3,

Flank wear width VB [mm]

Crater wear depth [mm]

0.08
wi , j w i , j ˜ 't j ˜ Di , j (3) 0.15

0.06
where w is the displacement vector of the tool face node due 0.1
to wear, i the nodal label, j the calculation cycle number. In 0.04

addition, some nodes on flank face have to be moved in order to 0.05

avoid forming bulge on flank face.
Tool Geometry Updating The purpose of tool geometry
updating is to visualize the wear shape of the tool and prepare
tool geometry for the next tool wear calculation cycle. It is
performed by two steps, as shown in Fig 3. In the first step,
every tool face node is moved according to the calculated nodal
displacement; the mesh inside the tool is remeshed with
Laplacian smoothing method. The second step smoothens
zigzags of the crater wear profile and coarsens the mesh near the
cutting edge because very fine mesh in this area may result in
negative element areas when tool geometry is updated further in
the next calculation cycle due to additional produced tool wear.
(a) At the beginning (b) At the end of step (c) At the end of
of step 1
1 step 2
Fig. 3 Changes of the mesh during tool updating steps
2 RESULTS AND DISCUSSION
With this tool wear estimate program, tool wear under the
cutting condition described in Table 1 is calculated. Tool
reshape criterion is 0.15mm, and 'VB 0.05mm is specified
by user, permitted error is set to 0.02mm. The tool wear estimate
process is accomplished with four calculation cycles. Both
crater wear and flank wear are formed according to the
calculation, and Fig. 4(a) shows the development of tool
geometry after every calculation cycle. In Fig. 4(b) & 4(c), the
estimated flank wear and crater wear are smaller than
experimental ones [10]. In experiment, after 20s of cutting, the
flank wear has exceeded 0.15mm and crater wear 0.06mm, but
after 187s, the estimated flank wear just arrives at 0.14mm and
crater wear 0.08mm. The discrepancy may result from the wear
mathematical model and predicted variables from chip
formation and heat transfer analysis.
t=0s t=5s t=46s t=187s
(a) Wear profile
0.02
Measured
Estimated
Measured
Estimated
0 0
0 50 100 150 200 0 50 100 150 200
t [s] t [s]
(c) Crater wear
(b) Flank wear
Fig. 4 Tool wear progress
3 SUMMARIES AND CONCLUSION
This paper makes an interesting study on integrating
ABAQUS/Explicit and ABAQUS/Standard with Python
user-program to estimate qualitatively 2-D tool wear in
orthogonal cutting of turning operation. The main achievements
in this study are:
(1) A complete modeling of chip formation from initial chip
formation, chip growth to steady-state chip formation is
developed to perform continuous chip formation analysis by
making use of the ALE technology supplied by
ABAQUS/Explicit. It can be used to simulate the cutting
process with blunted and worn cutting tools.
(2) After the mechanical steady state is reached, the further
cutting process is analyzed by pure heat transfer analysis of the
tool. This treatment sharply reduces the calculation time for
realizing the thermal steady state.
(3) In order to fulfill the purpose of tool wear study,
multi-programming tools including commercial FE code
ABAQUS/Explicit, ABAQUS/Standard, Fortran and Python
are employed and integrated. This lays a ground for the study on
more complex problems and extends of functionality of FEM in
the future.
ACKNOWLEDGEMENTS
The authors would like to thank the National Natural
Science Foundation of China (No. NSFC 50505003) and the
Deutsche Forschungsgemeinschaft (DFG) for the financial
support.
REFERENCES
[1] Usui, E., Shirakashi, T. and Kitagawa, T., 1978, “Analytical
prediction of three dimensional cutting process, part 3:
cutting temperature and crater wear of carbide tool”, Journal
of Engineering for Industry, 100 (5), pp.236-243.
[2] Kitagawa, T., Maekawa, M., Shirakashi, T. and Usui, E.,
1989, “Analytical prediction of flank wear of carbide tools
in turning plain carbon steels, part 2: prediction of flank
wear”, Bull. Japan Soc. of Prec. Engg, 23 (2), pp.126-133.
[3] Yen, Y. C., Söhner, J., Weule, H., Schmidt, J. and Altan, T.,
2002, “Estimation of tool wear of carbide tool in orthogonal
cutting using FEM simulation”, Proceedings of the 5th
CIRP International Workshop on Modeling of Machining
Operations, pp.149-160.

374
 Wear Progress Prediction of Carbide Tool in Turning of AISI1045 by Using FEM
[4] HSK Inc., 2001, ABAQUS Scripting Manual Version 6.2,
U.S.A.
[5] Schulze V, Vöhringer O., 2000, “Influence of alloying
elements on the strain rate and temperature dependence of
the flow stress of steels”, Metallurgical and Materials
Transactions A, 31A.
[6] HSK Inc., 2001, ABAQUS/Explicit User’s Manual Version
6.2, U.S.A.
[7] Xie, L. J., 2003, Estimation of two-dimension tool wear
based on finite element method, Dissertation, Universität
Karlsruhe (TH).
375
[8] HSK Inc., 2001, ABAQUS/Standard User’s Manual Version
6.2, U.S.A.
[9] Kitagawa, T., Maekawa, K., Shirakashi, T. and Usui, E.,
1988, “Analytical prediction of flank wear of carbide tools
in turning plain carbon steels, part 1: characteristic equation
of flank wear”, Bull. Japan Soc. of Prec. Engg, 22 (4),
pp.263-269.
[10] Schmidt, C., 2002, “Development of a FEM-based tool
wear model to estimate tool wear and tool life in metal
cutting”, Diplomarbeit, Universität Karlsruhe (TH).
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Friction and Wear Properties of Fe7Mo6-Based Alloy under the Lubrication of Ethyl-Alcohol

T. Murakami/AIST, Tsukuba, Ibaraki 305-8564, Japan H. Mano/ AIST, Tsukuba, Ibaraki 305-8564, Japan
Y. Hibi/ AIST, Tsukuba, Ibaraki 305-8564, Japan S. Sasaki/Tokyo University of Science, Tokyo 102-0073,
Japan

(Extended Abstract)

ABSTRACT EXPERIMENTAL PROCEDURES

In this study, the friction and wear properties of Fe-Mo The compositions of the disk specimens investigated in this
type alloy disk specimens were investigated against ASTM study were Fe, Fe-42 at% Mo and Mo. The composition of the
52100 steel balls under the lubrication of ethyl-alcohol using a Fe-42at% Mo corresponded to Fe7Mo6 single phase [4]. The Fe
reciprocating Optimol SRV tribometer. It was found that the and Mo disk specimens were prepared by spark plasma
Fe7Mo6-based alloy disk specimens with a composition of sintering Fe (smaller than 8 μm, 99.5% pure) and Mo (0.8 μm
Fe-42at% Mo exhibited more stable and lower friction to 1.7 μm, 99.9% pure) powders, respectively. The Fe-42at%
coefficients than the Fe and Mo disk specimens.In addition, the Mo disk specimens were prepared by mixing the Fe and Mo
friction coefficients of Mo disk specimens rapidly increased powders using a hexane-filled standard ball mill for 18 ks,
1.8 ks after starting their friction tests, while the friction followed by spark plasma sintering of the mixed powder using
coefficients of Mo disk specimens were rapidly reduced 2.4 ks the conditions listed in Table 1 [1]. Figure 2 shows the cross
after starting their friction tests. section of the Fe7Mo6-based alloy (Fe-42at% Mo) disk
Keywords: Fe7Mo6, spark plasma sintering, ethyl-alcohol , specimen prepared in this study [1]. This disk specimen mainly
SRV tribometer consisted of Fe-42at% Mo (Fe7Mo6 phase), Fe-7at% Mo and
Mo phases.
INTRODUCTION
Bio-ethanol has recently attracted much attention as a fuel Table 1 Spark plasma sintering conditions of Fe7Mo6-based
alternative to fossil fuels. However, the tribological properties alloy, Fe and Mo disk specimens prepared in this study
of various kinds of sliding materials have not been investigated
sufficiently under the lubrication of the bio-ethanol. In our
previous study, we found that Fe7Mo6-based alloy disk
specimens with a composition of Fe-42at% Mo exhibited
lower friction coefficients and lower wear rates than gray cast
iron and Mo disk specimens against ASTM 52100 steel balls
under the lubrication of a typical oil used in the sliding
guide-ways of machine tools [1]. The low friction and low
wear volume loss of the Fe7Mo6-based alloy is likely to have
been due to the formation of low friction oxide layer on the
worn surface. These results indicate that the Fe7Mo6-based
alloy may exhibit good tribological properties under the
lubrication of the bio-ethanol. In this study, we investigated the
friction and wear properties of the Fe7Mo6-based alloy disk
specimens against ASTM 52100 steel balls under the
lubrication of ethyl-alcohol using the reciprocating Optimol
SRV tribometer [1, 2] as shown in Fig. 1. In general, boundary
lubricating conditions are created using this tribometer [3].

Fig. 2 SEM photographs showing a cross section of

Fe7Mo6-based alloy disk specimen prepared in this study [1]

After sintering, the surface of each disk specimen was

polished using a diamond paste with a particle size of 1 μm.
Then, all of the disk specimens were cleaned in a mixture of
Fig. 1 Scheme of the reciprocating Optimol SRV tribometer 50vol% acetone and 50vol% petroleum benzene using an
used in this study ultrasonic cleaner for 1.2 ks. The surface roughness, Ra was

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 Friction and Wear Properties of Fe7Mo6-Based Alloy under the Lubrication of Ethyl-Alcohol

0.026 μm for the Fe7Mo6-based alloy, 0.010 μm for Fe and disk specimens were reduced to 0.3 2.4 ks after starting their
0.021 μm for Mo disk specimens. The true Knoop hardness of friction tests. This result might have been due to the formation
the disk specimens was 8.11 GPa for the Fe7Mo6-based alloy, of low friction Fe-Mo alloy.
0.87 GPa for Fe and 2.59 GPa for Mo. The friction and wear Figure 4 shows the wear rates of the disk specimens and
properties of each disk specimen were investigated using a their paired ASTM 52100 steel ball specimens. It was found
reciprocating Optimol SRV tribometer against ASTM 52100 that the Fe7Mo6-based alloy disk specimens exhibited lower
steel balls with a diameter of 10 mm, the hardness of 7.1–8.8 wear rates than the Fe and Mo disk specimens.
GPa and the surface roughness of 0.05 μmRa. In each friction We will explain the results of the SEM, EDS and XPS
test, the paired steel ball was oscillated on the disk specimen at analyses of each specimen in this presentation.
a frequency of 10 Hz, an applied load of 10 N and a stroke
length of 1 mm, at 298 K, for 3.6 ks. The temperature was
measured using a thermocouple just under the surface of the
disk specimen stage as shown in Fig. 1, and the temperature
was controlled using a temperature-controller. In addition, the
purity of the ethyl-alcohol prepared in this study was 99.5
volume percent.

Fig. 4 Wear rates of the disk specimens and their paired

ASTM 52100 steel ball specimens

CONCLUSIONS
In this study, the friction and wear properties of Fe-Mo
type alloy disk specimens were investigated against ASTM
52100 steel balls under the lubrication of ethyl-alcohol using a
Fig. 3 Friction coefficients of Fe7Mo6-based alloy, Fe and
reciprocating Optimol SRV tribometer. The results obtained in
Mo disk specimens
this study were shown as follows.
After the friction tests, all of the disk specimens and their
1. Fe7Mo6-based alloy disk specimens with a composition of
paired balls were cleaned in a mixture of 50vol% acetone and
Fe-42at% Mo exhibited more stable and lower friction
50vol% petroleum benzene using an ultrasonic cleaner for 1.2
coefficients than Fe and Mo disk specimens.
ks. Then the wear volume of each disk and ball specimen was
2. The friction coefficients of Mo disk specimens rapidly
evaluated using a surface profilometer and an optical
increased 1.8 ks after starting their friction tests. Then, the
microscope, respectively. The wear rates were obtained by
friction coefficients of Mo disk specimens were rapidly
dividing the wear volume by the load and the total sliding
reduced 2.4 ks after starting their friction tests.
distance. In addition, the surface microstructures of the wear
tracks of each disk specimen and its paired ball were
investigated using a JSM-7400F scanning electron microscope
(SEM) with an energy-dispersive x-ray spectroscopy (EDS) REFERENCES
attachment and x-ray photoelectron spectroscopy (XPS). [1] Murakami, T., Kaneda, K., Nakano, M., Mano, H.,
Korenaga, A., Sasaki, S., 2007, “Friction and wear
properties of Fe-Mo intermetallic compounds under oil
RESULTS lubrication,” Intermetallics, 15, pp.1573-1581.
[2] Murakami, T., Kaneda, K., Nakano, M., Korenaga, A.,
Figure 3 shows the friction coefficients of each disk
Mano, H., Sasaki, S., “Tribological properties of
specimen. The friction coefficients of the Fe7Mo6-based alloy
Fe7Mo6-based alloy under two ionic liquid lubrications,”
disk specimens were between 0.3 and 0.4, which were much
Tribology International, in press.
lower than the friction coefficients of the Fe disk specimens.
[3] Wang, H.Z., Lu, Q.M., Ye, C.F., Liu, W.M., Cui, Z.J., 2004,
The Mo disk specimens exhibited the friction coefficients as
“Friction and wear behavior of ionic liquid
low as the Fe7Mo6-based alloy disk specimens in the early
alkylimidazolium hexafluorophosphates as lubricants for
stage of the friction test. However, the friction coefficients of
steel/steel contact,” Wear, 256, pp.44-48.
the Mo disk specimens rapidly increased 1.8 ks after starting
[4] Guillermet, A.F., 1996, in Binary Alloy Phase Diagrams,
their friction tests. This result would have been because the
Second Edition Plus Updates on CD-ROM, eds by
low friction MoO3 films were mostly removed from the Mo
Massalski, T.B. et al., ASM international.
disk specimens. Moreover, the friction coefficients of the Mo

377
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Seizure of PEEK and Its Composite at High Sliding Velocity in Oil Lubrication
*
T. Akagaki1, , M. Kawabata2
1
Hachinohe National College of Technology (Inooka 16-1, Tamonoki, Hachinohe, Aomori 039-1192, Japan)
2
Tribotex Inc. (Yamguchi 45-7, Nagakusacho, Obu, Aichi 474-0052, Japan)

ABSTRACT seizure mechanism in the PEEK composite was discussed from

Seizure behaviors of PEEK materials were studied using a
block-on-ring wear tester under severe lubricated conditions.
The blocks were unfilled-PEEK and its composite filled with
30wt.% of carbon fiber. For the comparison, a white metal
(WJ2) was also tested. The ring was a forging steel (SF540A).
Two kinds of seizure tests under an increasing load and under a
constant load were conducted. In the increasing load test, the
load was increased up to 1177N at an increasing rate of 1N/s. In
the constant load test, the load was kept constant for 30 minute.
The ring temperature was measured at 1mm below the surface
and its influence on the friction behavior was studied and
discussed.
It was found that the friction behavior in all block materials
were strongly dependent on the ring temperature. In the PEEK
and its composite, the friction coefficient was small and
constant until ~100ć. Then it increased gradually with the
increase of the ring temperature and finally seizure occurred
when the ring temperature exceeded ~130ć for the PEEK and
~180ć for the PEEK composite. Seizure occurred suddenly
when the temperature exceeded ~80ć in the white metal (WJ2).
Thus the PEEK composite had an excellent property that didn’t
transit easily to seizure. Wear scars and wear debris generated in
seizure were observed and analyzed with a scanning electron
microscope (SEM) and an energy-dispersive X-ray
spectroscopy (EDX). Based on the observation results, seizure
mechanism in the PEEK composite was discussed.
Keywords: Seizure, PEEK Composite, Sliding Bearing, Wear
Debris, Oil Lubrication
the viewpoints of wear scars and wear debris.
EXPERIMENTAL PROCEDURE
Experiments were carried out with a block on ring wear
tester. The schematic diagram is shown in Fig.1. The testing
materials are summarized in Table 1. The ring was a forging
steel (SF540A) of diameter 130mm and length 20mm. By
turning and further cylindrical grinding, the ring was finished to
the surface roughness of 0.15  mRa. Three kinds of block
materials were tested for the comparison. They were unfilled
PEEK (PEEK for short), its composite filled with 30wt.% of
carbon fiber (PEEK composite for short) and white metal (WJ2).
The block had a length of 90mm and a width of 10mm. It was
finished with an emery paper.
Lubricant
Thermo-couple
Block
Load
Ring

INTRODUCTION
Thermo-couple
Poly-ether-ether-ketone (PEEK) is a high performance Drain
thermoplastic polymer. PEEK has some excellent properties
such as high strength, high toughness, heat resistance, thermal
stability, easy processing and chemical inertness [1]. PEEK has
also superior tribological properties as well as poly–tetra Fig.1 Schematic diagram of experimental apparatus
-fluoro-ethylene (PTFE). Recently, PEEK composite thrust
bearing has been developed and operated under oil lubricated
condition in hydroelectric power station [2]. Table 1 Properties of testing materials
A large number of papers on the tribological properties of Material Hardness Ra (m)
PEEK material have been published [3-5]. Most of the studies Ring SF540A HV189 0.15±0.06
on the friction and wear behavior of PEEK materials have been WJ2 HV26 0.14±0.08
conducted under un-lubricated condition. However, there have Block PEEK HRR126 0.23±0.08
been little works on the seizure behavior and wear mechanism PEEK Comp. HRR124 0.18±0.02
of PEEK material at high sliding velocity in oil lubrication [6-7].
In order to enlarge the application field of PEEK materials in Table 2 Experimental conditions
practice and to establish the maintenance guidelines of machine
Sliding velocity 19.0 (m/s)
elements such as PEEK composite bearing, it is essential to
understand the seizure behavior of PEEK material in oil (1) Increasing load :
lubrication. Load Increase up to 1177N at 1N/s
In this study, the seizure behaviors of PEEK and its (2) Constant load: 294, 588, 883,1177 N
composite were studied under severe lubricated condition such Test duration ̚ 30 min. under constant load
as high load and high sliding velocity in oil lubrication and Non-additive turbine oil (ISO VG46),
compared with that in a conventional bearing metal (WJ2). The Lubricant Flow rate: 65cc/min.
Oil temperature: 30±3ć
*To whom all correspondence should be addressed.

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 Seizure of PEEK and Its Composite at High Sliding Velocity in Oil Lubrication

The experimental conditions are summarized in Table 2. 0.08

The sliding velocity was 19.0m/s. The lubricant was WJ2
Seizure
non-additive turbine oil (ISO VG46) and supplied to the PEEK
frictional surface at a flow rate of 65cc/min with a pump. The 0.06 PEEK Comp.

Friction coefficient
temperature of oil supplied was kept at 30±3ć with a controller. 19.0 m/s, Oil lub.

Two kinds of seizure tests were conducted. They were the

seizure tests under an increasing load and under a constant load. 0.04
In the former test, the load was increased up to 1177N at an
increasing rate of 1N/s. In the latter test, the load was kept
constant for 30 minute. Four kinds of loads were used: 294, 588, 0.02
882 and 1177N. Both tests were discontinued when seizure
occurred. During the test, frictional torque was measured with a
torque meter. The ring temperature was measured with an
0 200 400 600 800 1000 1200
almel-chromel thermo-couple of diameter 0.5mm, which was
LoadˈN
located at 1mm below the surface. These data were saved into
personal computer every 0.5 sec. Fig.2 Relationship between friction coefficient and load in the
For wear debris analysis, the oil was collected at regular test under increasing load and sliding velocity of 19m/s
intervals from the drain. Wear scars and wear debris were
observed using a scanning electron microscope (SEM) and
analyzed using an energy-dispersive spectroscopy (EDS). 160
140 WJ2 Seizure
RESULTS AND DISCUSSIONS PEEK
Ring temperature, ć

120 PEEK Comp.

19.0 m/s, Oil lub.
SEIZURE TEST UNDER INCREASING LOAD 100
Fig.2 shows the relationship between the friction coefficient
and the load obtained in the test under the increasing load. In the 80
PEEK materials such as the PEEK and the PEEK composite, the 60
friction coefficient first decreases with the increase of the load
and then becomes almost constant at 0.008. Thus seizure 40
doesn’t occur in the PEEK materials and the low friction is 20
maintained up to the maximum load of 1177N. There are no
differences in friction behaviors between the PEEK and the 0 200 400 600 800 1000 1200
PEEK composite. On the contrary, in WJ2, the friction LoadˈN
coefficient increases rapidly when the load exceeds ~800N.
Thus seizure easily occurs in WJ2. Fig.3 Relationship between ring temperature and load in the test
Fig.3 shows the relationship between the ring temperature under increasing load and sliding velocity of 19m/s
and the load obtained in the test shown in Fig.2. The ring
temperature increases almost linearly with the increase of the 0.08
load. It reaches ~100ć at the end of the test in the PEEK WJ2
materials. It is noted that the ring temperature doesn’t become PEEK
PEEK Comp.
constant in the test under the increasing load even if the friction 0.06
Friction coefficient

coefficient is small and constant. In WJ2, when exceeding the 19.0 m/s, Oil lub.
load of ~800N, the increasing rate of the ring temperature
becomes higher due to seizure. The friction coefficient shown in 0.04
Fig.2 was plotted in relation to the ring temperature shown in
Fig.3. The obtained result is shown in Fig.4. In the PEEK
materials, although the ring temperature increases up to ~100ć 0.02
or so, friction coefficient is small and stable. This is probably
because the PEEK materials don’t soften and severe plastic
deformation doesn’t occur, as the ring temperature is smaller 0
20 40 60 80 100 120 140
than the glass transition temperature of 143ć. Further, the Ring temperatureˈć
contact between the polymer and metal is often predominantly
elastic and then thin EHL film might be formed effectively. Fig.4 Relationship between friction coefficient and ring
Thus low friction might be maintained in the PEEK materials. temperature in the test under increasing load and sliding
In WJ2, however, seizure occurs when the ring temperature velocity of 19m/s
exceeds ~80ć or so. A large amount of transfer deposits from
the block was commonly observed on the ring surface in seizure SEIZURE TEST UNDER CONSTANT LOAD
of WJ2. It is considered that transfer easily occurs in Fig.5 shows the relationship between the friction coefficient
metal-metal combination when oil film becomes thin at high and the run time obtained in the test under the constant load of
temperature and leads to seizure. 883N and the sliding velocity of 19m/s. As the applied load for
Thus seizure load for the PEEK materials couldn’t be WJ2 is a little higher than the seizure load obtained in the
determined by the increasing load test up to 1177N. increasing load test, seizure occurs soon after the test starts.

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Although the applied load for the PEEK materials is smaller in the unfilled PEEK. This might be because carbon fiber filler
than the maximum value in the increasing load test, seizure is resistant to the plastic deformation and flow. When the
occurs in both PEEK and PEEK composite after sliding for a applied load was small and the ring temperature became
long time. The run time of the PEEK composite required for the constant at lower value less than ~100ć, seizure didn’t occur.
transition to seizure is longer than that in the PEEK. Thus it is said that the seizure behavior is sensitive to the
temperature.
0.10
EFFECTS OF OIL FLOW RATE ON SEIZURE
WJ2
PEEK As described in the previous chapter, the seizure behavior
0.08 PEEK Comp. was very sensitive to the temperature. Therefore, it is expected
Friction coefficient

19.0 m/s, 883N that the flow rate of oil plays an important role in seizure
0.06 behavior. In order to confirm this idea, the flow rate of oil was
varied in the range from 0 to 65cc/min. The flow rate of 0cc/min
means that the oil is supplied at 65cc/min before the test and
0.04
then the oil supply is stopped immediately after the start of the
test. The experiment was conducted under the lower load of
0.02 588N and the sliding velocity of 19m/s. Fig.7 shows the
relationship between the friction coefficient and the run time.
0 Fig.8 shows the relationship between the ring temperature and
200 400 600 800 1000 1200 1400 the run time. At the flow rate of 0cc/min, friction coefficient
Run time , sec increases rapidly after the start of the test as well as the ring
Fig.5 Relationship between friction coefficient and run time in temperature. This behavior is almost the same as dry friction.
the test under constant load of 883N and sliding velocity of Above the flow rate of 21.5cc/min, friction coefficient is small
19m/s
and constant. The ring temperature is also constant at ~85ć or
so. Thus the friction behaviors of the PEEK composite are
strongly dependent on the flow rate of oil. This is because the
0.10 flow rate strongly affects the ring temperature. Whenever the
WJ2 temperature is constant and small, low friction is maintained. At
PEEK the flow rate of 6.5cc/min, seizure occurs after sliding for a long
0.08 PEEK Comp.
time. This is the similar trend to Fig.5. The ring temperature
Friction coefficient

19.0 m/s, 883N

increases at a high increasing rate and doesn’t become constant
0.06 leading to seizure.

0.04 0.08
0 cc/min.
6.5 cc/min.
0.02 21.5 cc/min.
0.06 64.5 cc/min.
Friction coefficient

19.0 m/s, 588N

0 PEEK Comp.
40 60 80 100 120 140 160 180 200
Ring temperatureˈć 0.04
Fig.6 Relationship between friction coefficient and ring
temperature in the test under constant load of 883N and sliding
velocity of 19m/s 0.02

Fig.6 shows the relationship between the friction coefficient

and the ring temperature. In WJ2, seizure occurs when the ring
temperature exceeds ~80ć or so. The ring temperature for
transiting to seizure is almost the same as that obtained in the
increasing load test. In the PEEK materials, the ring temperature
becomes much higher than that in the increasing load test. In the
PEEK and the PEEK composite, the friction coefficient is small
until ~100ć. Then it increases gradually with the increase of
the ring temperature and finally seizure occurs at ~130ć for
the PEEK and at ~180ć for the composite. It is expected that
the real surface temperature is higher than the measured one.
Therefore, it is considered that seizure occurs when the real
surface temperature exceeds the glass transition temperature. At
the temperature above the glass transition temperature, the real
contact area increases due to the softening of the PEEK material
and then severe plastic deformation and flow occurs leading to
rapid increase of friction coefficient. The ring temperature for
transiting to seizure in the PEEK composite is higher than that
0
200 400 600 800 1000 1200 1400 1600 1800 2000
Run time , sec
Fig.7 Relationship between friction coefficient and run time for
various flow rates of oil under constant load of 588N and sliding
velocity of 19m/s
Fig.9 shows the relationship between the friction coefficient
and the ring temperature. The trend in the seizure behavior is
almost the same as in Fig.6. The transition process to seizure
can be roughly divided into three regimes. Until ~100ć, fluid
lubrication is maintained. Then the transition to mixed
lubrication occurs and the friction coefficient increase gradually
with the increase of the temperature. Exceeding the temperature
of ~180ć or so, friction coefficient increases suddenly and the
transition to seizure occurs. Thus the temperature for the
transition to seizure in the PEEK materials is almost the same,
irrespective of the experimental conditions.

380
 Seizure of PEEK and Its Composite at High Sliding Velocity in Oil Lubrication

films from PEEK material, as shown in Fig.10 (e) and (f). These
220
0 cc/min.
transfer films consists of parallel band-like deposits. They are
200
180
6.5 cc/min. less than ~4m in thickness. These SEM observation results
Ring temperature, ć

21.5 cc/min.
160 64.5 cc/min. suggest that the surface temperature is very high and the
140
19.0 m/s, 588N softening and partial melting of the layers occur in seizure. Thus,
PEEK Comp.
120 it is concluded that seizure in the PEEK composite causes
100 severe plastic flow and tearing fracture of PEEK material due to
80 thermal softening and partial melting at high temperature.
60
40
20

0 200 400 600 800 1000 1200 1400 1600 1800 2000
Run time , sec

Fig.8 Relationship between ring temperature and run time for

various flow rate of oil under constant load of 588N and sliding
velocity of 19m/s

0.12
0 cc/min.
0.10 6.5 cc/min.
21.5 cc/min.
64.5 cc/min.
Friction coefficient

0.08 19.0 m/s, 588N

PEEK Comp.
(a) Ribbon-like extrusions at exit region of wear scar.
0.06

0.04

0.02

0
40 60 80 100 120 140 160 180 200 220
Ring temperature , ć

Fig.9 Relationship between friction coefficient and ring

temperature under constant load of 588N and sliding velocity of
19m/s

SEM OBSERVATION OF WEAR SCARS AND WEAR

DEBRIS
Fig.10 shows the SEM micrographs of wear scars in the (b) Enlargement of region indicated by circle in (a).
seizure of the PEEK composite. Abundant thin ribbon-like
extrusions are observed at the exit region of wear scar, as shown
in Fig.10 (a). They are less than 2cm in length. It is expected
that the PEEK composite surface becomes soft at high
temperature. These extrusions are probably generated in cutting
or ploughing actions of hard asperities on the ring surface. On
the surfaces of the extruded layers, much cylindrical debris is
commonly observed, as shown in Fig.10 (b). They are probably
formed by the rolling-up of thin layers peeled off from the
surface. When ribbon-like extrusions are formed, high frictional
heat is generated and extremely thin layers are probably peeled
off easily to become cylindrical debris. Tearing fracture of
surface layers leading to the generation of plate-like debris is
observed at the inside region of wear scar, as shown in Fig.10
(c). The aggregations of matrix and carbon fiber due to severe (c) Tearing fracture at inside region of wear scar.
plastic flow are also observed at the inside region, as shown in
Fig.10 (d). The ring surface is partially covered with transfer

381
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

shown in Fig.11 (a). It is generated from the extruded layers at

the exit region of wear scar, as shown in Fig.10 (a). Cylindrical
wear debris is shown in Fig.11 (b). It is less than a few tens
microns in size. As the morphology is the same as the debris
shown in Fig.10 (b), this kind of debris is probably formed by
the rolling-up of thin layers peeled off from the surface.
Plate-like wear debris less than 100m in size is shown in
Fig.11 (c). This debris has some elongated strings that indicate
the evidence of tearing fracture shown in Fig.10 (c). Carbon
fiber debris less than 60m in length is shown in Fig.11 (d). This
debris is generated in severe plastic deformation and flow of
the thermally softened PEEK composite surface, as shown in
Fig.10 (d).

(d) Aggregation of carbon fiber and PEEK matrix due to severe

plastic flow at near exit region.

(a) Ribbon-like wear debris.

(e) Parallel band-like transfer films of PEEK formed on ring

surface.

(b) Cylindrical wear debris.

(f) Enlargement of region indicated by circle in (e).

Fig.10 SEM micrographs of wear scars in seizure of PEEK

composite under the constant load of 1177N and sliding velocity
of 19m/s. (a)-(d): PEEK composite block, (e)-(f): SF540-A ring.
The arrow indicates the relative direction of motion of the
counterface

Fig.11 shows the SEM micrographs of wear debris

generated in seizure of the PEEK composite. Wear debris is
generated mainly from the PEEK composite. As expected from
the SEM observation results of wear scars, they are ribbon-like
wear debris, cylindrical wear debris, plate-like wear debris and (c) Plate-like wear debris showing evidence of tearing fracture.
carbon fiber debris. Long and slender ribbon-like debris is

382
 Seizure of PEEK and Its Composite at High Sliding Velocity in Oil Lubrication
(d) Carbon fiber debris.
Fig.11 SEM micrographs of wear debris generated in seizure of
PEEK composite under the constant load of 1177N and sliding
velocity of 19m/s
CONCLUSIONS
(1) The friction behavior in PEEK materials was strongly
dependent on the ring temperature.
(2) The transition process to seizure in the PEEK materials
could be roughly divided into three periods depending on the
ring temperature. Until ~100ć, low friction was maintained.
Thereafter friction coefficient increased gradually with the
increase of the ring temperature. Finally seizure occurred when
the ring temperature exceeded ~130ć for the PEEK and at
~180ć for the PEEK composite. In contrast, WJ2 transited
383
rapidly to seizure when the temperature exceeded ~80ć.
(3) Severe plastic flow, tearing fracture and extrusions of
ribbon-like layers were predominant in seizure of the PEEK
composite.
(4) Seizure in the PEEK composite could be characterized by
generation of cylindrical wear debris, ribbon-like wear debris,
plate-like wear debris and carbon fiber debris.
REFERENCES
[1] Japanese Society of Tribologists, 1991, Tribology of New
Materials, Yokendo Press, Tokyo.
[2] Y.Matsueda, M.Tomizawa, T.Ochiai, Y.Tamiya, H.goto,
2000, “The latest technology in hydraulic turbine generator
/ motor generator,” Mitsubishi-electric co. technical report,
11, pp.6-10.
[3] Z.P.Lu, K.Friedrich, 1995, “On sliding friction and wear of
PEEK and its composite,” Wear, 181-183, pp.624-631.
[4] J.Hanchi, N.S.Eiss,Jr, 1997, “Dry sliding friction and wear
of short carbon-fiber-reinforced polyetheretherketone at
elevated temperatures,” Wear, 203-203, pp.380-386.
[5] Q-J. Xue, Q-H. Wang, “Wear mechanisms of
poly-ether-ether-ketone composite filled with various kinds
of SiC,” Wear, 213, pp.54-58.
[6] T.Akagaki, M.Kawabata, K.Kato, 2002, “Evaluation of wear
condition of PEEK composite bearing using wear debris
analysis,” Proceedings of Int. Conf. on HYDRO2002, Kiris,
Turkey, pp.61-68.
[7] T.Akagaki, T.Yamauch, M.Kawabata, 2006, “Mechanism of
seizure of PEEK composite in lubricated sliding contact,”
Proceedings of ASIATRIB 2006 KANAZAWA, JAPAN,
pp.709-710.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Tribological Behavior of Chromium Alloyed Layer Prepared on Surface of TiAl

Zhiyong He*, Xiaofeng Wang, Ying Fan, Zhenxia Wang, Xiaoping Liu, Zhong Xu

Research Institute of surface Engineering, Taiyuan University of Technology, Taiyuan, 030034, China

Extended Abstract

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Tribological Behavior of Chromium Alloyed Layer Prepared on Surface of TiAl

385
 Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, CHINA
Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Wear Characteristics under Boundary Lubrication Contacts in Phosphorated Starch Based
Electrorheological Fluids
Chul-Hee Lee/Department of Mechanical Engineering,
Inha University, Incheon, Korea
Jung Woo Sohn/Department of Mechanical Engineering,
Inha University, Incheon, Korea
ABSTRACT
This experimental study presents wear characteristics under
boundary lubrication contacts associated with electrorheolocal
(ER) fluids composed of phosphorated starch particles and
silicone oil. The ER fluids with different particle concentration
by weight are adopted as lubricants. A pin-on-disc wear tester
is then designed and manufactured to evaluate wear rates of
pin specimens. Specimens used for the experiments include
stainless steel, copper and aluminum pins. The wear tests of
the ER fluids are experimentally performed under
consideration of several factors such as normal load, sliding
speed and specimen materials. Subsequently, microscopic
surface and roughness changes of the worn surface of the pin
specimens are analyzed in order to validate the measured wear
characteristics by using the scanning electron microscope
(SEM) and surface profilometer. In addition, friction
coefficients of the ER fluids are experimentally evaluated with
respect to the considered factors.
Keywords: Electrorheological (ER) Fluid, Boundary Lubri-
cation, Pin-on-Disc Tester, Wear Rate, Friction Coefficient
INTRODUCTION
An ER fluid is typically a suspension of dielectric solid
particles dispersed in non-conducting carrier liquid. Its
rheological properties are reversibly and instantaneously
changed by applying electric field to the fluid domain. The
most significant change is associated with the yield stress of
the suspension. Random structures of the suspension are to be
changed into chain structures by imposing the electric potential
difference. Due to the phenomenological behavior, the ER
fluid can resist external forces or pressures with several
advantages of continuous control, simple design and fast
response time. Because of these salient features, the ER fluid is
actively researched as an actuating fluid for industrial valve
systems and vehicle application devices such as shock
absorbers and engine mounts [1, 2]. However, application
devices using ER fluids can reveal wear problem of moving
component caused by ER particles. Tribological aspects of the
ER fluids treating wear performance and lubrication property
have been studied by S. Lingard et al. [3] in 1991. But for
commercialization of ER device, further researches on the
wear characteristics of ER fluid are urgently required.
Consequently, the main contribution of the present work is
to provide experimental results on wear characteristics of the
ER fluid. As a first step, a pin-on-disk tester is designed and
manufactured to evaluate wear rates of pin specimens under
boundary lubrication contact condition of ER fluids.
Considering the practical application of ER fluids in the
mechanical systems, ER fluids with three different particle
concentrations by weight are adopted as lubricants for the
experimental test. Then, pin-on-disk tests are performed under
the boundary lubrication contacts with ER fluids. Comparative
works on wear characteristics of the ER fluids for various
*To whom all correspondence should be addressed.
seungbok@inha.ac.kr
Young-Min Han/Department of Mechanical Engineering,
Inha University, Incheon, Korea
Seung-Bok Choi*/Department of Mechanical Engineering,
Inha University, Incheon, Korea
specimen materials, rotational speed and loading conditions are
undertaken and demonstrated according to sliding distance.
After experiments, scanning electron microscope (SEM)
observations and profilometer measurement of worn surfaces
of the pin specimens are analyzed to understand wear
mechanisms.
EXPERIMENTAL APPARATUS AND PROCEDURE
Figure 1 shows the manufactured pin-on-disc wear tester.
The bottom area of the disk is submerged, and a pin contacts
with the rotating disk by applying nomal load with air
comprossor. Therefore, boundary lubrication is achieved by the
rotating disk and pin, between which the ER fluid is
conditunously supplied by the rotaion of the disk. In this work,
the disc with diameter of 58.6mm is made out of steel (S45C)
and hardened by high-frequency heattreatment. In order to
consider various materials of electrodes, three different
materials of steel (S45C), copper (C1220) and aluminum
(Al10500), whose maximum hardness are 229HV, 120HV and
44HV, respectively, are adopted as specimen materials of the
pin. Diameter and length of the pin are 6mm and 25mm,
respectively. The tip of pin specimans is grounded and
polished to keep up the surface uniformaity. Before testing, all
the specimens are immersed in a pool of acetone and
ultrasonically cleaned, then rinsed with alcohol and dried using
warm air. After the tribological testing, the samples are again
ultrasonically cleaned and used for wear quantification and
surface measurements.
In the pin-on-disk wear test, the disk runs for a certain
period. Then the wear rate of the pin specimen is obtained by
measuring weight loss as follows:
weight loss
wear rate = (1)
sliding distance
In order words, the wear rate means the weight variation of the
pin specimen per sliding distance, and hence its unit is mg/mm.
The normal forces loaded on the pin ranges from 33.3N up to
100N, and rotational speed of the disk are changed from 0.3 to
1.0m/s.
AC Motor
Pin
Torque Sensor
Disk
Fig. 1 The pin-on-disk wear tester
386
 Wear Characteristics under Boundary Lubrication Contacts in Phosphorated Starch Based Electrorheological Fluids

RESULTS AND DISCUSSIONS [3] Lingard, S., Bullough, W. A. and Ho, L. S., 1991,
Figure 2 shows a series of tests were performed with “Hydrodynamic pressure generation with an
different specimens to quantify the evolutionary nature of the electrorhelogical fluid”, Wear, Vol. 142, pp. 373-381.
wear rate. For all tests, a normal force of 66.6N was applied
and the test rotational speeds were 0.7m/s. By using the -3
1.6x10
different materials of pin, changes of wear rate were plotted in AL1050
terms of the sliding distance. The results shows that the wear C1220
rates are decreased with the increment of sliding distance with -3 S45C

Wear Rate (mg/m)

1.2x10
the initial drop of wear rate due to the run out process. In
regard to the different specimens, stainless steel shows the -4
8.0x10
more wear rate than aluminum and copper, thus the wear rate
is increased as the hardness of the specimen is increased. -4
Figures 3 and 4 show wear losses for the same steel 4.0x10
specimen under different applied force and rotational speed.
As clearly observed from the results shown in Figure 3, high 0.0
0 400 800 1200 1600 2000 2400 2800
applied force cause high wear ross. In regard to the different
rotational speed as shown in Figure 4, initial wear loss is Sliding Distance (m)
increased as the speed is slower, but the difference of wear loss Fig. 2 Wear characteristics for various specimens
between the rotational speeds is decreased as the sliding
distance is increased. From the other experiments, it was found 0
that the surface friction coefficients of specimens are decreased 1.0x10
0.3 m/s
as the sliding distance is increased. But finally, the friction -1 0.7 m/s
8.0x10
coefficient converges to constant value after passing certain Wear Loss (mg)
1.0 m/s
sliding distance of 2000m. Based on the measurements, it was -1
6.0x10
found that the converging point of friction coefficient is same
as the converging point of wear rate. -1
4.0x10
Examination of the surface tracks of the tested pin by
scanning electron microscopy (SEM) was conducted as shown 2.0x10
-1

in Figure 5 This image shows typical morphology of wear

surface for stainless steel with ER fluid, which was taken at the 0.0
magnification of 2000 times.. 0 400 800 1200 1600 2000 2400 2800
Sliding Distance (m)
CONCLUSIONS Fig. 3 The change of wear loss under different load
Tribological investigations of ER fluids in terms of wear
have been performed under the boundary lubrication contact. 0
1.0x10
From the plethora of pin-on-disk tests, it was found the wear 33.3 N
and friction performance were influenced by the sliding 8.0x10
-1 66.6 N
100 N
distance, sliding speed and load. Moreover, it was found that
Wear Loss (mg)

tribological performance associated with the different materials 6.0x10

-1

of specimen was determined by the hardness value of the used

pin materials. Subsequently, measurements of wear surface 4.0x10
-1

profiles were performed using the profilometer to identify the

wear mechanisms. Moreover, using the SEM, it was found that 2.0x10
-1

the existence of ER particles in worn surfaces and this is

related to the wear and friction mechanism. The experimental 0.0
0 400 800 1200 1600 2000 2400 2800
results clearly indicate that an optimal choice of ER fluid for
Sliding Distance (m)
the specific application should be taken into consideration.
Fig. 4 The change of wear loss under different speed
ACKNOWLEDGEMENTS
This work was supported by Korea Science and
Engineering Foundation (Acceleration Research Project No.
R17-2007-028-01000-0). This financial Support is gratefully
acknowledged.

REFERENCES
[1] Choi, S.B., Lee, H. G. and Chang, E. G., 2001, “Field test
results of a semi-ative ER suspension system associated
with skyhook controller” Mechatronics, 11(3), pp.
345-353.
[2] Wereley, N. and Pang, L., 1998 “Nondimensional analysis
of semi-active electrorheological dampers using
approximate plate models”, Smart materials & structures, Fig. 5 Morphology of wear surface by SEM
7(5), pp. 732-743.

387
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Abrasive Wear Mechanisms of Multi Component Ferrous Alloys Abraded by Soft, Fine Abrasive
Particles
De Mello, J.D.B.* / Laboratório de Tribologia e Materiais,
Faculdade de Engenharia Mecânica, Universidade
Federal de Uberlândia, Uberlândia MG, Brazil.
ABSTRACT
In this paper, the effect of micro structural parameters
(eutectic carbides and matrix hardness) on the micro abrasive
wear of multi- component ferrous alloys abraded by soft, fine
abrasive particles is analysed. Two series of quenched and
tempered alloys with variable vanadium or molybdenum
contents and fixed amounts of other elements were tested.
Each series includes an alloy free of carbides (matrix alloy)
and alloys containing carbides (carbide rich alloys). Heat
treatment produced three different levels of matrix hardness.
Free ball micro-abrasion tests were conducted using SiO2 fine
abrasives. The results showed that the wear coefficient was not
influenced by either the nature and amount of eutectic carbides
or by the hardness of the matrix. Matrix alloys showed a
considerably higher micro abrasive wear rate (up to 5 times)
than eutectic carbide rich alloys. Special emphasis was given
to the wear mechanisms, characterized by Scanning Electron
Microscopy and Laser interferometry. Analysis of transversal
sections produced by Focused Ion Beam and High Resolution
Scanning Electron Microscopy showed that the removal of
matrix material due to abrasion with fine silica particles
decreased the mechanical support for the carbides, which
caused gradual fracture and their pull-out.
Keywords: Multi-component ferrous alloys, Abrasion,
Ball-cratering test, FIB
INTRODUCTION
Multi-component white cast iron containing strong carbide
forming elements such as Cr, Mo, W, V and Co that improves
high temperature properties has an excellent reputation as a
wear-resistant material in the application of steel rolling and
mineral pulverizing mill rolls [1].
The microstructure in these alloys is very complex. It
consists of a tempered martensitic matrix and various types of
hard carbides [2].
Recent work by Milan et al [3] studied the effect of
temperature, normal load and pre-oxidation on the tribological
behaviour of two multi-component ferrous alloys (high-speed
steel and white cast iron).
De Mello [4] reported that it was possible to reproduce the
wear mechanisms acting on actual rolls during hot strip rolling
by using a new, simple, fast, reliable and safe methodology.
Wear mechanisms acting for laboratory imposed conditions are
quite similar to those encountered in field examination of hot
rolling roll surfaces after hot rolling of plain carbon strips. The
tribological conditions produces, among other mechanisms,
abrasive wear, as indicated by fines scratches (smaller than
carbides) in the worn surfaces.
Although the influence of microstructure and abrasive
nature on the micro-abrasion of multi-component ferrous
alloys have been recently investigated [5-6] some aspects are
still to be elucidated, in particular the wear mechanisms
produced by small, soft abrasive particles
The aim of this paper is to evaluate the effect of micro
structural parameters (eutectic carbides and matrix hardness)
*To whom all correspondence should be addressed.
Polycarpou, A. A. / Department of Mechanical Science
and Engineering, University of Illinois at Urbana -
Champaign, Urbana, Il, USA.
on the micro abrasive wear of multi- component ferrous alloys
abraded by SiO2 fine particles (1.83 μm). Special emphasis is
given to the micro wear mechanisms.
METHODOLOGY
Samples investigated in this work consist of two series of
quenched and tempered alloys, with variable vanadium (V
alloys) or molybdenum contents (M alloys). The sample
production, the heat treatments and the microstructure of the
samples used in this work have been comprehensively
described and characterized in a previous paper by de Mendes
and De Mello [7]. Abrasive wear tests were carried out in a
‘free ball’ micro abrasion tester. Hard martensitic steel bearing
balls (30 mm in diameter) were used as a counter body in all
tests. They were ultrasonically cleaned before each test and
induced a normal load of 0.45 ± 0.01 N, monitored by a load
cell.
The drive shaft rotation was kept constant at 150
revolutions per minute. An abrasive slurry composed of silica
(SiO2) particles at a concentration of 10 g.cm-3suspended in
distilled water was used. In order to determine the permanent
wear regime, sequential tests were carried out on the specimen
at the same location for a range of test times (5, 10, 15, 20, 25,
30, 35, 40, 45, 50 minutes). Three sets of tests were performed
for each abrasive-sample pair.
The worn samples were examined by optical microscopy
(OM), scanning electron microscopy (SEM), energy-dispersive
X-ray analysis (EDX) and laser interferometry (LI). In addition,
transversal sections produced using focused ion beam (FIB)
were analysed by using high resolution scanning electron
microscopy (HRSEM).
RESULTS AND DISCUSSION
Figure 1 presents the effect of eutectic carbide volume
fraction on wear coefficients.
3.00
2.50
K (m2.N-1) 10-11
2.00
1.50
1.00
0.50
0.00
0 2 4 6 8 10 12 14
Eutectic Carbide Volume Fraction (%)
Fig. 1 Effect of eutectic carbide volume fraction and matrix
micro hardness on the wear coefficient
The wear coefficient was not influenced by either the
nature and amount of eutectic carbides or by the hardness of
the matrix. Matrix alloys (carbide free alloys) showed a
388
 Abrasive Wear Mechanisms of Multi Component Ferrous Alloys Abraded by Soft, Fine Abrasive Particles
considerably higher micro abrasive wear rate (up to 5 times)
than the eutectic carbide containing alloys.
Figure 2 shows typical aspects of the abraded surfaces and
illustrates wear mechanisms acting according to the family of
alloys and matrix hardness. The dominant mechanism was a
directional grooving wear mechanism similar to a two-body
mechanism. This process occurs in the micro scale abrasion
test when a significant proportion of the particles slides
without rolling at the specimen/ball interface, thus producing a
series of fine parallel grooves in the specimen surface.
The amount and size of the grooves in the matrix alloys,
figure 2-a, is greater than those of the grooves in the carbide
containing alloys, which explains its higher wear coefficient.
The presence of MC carbides stopped and changed the
direction of the grooves, figure 2-c and figure 3-a whereas
M2C carbides were almost cut and scratched by the abrasive
particles, figure 2-d and figure 3-. It is also noticed that softer
matrix underwent preferential wear by SiO2 particles, which
took to a more intense fracture of the carbides due to their
greater exposition to the abrasive particles, figures 3-c and
figure 3-d.
a- b-
c- d-
Fig. 2 Typical aspect of wear surface morphology
using SEM. SiO2 particles. a-Matrix alloy, 650 HV. b-
M5, 550 HV. c and d- V6.5, 650 HV.
CONCLUSIONS
The presence of eutectic carbides has a strong influence
on the abrasive wear behaviour of multi component
ferrous alloys. The wear coefficient was not influenced
by either the nature and amount of eutectic carbides or
by the hardness of the matrix. Matrix alloys (carbide free
alloys) showed a considerably higher micro abrasive
wear rate (up to 5 times) than eutectic carbide containing
alloys. The dominant wear mechanism was directional
grooving similar to a two-body wear mechanism. The
removal of matrix material due to abrasion with fine
silica particles decreased the mechanical support for the
carbides, which caused their gradual fracture and
pull-out.
389
ACKNOWLEDGEMENTS
The authors want to thank Dr. Henara Lillian Costa, UFU,
for helpful comments and Dr. Joao Luiz Teixeira Mendes for
assistance in performing micro abrasion tests. This research
was supported by the Fulbright Commission and Capes
Foundation (Brazil). FIB and HRSEM were performed at the
Center for Microanalysis of Materials at the University of
Illinois, which is supported by the U.S. Department of Energy
under Grant DEFG02-96-ER45439.
a- b-
c d-
Fig. 3 Typical aspect of taper section produced by
FIB. HRSEM. V6.5, 650 HV. C- Upper view, d- side
view, as indicted by the arrow.
REFERENCES
[1] Matsubara, Y., Sasaguri, N. ,Shimizu, K., Yu, S. K., 2001,
"Solidification and abrasion wear of white cast irons alloyed
with 20% carbide forming elements" Wear, 250,
pp.502–510.
[2] Boccalini, M., Goldenstein, H., 2001 "Solidification of high
speed steels" Int. Materials Reviews, 46, 2, pp.92-115.
[3] Milan, J. C. G, Carvalho, M. A., Xavier, R. R., Franco, S.
D., De Mello, J.D.B., 2005, "Effect of temperature, normal
load and pre-oxidation on the sliding wear of
multi-component ferrous alloys", Wear, 259, pp.412-423.
[4] De Mello, J.D.B, 2005, "Tribological Behavior of
Multi-Component Ferrous Alloys", Proc. of Int.
Conference: Abrasion 2005 - Abrasion Wear Resistant
Alloyed White Cast Iron for Rolling and Pulverizing Mills,
São Paulo – Brazil, pp.19-45.
[5] Badisch, E., Mitterer, C, 2003, "Abrasive wear of high
speed steels: Influence of abrasive particles and primary
carbides on wear resistance", Tribology International, 36,
pp.765-770.
[6] Richter, J., 2003, "Tribological evaluation of high-speed
steels with a regulated carbide phase", Materials
Characterization, 50 pp.339- 347.
[7] De Mello, J.D.B., 2008, “Influence of Microstructural
Parameters on the Tribological Behaviour of
Multicomponent Ferrous Alloys”, Accepted Int.
Conference: Abrasion 2008 - Abrasion Wear Resistant
Alloyed White Cast Iron for Rolling and Pulverizing Mills,
24-27 August, Trento, Italy.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

The Analyzes of Mutual Influence of Contact Spots in Sliding Contact of a Periodic Surface and a
Viscoelastic Foundation

Lyubicheva A.N./Institute for Problems in Mechanics RAS, Russia, Moscow, Vernadskogo st., 101,1

(Extended Abstract)

390
The Analyzes of Mutual Influence of Contact Spots in Sliding Contact of a Periodic Surface and a Viscoelastic Foundation

391
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Different Nano-Fillers on the Tribological Properties of PTFE Nanocomposites
Huaiyuan Wang1,*, Xin Feng2, Liwen Mu2, Xiaohua Lu2
1. College of Chemistry and Chemical Engineering, Daqing Petroleum Institute, Daqing, 163318, China.
2. State Key Laboratory of Materials-oriented Chemical Engineering, Nanjing University of Technology,
Nanjing 210009, China
ABSTRACT
In this paper, the surface of nano-La2O3 and nano-TiO2 were
modified by amino silane coupling agent (KH-550). The
tribological properties of PTFE composites filled with various
amount of surface modified nano-La2O3 and nano-TiO2 under
dry condition were investigated respectively. FT-IR analysis and
mechanical tests were also used to see the different effects of
nano-fillers. Meanwhile, some insights into the wear
mechanism of these PTFE nanocomposites were discussed
based on the examination of the worn surfaces and transfer films.
Results indicate that modified nano-La2O3 and nano-TiO2
can both decrease the wear rate and friction coefficient of PTFE
remarkably, and nano-La2O3 is better than nano-TiO2. With
5wt% nano-La2O3 filling, PTFE nanocomposites show the
lowest wear rate and friction coefficient, which increase pure
PTFE wear resistance 408 times, and the wear resistance is 12
times higher than that of 5% nano-TiO2 filled PTFE. The
element of La in nano-La2O3 has a special electron structure
(-4f0-14), which is chemical activity and better to the increase of
tribological properties of PTFE filled with nano-La2O3. The
bonding strength of matrix and filler of PTFE composites filled
with modified nano-La2O3 can be increased. A coherent and
smooth transfer film can be formed on the counterpart surface
when PTFE filled with modified nano-La2O3 was sliding in dry
condition.
Keywords: PTFE, nano-lanthanum oxide, nano-titanium
dioxide, tribological property
INTRODUCTION
Improvements in properties of nanocomposites can be
found, even at relatively low nano-filler content. Polymer
matrix nanocomposites have attracted considerable attention
and interest worldwide during the last decade [1-5]. However,
owing to its peculiar small structure and higher surface energy,
nanoparticles often show easy aggregation trend and poor
dispersion in polymer matrix. Moreover, the surface of most
inorganic nanoparticles is hydrophilic, while most polymers are
hydrophobic. Antipathic and poor interaction between the
matrix and nanoparticles would appear. Therefore, surface
modification of nanoparticles is necessary to protect them
against aggregation, increase the interaction between
nanoparticles and matrix, and improve the properties of
nanocomposites [6-9].
Polytetrafluoroethylene (PTFE) is widely used as a kind of
special engineering plastic due to its self-lubricating capacity,
high chemical inertness and excellent thermal stability.
However, poor wear resistance and severe creep deformation
limit its wider use. Many researches have been conducted to
improve the tribological performance of pure PTFE by adding
micron or nano size fillers [3-4].
There is a growing interest in studying the effects of rare
earth in polymers due to its easy processing, obvious function
wanghyjiji@163.com
*To whom all correspondence should be addressed.
392
and reinforcing effects [10-14]. Zhang et al. studied the effects
of micro-rare earth on the friction and wear behavior of PTFE
composites, and found 15%-20% micro-rare earth show good
wear-reducing properties [14]. Cheng’s team has systemic
studied the effects of various fibers modified by rare earth
element with Sol-gel method on the tribological behaviors of
PTFE composites [11]. They found that rare earth is effective in
reducing the wear rate and friction coefficient of PTFE
composites. Dou et al. found that nano-rare earth is helpful to
choke back the aggregation of nano-cupreous [15]. Nano-TiO2
is widely used as enhancer for polymers in many fields.
However, until now, the information about the surface
modification of nano rare earth and the properties of nano-rare
earth filled PTFE is much lacking. In this paper, the interest is to
see the different effects of nano-La2O3 and nano-TiO2 with
surface modification on mechanical and tribological properties
of PTFE nanocomposites. Also, mechanisms that contribute to
the properties of PTFE nanocomposites are studied. The studies
are better to the development of high resistance polymer
nanocomposites.
EXPERIMENTAL DETAILS
MATERIALS AND PREPARATION OF THE PTFE
NANOCOMPOSITES
PTFE powder of about 25m was supplied by Dupont.
Nano-Lanthanum Oxide (La2O3) of about 80nm was supplied
by Jiang Fei Rare Earth Co., Ltd. Nano-TiO2 (70-90nm) was
supplied by Degussa. Coupling agent KH-550 were used and
the content was 1wt.% of nano-fillers. For the preparation of the
coupling solution, ethanol and deionized water and other
reagents were of analytical grade. Put the cleaned nano-fillers
into prepared coupling solution, and magnetic stirring for 30
min. Then filtering and cleaning with acetone to no dissociative
coupling agent. Modified nano-fillers powder was put into
vacuum drying oven at 80°C for 6h. Fourier transform infrared
spectroscopy (FT-IR) analysis was used to see the differences
between modified and unmodified nano-fillers. Nano-fillers and
PTFE powder were weighed as needed and blended fully. The
mixture was compressed at 25°C, 70 MPa for 5 min. The
samples were sintered to 380 °C and kept for 4 hours, then
cooled at 40ć/hr to the room temperature.
MECHANICAL TESTS
The tensile tests were conducted on a Universal Tester
(Model CMT5254). The beam rate is 50 mm/min. The notched
Izod impact tests were performed on an impact test machine
(Model XJJ-50). Notched impact strength, tensile strength was
tested according to Chinese National Standard GB1043-93,
GB1040-92 at room temperature respectively. Each value
obtained represented the average of five samples.
FRICTION AND WEAR TESTS
The tribological tests were carried out by ring on ring
contact style in a MPX-2000 friction and wear tester. The
AISI1045 steel counter face (32 and 20 mm for external
and inner diameter) and the sample rings (26 and 22 mm
 Different Nano-Fillers on the Tribological Properties of PTFE Nanocomposites

for external and inner diameter) were polished to Ra =
0.15-0.3m and cleaned with acetone. Sliding was
performed under ambient conditions (25°C, humidity:
50±5%), time of 60 min, sliding velocity of 1.4 m/s, loads
of 100 N. Three replicated tests were carried out and the
average of three test results was reported. The worn
surface and transfer behavior were investigated by a
QUANTA-200 scanning electron microscopy (SEM) and
optical microscope.
by filling modified nano-La2O3 and nano-TiO2. Nano-La2O3 is
better than nano-TiO2 in increasing the wear resistance and
decreasing the friction coefficient of PTFE. With 5% percent
nano-La2O3 filling, PTFE nanocomposites show the lowest
wear rate and friction coefficient, which increase PTFE wear
resistance 408 times, and is 12 times higher than that of 5%
nano-TiO2 filled PTFE. This outstanding property can be
attributed to the unique electron structure of nano-rare earth,
coherent and smooth transfer film formed on the counterpart
surface.

RESULTS AND DISCUSSION

SURFACE MODIFICATION OF NANO RARE EARTH
Fig.1 shows the FT-IR spectra of modified and unmodified
nano-La2O3 and nano-TiO2. In B and C spectra, the absorbance
at 1364, 1524 and 850 is the typical absorption peak of
lanthanium oxide [16]. After modification, washing and drying,
in spectra C and D, the absorbance at 2850 and 2925 provides
the evidence of -CH2 absorption peak. The results above
provide the evidence of surface modification of nano-La2O3 and
nano-TiO2.

Fig.2 The friction coefficient of nano-La2O3 and nano-TiO2

filled PTFE composites

Fig.1 FT-IR spectra of modified and unmodified

nano-fillers

MECHANICAL PROPERTIES
The mechanical properties of PTFE nanocomposites filled
with different nano-fillers are shown in the table.1. It can be
observed that nano-La2O3 after modification can increase
synchronously the tensile and notched impact strength of PTFE
nanocomposites. Modified nano-TiO2 increased slightly the
tensile strength, but decreased the notched impact strength of
PTFE nanoomposites. Compared with nano-TiO2, rare earth
element has a special electron structure (-4f0-14) which is
chemical activity. Moreover, the diameter of La atom and the
length of it’ covalent bond are longer than that of Ti atom. These
effects will improve the compatibility of nano-La2O3 and PTFE.
The interaction leads to a strong covalent force on the interface
between nano-La2O3 and matrix, and therefore increases the
interfacial adhesion between nano-La2O3 and PTFE matrix.
Table 1 The mechanical properties of PTFE nanocomposites
FRICTION AND WEAR PROPERTIES
The tribological properties of PTFE composites filled with
different nano-fillers are shown in Fig.2-3. It can be seen that
the wear rate and friction coefficient of PTFE decreased greatly
Fig.3 The wear rate of nano-La2O3 and nano-TiO2 filled PTFE
composites
Treated nano-La2O3 can increase the mechanical properties
of PTFE, and reduce the higher friction force of pure PTFE
during sliding, which is caused by higher adhesive wear. It is
reported that nanoparticles can act as nano-ball rolling effect on
the frictional surface which can effectively reduce the friction
coefficient and wear rate of PTFE [17]. However, when the
content of nano-La2O3 is over 5%, the wear rate of PTFE
composites shows slightly increasing trend with the content
increasing. The reason may be that the size of nano-La2O3 is
tiny, if the amount is excessive (e.g. more than 5%),
agglomeration, and poor dispersion in PTFE would take place
which cause the properties degradation.
MORPHOLOGICAL EXAMINATION ON THE WORN
SURFACE AND TRANSFER FILM
To understand the effect of nano-fillers on the trobological
behaviors of PTFE nanocomposites, the worn surfaces of pure
PTFE and modified nano-fillers filled PTFE nanocomposite
were studied by SEM (Fig.4). Some obvious tearing phenomena
appear on the worn surface of unfilled PTFE. This indicates that
adhesion is the dominant wear mechanism of pure PTFE in this
study, the same as Li reported [4]. In contrast, with nano-La2O3
filled PTFE, the worn surface is quite smooth. Modified

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
nano-La2O3 can reinforce PTFE, and strengthened PTFE
structure. These effects increase the supporting ability of PTFE
and reduce real contact area during sliding, which reduces the
adhesive wear of PTFE. Therefore, the worn surface of PTFE
composites filled with nano-La2O3 is smooth as we can see.
However, from Fig.4(c) slight ploughing phenomena and
abrasive dust can be seen on the worn surface, which leads to
higher wear rate of 5%nano-TiO2 filled PTFE composites.
Fig.4 SEM micrographs of the worn surfaces (u400): (a) pure
PTFE; (b) with 5%nano-La2O3; (c) with 5%nano-TiO2
The optical micrographs of the transfer film that formed on
the counterpart surfaces of PTFE nanocomposites are shown in
Fig.5. It can be seen that the transfer film of pure PTFE is rare
and incomplete. Lots of nicks on the counterpart surface before
testing still can be seen. On the contrary, a coherent and smooth
transfer film was gained for PTFE composite filled with treated
nano-La2O3, which promised to provide an excellent anti-wear
property for the PTFE composite [18]. Under friction heat
during sliding, nano-La2O3 on the worn surface can easily
absorb trace water from the air, and chemical combination
generated, which strengthened the bonding between the transfer
film and the counterpart surface. The transfer film of treated
nano-TiO2 filled PTFE composite is thick and slightly rough. It
has been demonstrated that a coherent and smooth transfer film
is important to improve the wear resistance of polymer
composites during sliding [18]. From above, these may be the
main reasons for 5%nano-La2O3 filled PTFE composites has the
best wear resistance and lowest friction coefficient.
Fig.5 Optical micrographs of counterpart surface (u200): (a)
before testing; (b) pure PTFE; (c) with 5%nano-La2O3; (d) with
5%nano-TiO2
CONCLUSIONS
(a) Both modified nano-La2O3 and nano-TiO2 can greatly
decrease the wear rate and friction coefficient of PTFE, and
394
nano-La2O3 is better than nano-TiO2 in improving the
tribological properties of PTFE.
(b) With 5% percent nano-La2O3 filling, PTFE nanocomposites
show the lowest wear rate and friction coefficient, which
increase PTFE wear resistance more than 400 times, and the
wear resistance is 12 times higher than that of 5% nano-TiO2
filled PTFE.
(c) Nano-La2O3 strengthened the bonding between the transfer
film and the counterpart surface. A coherent and smooth
transfer film was formed on the counterpart surface when PTFE
filled with 5%modified nano-La2O3.
ACKNOWLEDGEMENTS
Supported by the National Natural Science Foundation of
China (No.20676062) and National High-Tech Research
Development Program (2006AA03Z455).
REFERENCES
[1] Jeffrey J., Karl I.J., Rina T., 2005, “Experimental trends in
polymer nanocomposites—a review”, Mate. Sci. Eng. A.,
393, pp. 1-11.
[2] Kuo M.C., Tsai C.M., Huang J.C., 2005, “PEEK composites
reinforced by nano-sized SiO2 and Al2O3 particulates”,
Mate. Chem. Phys., 90, pp. 185-195.
[3] Khedkar J., Negulescu I., Meletis E.I., 2002, “Sliding wear
behavior of PTFE composites”, Wear, 252, pp. 361-369.
[4] Li F., Hu K.A., Li J.L., 2002, “The friction and wear
characteristics of nanometer ZnO filled
polytetrafluoroethylene ”, Wear, 249, pp. 877-882.
[5] Wetzel B., Haupert F., Zhang M.Q., 2003, “Epoxy
nanocomposites with high mechanical and tribological
performance”, Comp. Sci. Tech. 63, pp. 2055-2067.
[6] Chang J.H., An Y.U., 2002, “Nanocomposites of
polyurethane with various organoclays: Thermomechanical
properties, morphology, and gas permeability ”, J. Poly. Sci.
B: Poly. Phys., 40, 7, pp. 670-677.
[7] Wu C.L., Zhang M.Q., Rong M.Z., 2002, “Tensile
performance improvement of low nanoparticles
filled-polypropylene composites”, Comp. Sci. Tech., 62, 10,
pp. 1327-1340.
[8] Laine R.M., Choi J., Lee I., 2001, “Organic-inorganic
nanocomposites with completely defined interfacial
interactions”, Adv. Mater., 13, pp. 800-803.
[9] Tania D., 2006, “Polymer-Coated Magnetic Nanoparticles:
Surface Modification and End-Functionalization”, J.
Nanosci. Nanotech. 6, pp. 2479-2486.
[10] Liang C.J., Li W.L., Hong Z.R., 1997, “Energy transfer
process from polymer to rare earth complexes”, Synthetic
Metals, 91:151-155.
[11] Bao D.D., Cheng X.H., 2006, “Evaluation of tribological
performance of PTFE composites filled with rare earths
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Rare. Earth., 24: 564-568.
[12] ZHAN Z.H., 2004, “Application and Prospect of RE
Materials in Plastic Products and Coatings”, Chinese Rare
Earths, 25, 6, pp.80-86.
[13] Xu G.X., 1995, Rare Earth, Metallurgical Industry
Publishing Company, Beijing.
[14] Zhang Zhao Zhu, Xue Qun Ji, Liu Wei Min, 1999, “Effect
of rare earth compounds as fillers on friction and wear
behaviors of PTFE-based composites”, J. Appl. Poly. Sci.,
72,3, pp.361-369.
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[15] Dou L.X., Gong L.H., Shen J., 2003, “Restriction
Mechanism of Nano Rare Earth Compounds to Aggregation
of Ultra-fine Particles(Ċ)-Aggregation of Ultrafine Copper
Particles and Their Dispersion Analysis”, J. The Chinese
Rare Earth Soc., 21, pp. 71-76.
[16] L.H. Xue, Y.B. Sun, L.Y. Tie, Y. J. Lin, 1999, “Vibrational
Spectra of Hydrates and Carbonates of Hexagonal Rare
Earth Oxides”, Chinese Rare Earth Soc., 17, pp. 263-266.
[17] Wang Q.H., Xue Q.J., Liu H.W., 1997, “The friction and
wear properties of nanometer SiO2 filled PEEK ”, Tribology
Internal, 30, 3, pp. 193-198.
[18] Bahadur S., 2000, “The development of transfer layer and
their role in polymer tribology”, Wear, 245, pp. 92-99.

395
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Study on Surface Passivation Treatment and Tribological Properties
of 1Cr18Ni9Ti Stainless Steel in Hydrogen Peroxide
Wang Jihui1, Gu Kali1, Yuan Chengqing2, Sun Xianming1, Hu Sheng1, Hu Xiaozhong1, Li Jian1*
1. Wuhan Research Institute of Materials Protection, Wuhan 430030, China;
2. Wuhan University of Technology, Wuhan 430063, China
ABSTRACT
The aim of this work is to study the tribological properties
of the 1Cr18Ni9Ti stainless steel (1Cr18Ni9Ti SS) in different
concentrations of hydrogen peroxide. The passivation
treatment of 1Cr18Ni9Ti SS was conducted at ambient
temperature for 6h in solution of up to 45 wt% nitric acid. The
characterized techniques, including the electro-chemical
measurement system (CS300) and X-ray photoelectron
spectroscopy (PHI5702) were used to study the
electrochemical behavior and chemical composition of the
passive film on the 1Cr18Ni9Ti SS surface. The tribological
test of 1Cr18Ni9Ti SS/GCr15 steel rubbing pairs was carried
out using a pin-on-disc tribometer. The friction coefficient and
wear loss were collected and analyzed. TR240 profilometer,
automated 3D non-contact surface analysis (STIL) and
scanning electron microscopy (SEM) were employed to
measure and observe the surface morphology and
microstructure on the worn surfaces of the tested samples. The
results indicate that the corrosion resistance of nitric acid
passivated 1Cr18Ni9Ti SS increases significantly due to the
existence of passivation film which is mainly composed of
chromic oxide. Moreover, the 1Cr18Ni9Ti SS passivated with
diluted nitric acid exhibits lower friction coefficient and higher
wear resistance than unpassivated one in hydrogen peroxide. It
is estimated that the main wear mechanism is a mixture of
adhesive wear, abrasive wear and oxidation wear for the
passivated and unpassivated 1Cr18N9Ti SS in different
concentration of hydrogen peroxide. However, the adhesive
wear experienced a large alleviation in 90% H2O2 compared
with other concentration.
Keyword: 1Cr18Ni9Ti; Hydrogen Peroxide; Passive film;
Corrosive wear
1 Introduction
The major advantages of high concentration hydrogen
peroxide as a rocket propellant are non-toxic, high density,
storable, low vapor pressure and high specific heat. It
decomposes exothermically by the following equation
H2O2=H2O+1/2O2 (ƸHú=-98.2KJ/mol), making it an ideal
oxidizer for more environment-friendly propulsion system, so
recently it is receiving renewed interest and wide use as a
monopropellant or as the oxidizer for bipropellant systems[1-6].
Especially the combinations of hydrogen peroxide/kerosene
(or alcohol) have become bipropellant of the most competitive
power due to inherent safety, storability, and excellent
operational efficiency [7-11].
Since hydrogen peroxide is a powerful oxidizing agent and
easily subjected to vigorous decomposition in the presence of
various organic compounds, transition metals, contamination
*Corresponding author˖E-mail address:lijianwuhan@tom.com
396
and heat. Any system component that comes into contact with
hydrogen peroxide solution must be made of the materials
compatible with hydrogen peroxide. Moreover, to prevent
decomposition from occurring, 1Cr18Ni9Ti SS, as class 2
material, must be thoroughly cleaned and passivated before
being placed in service, and it is a satisfactory material for
hydrogen peroxide transfer pump or valve due to the excellent
mechanical strength, machining ability and good
intercrystalline corrosion resistance.
The tribo-components used in hydrogen peroxide based
propulsion system (e.g. turbo-pump bearing, seal and valve)
need to operate at high speed, high load and in direct contact
with hydrogen peroxide, making its early failure due to the
severe wear, which will produces a negative effect on the
reliability and durability of the rocket engine, and limit the
reuse of the rocket engine seriously and increases launch cost.
Thus, it is urgent and important to realize the wear behavior and
failure mode of the various materials in high concentration of
hydrogen peroxide solution.
Whether does the thin passive film, which forms on the
1Cr18Ni9Ti SS surface during passivation, render the surface
non-reactive to hydrogen peroxide and prevents the metal from
decomposing the peroxide? Or improve the tribological
properties of the material in hydrogen peroxide solution?
Moreover, whether will the worn surface, wear debris and
elevating temperature affect the stability of high concentration
hydrogen peroxide? The questions described above are still up
in the air before a great amount of experiments were
conducted. Therefore, in order to better understand the
underlying mechanisms responsible for the wear behavior of
1Cr18Ni9Ti SS in hydrogen peroxide solution and the role of
the surface passive film in friction and wear processes, in the
present work, this study focused on the passivation treatment
of the 1Cr18Ni9Ti SS in nitric acid and wear of the
1Cr18Ni9Ti SS with or without passivation treatment in
various concentration hydrogen peroxide. The passive film and
worn surface of 1Cr18Ni9Ti SS were characterized by XPS,
SEM and 3D micro-measure.
2 Experiment details
2.1 Materials
The concentration of hydrogen peroxide used in this
study is 30%, 60% and 90% respectively, (SHANGHAI
HABO CHEMICAL Technology Co., Ltd). The 1Cr18Ni9Ti
stainless steel is manufactured to a plate with the size of
50mm×8mm×8mm, whose surface roughness Ra is
0.5±0.05m. The couple is GCr15 with hardness of 60±1HRC
and diameter of 8mm. The chemical composition and
mechanical properties of 1Cr18Ni9Ti stainless steel is given in
table 1.
 Study on Surface Passivation Treatment and Tribological Properties of 1Cr18Ni9Ti Stainless Steel in Hydrogen Peroxide

Table 1 Chemical composition and mechanical properties of 1Cr18Ni9Ti stainless steel

Chemical composition ( wt% ) Mechanical properties

Tensile Yield Hardness
C Mn Si Cr Ni Ti elongation
strength strength (HRB)
0.041 0.79 0.48 17.4 8.07 0.22 ø550 ø210 =40
90

2.2 Experimental procedure stainless steel should be propellant conditioned to check

2.2.1 Passivation treatment
Prior to the wear test, the 1Cr18Ni9Ti stainless steel will
be subjected to acid pickling in a mixture of 3% HF + 10%
HNO3 and passivation treatments at ambient temperature for 6
h in solutions of up to 45 wt% nitric acid. The detailed
experiment parameters and treatment procedure are given in
table 2. Following acid cleaning and passivation treatment step,
passivation(“active testing”) and passivated further potentially
active sites in the stainless steel[12], followed by a potassium
ferricyanide-nitric acid test for detection of free iron on
1Cr18Ni9Ti stainless steel [13-14]. The corrosion resistance for
unpassivated and passivated stainless steel is evaluated and
compared through potentiodynamic polarization scan which
was performed at CS300 electro-chemical measurement
system.

Table 2 The experiment parameters of passivation for 1Cr18Ni9Ti stainless steel

Treatment
Parameter Degreasing and Cleaning Pickling Passivation propellant condition
ultrasonic cleanout HF HNO3 HNO3 H2O2
Solution / wt %
in acetone 3% 10% 45% 90%
Temperature/ ć Room temperature 16-28 16-28 Room temperature
Time 15min < 20 min 6h 6h

2.2.2 Surface XPS analysis

The composition and the chemical valence states of
elements in the passive film were determined with PHI5702
X-ray photoelectron spectrum (XPS) using an AL Ka X-ray
source (1486.7eV), the energy scale was internally calibrated
by referencing to the binding energy (Eb) of the C1s peak of a
carbon contaminant at 284.5eV.
2.2.3 Wear test
The wear tests for 1Cr18Ni9Ti SS/GCr15 in different
concentrations of hydrogen peroxide and deionized water were
carried out at 25ć, a vertical load of 15N, a velocity of 0.22
m/s and a sliding distance of 792 m. A rotating upper specimen
(disk) is mounted at the end of the driven shaft, and GCr15
ball work as fixed lower specimen. The specimens would be
cleaned before and after the tests by immersing in acetone with
agitation in an ultrasonic bath for 15 min.
After the wear experiment, the average cross-sectional
areas of the wear tracks on the disks wear were determined
from the surface profiles measured at three different locations
across each wear track using a TR240 profilometer. The wear
volume for each test was calculated by multiplying the
circumferential contact length, which was repeated for three
times. The wear volume loss of the ball was evaluated using
automated 3D non-contact surface analysis, which allowed the
precise measurement of the ball wear scar diameter. The ball
volume loss was calculated by the volume formulation of
sphere segment. The SEM was used to examine the
microstructure and morphology on the worn surface.
3 Results and Discussion
3.1 Potassium ferricyanide-nitric Acid test and
propellant condition
According to the ASTM A967-05 specification,
potassium ferricyanide-nitric acid test was applied to detect
very small amounts of free iron on the passivated 1Cr18Ni9Ti
stainless steel. The test results showed that the tested sample
did not exhibit the dark blue color indicative of free iron on the
surface, the free iron is absent on the passive film surface. In
addition, immersing the 1Cr18Ni9Ti stainless steel in the 90%
hydrogen peroxide for 6 hours, no bubbles were generated or
observed in test solution, which indicated that hydrogen
peroxide didn’t take a decomposing into oxygen and water and
no active substance existed on the surface of the 1Cr18Ni9Ti
passive film. Therefore, the acquired passive film meets the
wear test requirement.
3.2 Potentiodynamic polarization curves
Fig.1 shows the potentiodynamic polarization curves of
the unpassivated and nitric acid passivated 1Cr18Ni9Ti
stainless steel in 1mol/L H2SO4 solution. For stainless steel,
passive current density is an important parameter because it is
a measure of the corrosion resistance of the material in the
passive state. A low passive current density indicates a high
corrosion resistance of the material in the environment. As can

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

be seen in Fig.1, compared with unpassivated stainless steel,

the passivated specimen have a shift to more positive potential
for the corrosion potential (Ecorr), from 21mv to 270mv.
Meanwhile its passive current density displays a significant
decrease from 71.7μA/cm2 to 7.89μA/cm2, which indicated
that the nitric acid passivated stainless steel has a higher
corrosion resistance due to formation of the passive film. The
increase in the current density at potential above 0.9v is most
likely due to an oxygen evolution reaction or higher valence of
Cr occurred.

Fig.1 Potentiodynamic curves obtained in 1mol/L H2SO4

solution for 1Cr18Ni9Ti SS

3.3 XPS analysis

From the XPS survey spectra of the passivated

1Cr18Ni9Ti stainless steel, Cr, Fe, Ni and O were identified. In
order to better obtain information about ionic state of the
elements, the peaks of the XPS spectra is individually divided
by curve fitting. Firstly, the binding energy of O1s and Cr
2p3/2 peak observed in Fig. 2 indicated that O would exist in
the chemical state of hydroxyl oxygen (OH-), oxide oxygen
(O2-) and water (H2O) in the passive film. Cr would mainly
exist in the chemical state of chromium oxide (Cr2O3), a small
amount of Cr correspond to chromium oxy-hydroxide (CrOOH)
and chromium hydroxide(Cr(OH)3), the binding energy of Fe
2p3/2 peak correspond to the chemical state of FeO(706.5eV),
Fe2+(708.9eV), Fe2O3 or FeO(OH) (711.1eV) in the passive
film. However, the intensity of the Fe 2p3/2 peak as shown in
fig.2(c) is highly weak, which imply the Fe content in the
passive film is low. A chromium-enrichment in the passive
film is achieved, and measurement within this study have
shown the dissolution rate during pickling and passivation to
be orders of magnitudes higher for iron than for chromium.
This suggests that selective dissolution of iron occur during
passivation leaving chromium enriched in the passive film,
corrosion resistance is improved significantly due to the
formation of the passive film with chromium-enrichment (a) 1.O2- (530.5eV) 2.OH- (531.4eV) 3..H2O (532.9eV)
(b) 1.Cr2O3 (576.6eV) 2.Cr(OH)3 or CrO(OH)(577.3eV)
which have a potential of +1.0v(SCE) close to the potential of
(c) 1. Fe0 (706.5eV) 2. Fe2+ (708.9eV) 3.Fe2O3 or
the noble metal. It is noted that Ni compounds were not FeO(OH) (711.1eV)
considered here because the intensity of the peak was Fig.2 XPS spectrum for main element in the passive film of
extremely small compared with those of the Fe and Cr oxides. 1Cr18Ni9Ti SS sample

398
 Study on Surface Passivation Treatment and Tribological Properties of 1Cr18Ni9Ti Stainless Steel in Hydrogen Peroxide

Therefore, the results show that chromium oxide is the
main component in the passive film on stainless steel. Iron
oxide, hydrous iron or chromium oxides, and iron or
chromium hydroxide etc, are present in trace amounts in the
passive film, which is in agreement with the previous study.
The high corrosion resistance is related to the high amount of
chromium oxide on the surface.
3.4 Friction and wear behavior
The curve of friction coefficient for passivated and
unpassivated 1Cr18Ni9Ti SS disk sliding against GCr15 ball
in deionized water and various concentrations of hydrogen
peroxide is shown in Fig. 3. It can be seen that the average
friction coefficient of the passivated 1Cr18Ni9Ti in initial
run-in stage in deionized water was about 0.4561, which is
lower than that of the unpassivated stainless steel (approx.
0.5967). Whereas, during the experiment phase of last 10 min,
the average friction coefficient for passivated and unpassivated
stainless steel in deionized water reached a similar value, both
of them were 0.5390 and 0.5543 respectively. In 30% and 60%
H2O2, the passivated stainless steel /GCr15 exhibited a
relatively lower average friction coefficient than unpassivated
one at entire experiment phase, i.e. the initial average value are
from 20% to 35%. Meanwhile, the wear volume loss
determined in different concentrations of hydrogen peroxide
for passivated or unpassivated stainless steel are higher than in
deionized water. The wear loss firstly increases and then
decreases with the increase of the hydrogen peroxide
concentration, as can be seen in Fig.4(a). The wear loss reach
maximum value at the concentration of 60%. However, the
wear loss has a slight reduction when the concentration rises
up to 90%. Base on these analyses, it can be found that the
passivated 1Cr18Ni9Ti stainless steel offered a higher wear
resistance compared with the unpassivated one in deionized
water and different concentrations of hydrogen peroxide, and
the wear occurred in hydrogen peroxide is more serious than in
deionized water. It may be related with the strong oxidation of
the hydrogen peroxide.
In addition, Fig. 4(b) gives the wear volume loss for
GCr15 ball under the same condition described above.
Basically, it is observed that the variation of the wear volume
loss for GCr15 ball is in agreement in 1Cr18Ni9Ti stainless
steel disk in Fig.4 (a).
0.18
Before passvation
0.16 After passvation
0.14
3
Wear volume loss / mm

0.6399 and 0.5903 in 30% and 60% H2O2, reduce 11.9% and 0.12
19.1% respectively in comparison with the unpassivated one. 0.10
However, the decrease extent becomes 27.6% in 30% H2O2 0.08
and 42.5% in 60% H2O2 during the late test period. Moreover,
0.06
the friction coefficient is almost same for passivated and
0.04
unpassivated stainless steel in 90% H2O2 (see fig. 3(d)). The
result showed that the friction coefficient for nitric acid 0.02
passivated specimen show a lower value than unpassivated one 0.00
H2O 30%H2O2 60%H2O2 90%H2O2
in deionized water and different concentrations of hydrogen
peroxide except the friction coefficient obtained in 90% H2O2 Concentration of Hydrogen Peroxide
is almost same.
(a) 1Cr18Ni9Ti SS

0.9
䩱࣪ 0.040
0.8 (d)
᳾䩱࣪ Against disk unpassived
0.7 0.035
3

Against disk passived

Wear volume loss / mm

0.6
Friction coefficient

1.0
(c)
0.030
0.8
0.6 0.025
0.4
0.9 0.020
0.8 (b)
0.7 0.015
0.6
0.5
0.7 0.010
(a)
0.6
0.5
0.005
0.4
0.000
0 500 1000 1500 2000 2500 3000 3500 4000 H2O 30%H2O2 60%H2O2 90%H2O2
Time/s Concentration of Hydrogen Peroxide

Fig.3 The curves of friction coefficient for 1Cr18Ni9Ti SS
disk passivated and unpassivated Against GCr15 ball in (a)
deionized water (b) 30%H2O2 (c) 60%H2O2 (d) 90%H2O2
The wear volume loss for the passivated and unpassivated
1Cr18Ni9Ti stainless steel disk in deionized water and
different concentrations of hydrogen peroxide is shown in
Fig.4. It can be seen that passivated stainless steel display a
lower wear volume loss than unpassivated one in deionized
water, 30%, 60% and 90% H2O2. The decrease amount ranges
(b) GCr15 ball
Fig. 4 The bar graph of the wear volume loss for passivated
and unpassivated 1Cr18Ni9Ti SS disk against GCr15 ball in
deionized water and hydrogen peroxide
3.5 Wear mechanism
In general, the presence of oxide film on the clean steel
surface can greatly reduce the adhesive degree of that surface.
For example, according to Buckley [15-16] if one monolayer of

399
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

oxygen is adsorbed on a clean steel surface the adhesivity (or on the worn surface of the 1Cr18Ni9Ti stainless steel whether
maximum tensile load of the contact) is reduced by a factor of undergoing passivation or not. It indicated that abrasive wear
4. In this study, the passive film formed on 1Cr18Ni9Ti SS is the dominant wear mode, and adhesive wear take a
surface which exposure to nitric acid is obviously different alleviation in 90% H2O2 compared with that in deionized water
from the air-formed passive film, the former mainly consisted or 30% hydrogen peroxide, analysis suggested that active
of Cr2O3, with some apparent characteristics, such as oxygen content in hydrogen peroxide was significantly
enrichment of oxygen, enrichment of chromium and limited improved with a increase of the concentration of hydrogen
iron. In addition, compared with the air-formed passive film on peroxide. It was presumed that oxidation reaction is faster than
stainless steel, the nitric acid passivated specimen have a the remove of the oxidation film formed on the stainless steel
thicker passive film which is more complete, compact and surface in 90% H2O2 during friction process. As a result,
uniform than air-formed film. Probably this will be responsible adhesive wear is alleviated in 90% H2O2 due to presence of the
for the significant difference on the tribological properties oxide film which can prevent the two metals from taking
between passivated and unpassivated stainless steel. adhesion.
The presence of the passive film changes the condition of
the contact surface between the 1Cr18Ni9Ti stainless steel and
GCr15 ball, protecting the two metals from suffering adhesion (a)
due to the interaction of the metal atom, which can get a lower
friction and wear. Under boundary lubrication conditions,
Cr2O3 reacts with water and forms chromium hydrate
(Cr2O3·xH2O), which is a soft, easy to shear substance and acts
as a lubricant [17]. Hence, in Fig.3 and Fig. 4, it is found that
the friction coefficient and wear loss for passivated stainless
steel is lower than that of unpassivated one except the friction
coefficient is almost same in 90% H2O2.
Hydrogen peroxide is a strong oxidant, it was found that
the chemical environment offer a remarkable influence on the
friction and wear of the stainless steel. The passive film is easy
to be damaged due to the relative low thickness and poor (b)
bonding strength and forms the metal substrate mirco-area
during friction process, as a result, a large numbers of small
bubbles will be observed in the experiment due to the
decomposition reaction of hydrogen peroxide. The reaction
occurred in this process has been referred to as the
Iron-catalyzed Haber-Weiss reaction, which can accelerate the
decomposition of the hydrogen peroxide into oxygen.
Meanwhile ferric ion will react with oxygen generating ferric
oxide on metal surface. The Haber-Weiss reaction process was
described in detailed as follows:
Fe 2+ + H 2 O 2 Fe 3+ + HO + OH -
Fe 2+ + HO Fe 3+ + OH -
(c)
H 2 O 2 +HO HO 2 + H 2 O
Fe 2+ + HO 2 Fe 3+ + HO 2 -
Fe 3+ + HO 2 Fe 2+ + H + + O 2

Fe 3+ + HO 2 - Fe 2+ + HO 2
Iron oxide formed in the reaction described above is easy
to be taken away from the surface of metal substrate during
friction process, the metal substrate show up again, the
reaction will occur repeatedly. Therefore, in this process, it
will suggest that the wear induce the corrosion, and the
corrosion further aggravate the wear. Obviously, the removal (d)
behavior of the material is related to the interaction of
mechanical and chemical processes, presenting a typical
tribo-chemical wear. It is noted that Iron oxide spall off as
debris with a hardness of 400HV [18], which is easy to cause
the abrasive wear on the stainless steel counterface due to the
iron oxide act as third body particles. It may probably be used
to explain the fact that 1Cr18Ni9Ti stainless steel has a higher
volume wear loss in different concentrations of hydrogen
peroxide than in deionized water.
As can be seen from Fig.5, in 90% H2O2, a large amount
of ploughing grooves rather than adhesive trace were observed

400
 Study on Surface Passivation Treatment and Tribological Properties of 1Cr18Ni9Ti Stainless Steel in Hydrogen Peroxide
(e)
(f)
Fig.5 SEM image of worn surfaces for unpassivated and
passivated 1Cr18Ni9Ti specimens˄1000×˅(a) passivation-H2O
(b)passivation-30%H2O2(c)passivation-60%H2O2(d)unpassivat
ion-H2O(e)unpassivation-30%H2O2(f) unpassivation-60%H2O2
4 Conclusions
(1) After nitric acid passivation treatment, the corrosion
potential takes a shift to more positive potential and the
passive current density greatly decrease from 71.7μA/cm2 to
7.89μA/cm2 for 1Cr18Ni9Ti stainless steel. It is evident that
the corrosion resistance was improved due to existence of the
stable passive film which is characterized by oxygen
enrichment, chromium enrichment, and lack of iron. Moreover,
the passive film formed on 1Cr18Ni9Ti stainless steel mainly
consist of chromium oxide, whereas iron oxide, hydrous iron
or chromium oxides, and iron or chromium hydroxide is
present in trace amounts in the passive film.
(2) Compared with unpassivated stainless steel, the
passivated specimen exhibits a lower friction coefficient in
H2O, 30%, 60% H2O2 and a almost same friction coefficient in
90%H2O2, it indicates that the effect of the passive film on the
friction coefficient is related with the concentration of
hydrogen peroxide, whereas the passivation treatment is in
favor of decreasing the friction coefficient. In addition, the
passivated stainless steel offers a higher wear resistance in
deionized water and hydrogen peroxide than unpassivated one.
(3) It reveals that the wear mechanism is a mixture of
adhesive wear, abrasive wear and corrosive wear in H2O, 30%,
60% and 90% H2O2 for the stainless steel before and after
passivation treatment, whereas it is noted that the adhesive
wear is largely alleviated in 90% H2O2 in comparison with
other concentration.
401
ACKNOWLEDGEMENTS
Supported by Key Basic Research Program of China
(2007CB607603)
References
[1] The use of hydrogen peroxide for propulsion and power
[C]. American Institute of Aeronautics & Astronautics,
AIAA-99-2880.
[2] Mark C. Ventura.Long Term Storability of Hydrogen
Peroxide [R].AIAA 2005-4551.
[3] Andrews D. Advantages of hydrogen peroxide as a
rocket oxidant [J]. Journal of the British Interplanetary
Society, 1990, 43(7):319-328.
[4] Antony J Musker. Highly stabilisec hydrogen peroxide as
a rocket propellant [R]. AIAA 2003-4619.
[5] E. J. Wernimont *and G. L. Garboden. Perimentation
with hydrogen peroxide oxidized
rockets[R] .AIAA-99-2743.
[6] Mark Ventura, PE. Rocket Grade Hydrogen Peroxide
(RGHP) for use in Propulsion and Power Devices -
Historical Discussion of Hazards[R].AIAA 2007-5468.
[7] Ge Lin, Qiancheng Ling, Fuyun Li. A study of thrust
chamber technology using hydrogen peroxide[J].Journal
of Rocket Propulsion, 2005, 31(3):1-4.
[8] Wanjun Wang, Songqing Tang. Green hypergolic
bipropellant using hydrogen peroxide as an oxidant[J].
Chemical propellants β Polymeric Materials, 2004,
2(5):30-34.
[9] Pengjun Wang. Design and application pf differential
pressure orifice flowmeter in H2O2/kerosene engine test
[J].Journal of Rocket Propulsion, 2005, 31(4): 50-53.
[10] Cong Yu , Zhang Tao etc. Propulsive Performance of a
Hypergolic H2O2/Kerosene Bipropellant [J]. Journal of
Propulsion and Power .20(1):83-86.
[11] Liliang Dong. Current situation of hydrogen peroxide
engine experimental technique[J]. Journal of Rocket
Propulsion, 2004, 30(6): 32-35.
[12] Rocketdyne, North American Aviation. Hydrogen
Peroxide Handbook. AFRPL-TR-67-144, July 1967.
[13] ASTM A380 ˉ 06. Standard Practice for Cleaning ,
Descaling, and Passivation of Stainless Steel
Parts ,Equipment, and Systems [S].
[14] ASTM A967ˉ05. Standard Specification for Chemical
Passivation Treatments for Stainless Steel Parts [S]
[15] D. H. Buckley. Surface effects in adhesion, friction, wear
and lubrication. Tribology Series 5, Amsterdam,
(1981)288.
[16] D. H. Buckley, Influence of chemisorbed films on
adhesion and friction of clean iron. NASA Rep. TN
D-4775. 1.
[17] Jianjun Wei, Qunji Xue. The friction and wear properties
of Cr2O3 Coating with aqueous lubrication[J]. wear, 1996,
157-159.
[18] Lifeng Gui, Minda Wu, Yuan Zhao. Hanbook of
Materials testing for mechanical engineering, corrosion
and tribology[M]. Liao Ning: Liaoning Science and
Technology Publishing House, 2002
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

High Speed Tribology: Some Developments on Thermal Behaviors

Zhang Yongzhen / School of Material Science and Qiu Ming / School of Mechatronic Engineering, Henan
Engineering, Henan University of Science & Technology, University of Science & Technology, Luoyang 471003,
Luoyang 471003, China China

(Extended Abstract)

ABSTRACT
The heat produced by friction influences the tribological
properties greatly, especially under the high speed dry sliding,
where the temperature are high enough to cause obvious
change in microstructure of the materials. Based on above
suggestions, researches were made on several metallic pairs
with different thermal properties. The experiments were
carried out under the condition of sliding speed ranged from 30
m/s to 70m/s, contacting pressure ranged form 0.1MPa to 3
MPa and the surrounding temperatures changed from room
temperature to 500 °C. The testing results have indicated that
thermal behaviors influences tribological characteristics in
very complicated way. It seems that tribological properties
behavior differently among different metallic pairs under high
speed dry sliding, which seems closely to related to heat
partition parameters(Hp), and get their best values at the point
of Hp about 0.5. And tribological properties are sensitive to
surface temperature. All measures to improve the friction heat
conduction help to increase the tribological properties.
Surrounding atmospheres also influence the tribological
properties greatly, it seems that the existence of oxygen to be
beneficial to obtain better tribological properties.
Keywords: High speed, Dry sliding, Friction heating, Friction
characteristic, Wear mechanism
INTRODUCTION
High speed sliding surfaces causes large amounts of
friction heat produced and the sliding surfaces temperatures to
increase greatly [1,2]. As it is well known, rise in interface
temperature will result in the microstructure change, and
- The friction and wear tests were carried out by the pin-disc
high-speed tribometer (MMS-1G) [11].
- SEM and EDS were used for micro-analysis.
- Temperature measurements of the pin specimen during
the sliding were carried out with three thermocouples. To
find out the contact temperature exactly at the sliding
surface extrapolation method was used [12].
Results and discussion
(1) Friction and wear characteristic at high-speed
In our works, the P-V behaviors of materials under dry
sliding are made both on wear loss and frictional coefficient
characteristics. Fig.1 gives the relationships between
tribological properties and sliding speed of different pairs.
Clearly, with the increase in sliding speed, frictional
coefficients of all pairs decrease obviously, while the wear
rates increase greatly except that of aluminum
composite/GCr15 pair. Authors suggest that the difference in
wear rate behaviors of aluminum composite were mainly due
to the well thermal stability of ceramics particles and the
protection effects of aluminum oxide against further oxidations.
Moreover, for the pairs of C.G. iron/steel and G-steel/copper,
there are tribological mechanism transitions, an critical speed
value exists based on tribological characteristics, under the
condition of lower sliding speed, with the increase in sliding
speed, the increasing degree of wear loss is relative small and
decreasing degree of frictional coefficient is relative obviously.
If the sliding speed are over that critical values, the increase in
wear loss become much more seriously, while the frictional
coefficient tends to a relative stable values.
0.4
M2 HSS/GCr15
TC4/GCr15
0.3
Friction coefficient

finally present in the difference of tribological characteristics. G-steel/copper

It has been reported that transition in wear mechanism is C.G.iron/steel
0.2 Al comp/steel
closely related to the surface temperatures [3,4]. With the
interface temperature increasing, the surfaces of tribopairs are
0.1
gradually soften and microstructure changes take place, such
as plastic deformation, resistance lose, recrystal, phase
0
transformation and even the molten state [5,6]. Those 0 30 60 90 120
complicated changes are the reason for the degradation of sliding velocity / m .s-1
tribological properties of couples.
Although many researches [7-10] gave PV maps to (a)
describe the tribological characteristics for certain metallic 300

couples, their results could not be directly used to engineering 250 M 2 H SS/G C r15
-4
Wear rate / mm .(N.m) *10

design. The reason was that tribological behaviours in metallic TC 4/G C r15
G -steel/copper
-1

200
couples were somewhat controlled by thermal situations, C .G .iron/steel
A l comp/steel
especially under high speed condition. The thermal situations
3

150

included heat transferring and heat dissipating condition, 100

Thermal conductivity, surrounding temperature and
environment atmosphere were investigated in this paper. At the 50

same time, the corresponding mechanisms were examined by 0

using SEM and EDS in order to get a better understanding for 0 30 60
sliding velo city / m.s -1
90 120

degradation mechanism of tribological property of metallic

tribopairs. (b)
Fig. 1 The wear rate vs. sliding velocity curves
Experimental details
(2) Effect of thermal conductivity on tribological property
- Materials are Ti6Al4V/GCr15, CrNiMo/Brass and
ķ Interface temperature
M2/GCr15.

402
 High Speed Tribology: Some Developments on Thermal Behaviors
Typical interface temperature variation during the sliding
of Ti6Al4V and Ti6Al4V-Copper with sliding time at 30 m/s
sliding velocity and 1MPa contact pressure was shown in Fig.2.
Figure showed that there were three regimes of temperature
variation with sliding time in the entire range of sliding
velocities and contact pressures used in the work. The first
regime corresponded to initial steep rise in temperature during
the run in period, the second one corresponded to the steady
state sliding showed constancy in temperature and the third
one corresponded to final steep drop in temperature during the
stop in period. Furthermore, the interface temperatures of
Ti6Al4V pins were higher than those of Ti6Al4V-Copper pins.
Fig.2 Interface temperature vs. sliding time Fig.3 Interface temperature vs. PV
relationships for Ti6Al4V and Ti6Al4V-Copper relationships
Variation in interface temperature with PV (P is contact
pressure and V is sliding velocity) for Ti6Al4V and
Ti6Al4V-Copper was shown in Fig.3. It was observed that
increase in PV increased the interface temperature. At the same
time, in the low PV range the temperature difference between
Ti6Al4V and Ti6Al4V-Copper increased with PV increasing.
Above certain PV (about 40MPa⋅m⋅s-1) drop slowly in
temperature difference takes place. The maximum temperature
difference may be up to 667 °C under the conditions used in
the work.
ĸ Friction and wear behaviour
Variation of friction coefficient with PV value for
Ti6Al4V and Ti6Al4V-Copper was shown in Fig.4a. It
appeared that friction coefficient decreased with PV increasing
under both Ti6Al4V and Ti6Al4V-Copper pins conditions, and,
on the whole, the friction coefficients of Ti6Al4V-Copper pins
are higher than those of Ti6Al4V pins.
PV value significantly affects the wear behaviour of
Ti6Al4V and Ti6Al4V-Copper (Fig. 4b). It was observed that
wear rate increased with increase in PV. However, the
difference in wear rate between Ti6Al4V and Ti6Al4V-Copper
was not obvious. Sometimes the wear rate of Ti6Al4V was
higher than Ti6Al4V-Copper, sometimes the wear rate of
Ti6Al4V was lower than Ti6Al4V-Copper.
(a) (b)
Fig. 4 Friction coefficient (a) and wear rate (b) vs. PV relationships
Ĺ Worn surface features
SEM of worn surface of Ti6Al4V-Copper after sliding at
40 m/s and 0.67 MPa revealed crater, oxidized surface and
adhesive (Fig.5a). However, severe plastic deformation and
melting damages could be notice on the worn surface after
sliding of Ti6Al4V at the same condition (Fig.5b).
EDS analysis clearly showed that the presence of O
element on the worn surface of Ti6Al4V-Copper at 40-60 m/s
(Fig.6). This indicated that oxidation wear took place for
Ti6Al4V-Copper. On the other hand, the worn surface of
Ti6Al4V-Copper at 50 and 60 m/s showed the presence of Fe
element from the counterbody, but Fe element is inexistent at
403
40 m/s.
(a) (b)
Fig.5 SEM microphotographs of worn surface tested at 40 m/s and 0.67 MPa: (a)
Ti6Al4V-Copper, (b) Ti6Al4V
Fig.6 EDS of worn surface of Ti6Al4V-Copper tested at 0.33MPa and
(a)40m/s,(b)50m/s,(c)60m/s
(3) Effect of surrounding temperature on tribological property
Surrounding temperature definitely influences the
tribological process too. Our studies reveal that, with the
increase in surrounding temperature, the wear rates obviously
increase, while the frictional coefficients greatly decrease.
Furthermore, the critical P-V values of either frictional
coefficient or wear rate obviously move to lower values with
surrounding temperature rising. This means under high
surrounding temperature, the tribological mechanism transition
will move to low P-V values. The possible explanations are
that, under high surrounding temperature, the little frictional
heat produced might cause the surface temperature to get up to
the phase transformation point, and to cause the materials
properties to change obviously.
Conclusions
From the experimental results following point may be
concluded:
(1) Tribological behaviours are different among three
metallic tribopairs under high-speed dry sliding condition. The
wear rate of Ti6Al4V against GCr15 is largest, however, the
wear rate of CrNiMo against Brass is lowest.
(2) Tribological properties are sensitive to surface
temperature. All measures to improve the friction heat
conduction will help to increase the tribological properties of
the metallic tribopairs.
(3) Surrounding temperatures influence not only the wear
rate and frictional coefficient, but also the tribological
characteristics.
ACKNOWLEDGEMENTS
The financial support for this work by the National Natural
Science Foundation of China under Grant No.50775066 and
the National Basic Research ‘973’ Program of China under
Grant No. 2007CB607603 is gratefully acknowledged.
REFERENCES
[1] Jin, T., BrianRowe, W., McCormack, D., 2002, “Temperatures in deep
grinding of finite workpieces,” Int. J. Mach. Tool. Manu, 42, pp.53-59.
[2] Komanduri, R., Hou, Z.B., 2001, “Analysis of heat partition and
temperature distribution in sliding systems,” Wear, 251, pp.925-938.
[3] Wilson, S., Alpas, A.T., 1999, “Thermal effects on mild wear transitions
in dry sliding of an aluminum alloy,” Wear, 225-229, pp.440-449.
[4] Dwivedi, D. K., 2004, “Sliding temperature and wear behaviour of cast
Al-Si-Mg alloy,” Mater. Sci. Eng. A, 382, pp.328-334.
[5] Wilson, S., Alpas, A.T., 1997, “Wear mechanism maps for metal matrix
composites,” Wear, 212, pp.41-49.
[6]-[12] are omitted.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Dry Sliding Wear Behavior of Cu-Graphite Composite within a Wide Range of Sliding Velocity

Wenlin Ma/State Key Lab oratory of Solid Lubrication, Lanzhou Institute of Chemical Physics, Chinese Academy of
Sciences, Lanzhou 730000, P.R. China;
Graduate School of the Chinese Academy of Sciences, Beijing 100039, P.R. China
Jinjun Lu*/State Key Laboratory of Solid Lubrication, Lanzhou Institute of Chemical Physics, Chinese Academy of
Sciences, Lanzhou 730000, P.R. China

Extended Abstract

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Dry Sliding Wear Behavior of Cu-Graphite Composite within a Wide Range of Sliding Velocity

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Tribological Aspects of Control over Frictional Interaction between Solids in

the Presence of Liquid Crystals

S.F. Ermakov
V.A. Belyi Meytal-Polymer Research Institute of NASB, MPRI, Kirov St. 32A, 246050 Gomel, BELARUS
A.V. Mikelionis
V.A. Belyi Meytal-Polymer Research Institute of NASB, MPRI, Kirov St. 32A, 246050 Gomel, BELARUS

Extended Abstract

406
Tribological Aspects of Control over Frictional Interaction between Solids in the Presence of Liquid Crystals

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Effects of the Concentration of Sodium Lauryl Sulfate Solution and NaCl Additive on the
Potential-Controlled Friction
Siqing He1, Yonggang Meng1,*, Yu Tian1
1
State Key Laboratory of Tribology (Tsinghua University,Qinghua Yuan, Beijing 100084, China)
ABSTRACT
1--10mM sodium lauryl sulfate (SLS) aqueous solution and
its mixture with 10—1000mM NaCl additive have been used in
friction test of ZrO2/Stainless steel pairs to investigate the
effects of the concentrations of surfactant and supporting
electrolyte on potential-controlled friction. The experiments
were conducted on a home-made 3 ball/disc type tribotester
equipped with an electrochemical cell. Three potential control
modes, namely open circuit, positive potential and negative
potential, were carried out in this study. Experiment results
have shown that friction coefficient can be changed by an
external potential as low as 0.2V DC when the surfactant
concentration is low. The ascending time and the descending
time of the friction coefficient with response to the change of
the control potential have indicated that the concentration of
NaCl additive higher than 100mM is not good for achieving a
fast and substantial potential-controlled friction effect, and the
concentration of NaCl additive should be controlled less than
10mM. Analysis of the experiment results revealed that the
friction change is not induced as a result of the electrolysis of
water, but by adsorption and desorption of surfactant on metal
surfaces due to the change in surface potential.
Keywords: Potential-controlled friction, SLS aqueous solution,
NaCl additive
INTRODUCTION
One century ago Thomas Edison studied the effect of
electric field on friction [1]. Since then, a lot of research work
have been done on the relationship between friction and
electric field or electric potential [2-10], and the concept of
potential-controlled friction have been put forward [11, 12].
Especially for the tribosystem of metal/ceramic couples
lubricated with aqueous solutions, friction coefficient can be
changed in a relative wide range of about 300% by applying
and adjusting an “off- contact” electrical potential to the area
near the contact. For example, Meng et al [11] have shown that
the friction coefficient of an alumina/brass sliding couples in
zinc stearate/water suspensions can rise and fall along with the
variation of the applied potential. Similar researches had been
studied by Jiang and Chang [8, 9 and 12]. Their research
results show that the potential-controlled friction can be mainly
affected by the magnitude of control voltage, materials of
friction couples, aqueous lubricants, position of electrodes etc.
magnitude of the critical potential required for
potential-controlled friction effect and to shorten the response
time of friction change. A series of experiments on friction
behavior of metal/ceramic friction couples were performed in
SLS aqueous solution with different concentrations and NaCl
supporting electrolyte. The addition of inorganic salt into
aqueous surfactant solution will lead to a decrease in the
critical micelle concentration (CMC) of surfactant and an
increase in the conductivity of the aqueous lubricant, and thus
expecting to effect the absorption of surfactant onto the
frictional interface and charging/discharging time of the
electrodes when the control voltage is swicthed on or off.
Consequently, the performance of potential-controlled friction
may be improved.
Experimental details
1. Experimental apparatus
A schematic of the home-made 3 ball/disc type tribotester
used in the study is shown in Fig. 1. This tester allows the
application of an external electric field of changeable polarity
between the metal specimen 1 (working electrode) and the
graphite electrode 3 (counter electrode) during the frictional
test. The metal specimen was connected to GND. The polarity
of the potential between the counter electrode and the working
electrode was defined as the positive potential when the switch
K was connected with position A, and the negative potential
when the switch K was connected with B. A relay was used to
change rapidly the polarity of the potential. The graphite
electrode was connected with DC power 8 by an electric brush
(not shown in the schematic). The distance between the
graphite electrode and the metal specimen was set as 3mm.
The ceramic balls 2 were held at the shaft end of the motor 9.
The metal specimen was fixed on the bottom of the solution
groove 5, and rubbed by the upper ceramic balls. A force
sensor 7, type 9205 of KISTLER, was mounted on the side of
the tribotester to measure the friction force. The data in the
experiment, including the signal of frictional force, voltage
between the two electrodes and current in the circuit, were
acquired by using a high speed PCI 1711 data acquisition card
(Advantech). Three control modes, open circuit, positive
potential with 4.9V DC and negative potential with -0.2V DC,
were carried out during all tests. In the paper, the friction
coefficient under the positive potential, negative potential and
In their experiments, saturated surfactant aqueous solutions
were always used as lubricant, and the control voltages as high
as 10V or higher were usually applied to the electrodes. A
disadvantage of the relative high control voltage is the
electrochemical reaction of electrolysis of water which was
considered as a necessary condition for generating the
potential-controlled friction effect. Moreover, the response of
friction coefficient to the change in control voltage is not fast,
in a time scale of several seconds in ascending stage, and a
dozen of seconds in the descending stage. It is obvious that this
slow response and severe electrochemical reaction restricted its
practical applications.
The aim of this study is to find a way to reduce the
408
open circuit were defined as p, n and o, respectively. The
rotational speed of the motor was set as a constant of 100 rpm.
A normal force applied on the ball/disc contact was set as 10 N
by adjusting the weight 11. The friction couple was immersed
in the SLS aqueous solution or its mixture with NaCl additive
during the whole test. Under these test conditions, the friction
couple was in the boundary lubrication regime.
2. Test specimen and aqueous lubricant
The friction couple used in the experiments was
composed of a disc of 1Cr13 martensite stainless steel and
three silicon nitride balls. The silicon nitride balls had a
nominal diameter of 4 mm, and were commercial product
 Effects of the Concentration of Sodium Lauryl Sulfate Solution and NaCl Additive on the Potential-Controlled Friction

made of hot pressed Si3N4. The main physical and mechanical micelles are formed when the concentration of NaCl additive is
properties of the Si3N4 and 1Cr13 specimen are listed in Table higher than 500mM.
1. The 1Cr13 stainless steel was composed of İ0.15 wt% C,
İ1.00 wt% Si, İ1.00 wt% Mn, 11.5-13.5 wt% Cr, İ0.030
wt% S and İ0.035 wt% P. The stainless steel disc was
polished to a surface roughness of Ra=40 nm by lapping paste
of diamond particle with diameter of 1m. Prior to every
experiment the specimens were ultrasonically cleaned for 3
min in acetone, ethanol, distilled water to remove contaminants
on the surface and subsequently dried in a stream of air. The
lubricant used in the experiment was 1-10mM SLS aqueous
solution and their mixture solution with NaCl in the
concentration range of 10-1000mM. The compositions of the
lubricants were listed in Table 2. Total twenty-four kinds of
lubricants with different SLS and NaCl concentrations were
tested in the experiment. The pH value of the solution was 7.2
before the friction test. The temperature of the solution was set
as the same as room temperature, 23ć,during the whole test.

10 8
A
9 +
K _
B
1 2 3 4 5
11 GND

Fig. 1 Schematic of the tribotester system. (1) metal specimen,

(2) ceramic ball, (3) graphite electrode, (4) SLS solution or
its mixture with NaCl additive, (5) solution groove, (6)
angular contact ball bearing, (7) force sensor, (8) DC
power, (9) motor, (10) lever, (11) weight

Table 1 Physical and mechanical properties of Si3N4 ball and

1Cr13 stainless steel
Density Hardness Surface Young’s Poisson
(g/cm3) (HV) roughnes modulus ratio
s (nm) (GPa)
Si3N4 3.17 2000 20 300 0.23
1Cr13 7.75 227 40 200 0.27

Table 2 Concentration of surfactant and NaCl in lubricant Fig. 2 A typical result of the friction coefficient under potential
SLS (mol/L) 0.001 0.003 0.005 0.01 control: (a) friction coefficient, control voltage and current
NaCl (mol/L) 0.01 0.05 0.1 0.5 1.0 during one cycle of test; (b) friction coefficient and potential in
the ascending stage; (c) friction coefficient and potential in the
3. Wear morphology descending stage
In order to observe the worn surface of the stainless steel
plate tested with a load of 10 N in 30 minutes, the rubbed Fig. 2 shows a typical test result of the ball-on-disc test under
stainless steel plates were taken away from the tribotester and potential control in 10mM SLS aqueous solution. The friction
cleaned in acetone, ethanol and water with an ultrasonic coefficient was simply converted from the measured friction
cleaner for 3 minutes respectively after the experiment. Then force by dividing with the normal force. Fig. 2(a) shows the
the worn scars of the stainless steel plates were examined on variations of friction coefficient, control potential and current
FEI Quanta 200 FEG Environmental Scanning Electron during one cycle of test. The friction coefficient curve consists
Microscope (ESEM). of three parts which correspond to the three stages of potential
application respectively. The first part is in the stage of low
Results and discussion
All SLS aqueous solutions without NaCl additive and
their mixtures of NaCl with concentrations less than 500mM
were clear and transparent before experiment. However, when
friction coefficient (o) during which no external voltage is
imposed on the couple but a potential difference of about 0.9V
is existed between the counter electrode and working electrode
because they possess different electrode potential in SLS
aqueous solution, and the average value of the friction
coefficient is about 0.105. The second part is in the stage of
the concentration of NaCl additive was higher than 500mM the high friction coefficient (p) under positive potential of about
lubricant became milky liquid, which implies that SLS 4.9V, and the average value of the friction coefficient is about

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

0.4. The third part is in the recovery stage of friction response of friction to the potential change can be obtained
coefficient (n) under a negative potential of about -0.2V, and under a cyclic square-wave control potential.
the average value of the friction coefficient is about 0.084. As
shown in Fig. 2(a), friction coefficient rises rapidly when a
positive potential is imposed on the friction couple, and falls
rapidly when the positive potential is changed into a negative
potential. Fig. 2(b) shows the ascending process of friction
with a rising response time, tUĬV, which is defined as the
time period from the beginning of the application of positive
potential to instant at which the average value of friction
coefficient over the positive potential stage is reached. Fig. 2(c)
shows the descending process of friction coefficient with a
falling response time, tdĬVdefined as the time period
from the beginning of application of the negative potential to
the instant at which the average value of friction coefficient
over the open circuit stage is reached. Moreover, Fig 2(c)
shows that n decreases continually after friction coefficient is Fig. 4 Variation of friction coefficient under a cyclic square-
recovered to o until to a stable value in a short period of about
0.4s, which means that the negative potential is favorable to
the absorption of lauryl sulfate radical ions onto the friction
interface and to the formation of a stable boundary lubricant
film.
Fig. 3 shows a test result obtained in a relative longer
running time in 10mM SLS aqueous solution. The potential
difference between the counter electrode and working
electrode decreases from 1.4V to 1.1V in open circuit in the
test, which may be affected by residual charges on the
electrodes in the preceding potential application. The time
durations of open circuit, positive potential and negative
potential are 180s, 240s and 180s respectively, and the
corresponding mean friction coefficient in the three control
stages was about 0.105, 0.39 and 0.08 respectively, which
implies that the boundary lubricant film formed by the lauryl
sulfate radical ions on the friction surfaces is removed under
the positive potential and is formed under the negative
potential, and the thickness of the lubricant film can maintain a
relative stabe value in each control stage.
wave of control potential
Fig. 5 shows the response time of friction coefficient to
the change of the control potential for the lubricants with SLS
and NaCl concentrations as listed in Table 2. It should be noted
that the points of 10-5M NaCl concentraion in the figure
represent the cases of no NaCl additive. It can be observed
from Fig. 5(a) that the rising response time tr is about 0.2s for
all the tested lubricants with the NaCl concentration less than
500mM. When the NaCl concentration exceeds 500mM, the
rising response time tr increases dramatically for all SLS
solutions tested. Fig. 5(b) shows that the falling response time
td is about 1.1s for all SLS solutions with the NaCl
concentration less than 50mM. For the lubricant with 3mM
SLS and 10mM NaCl, td, is only 0.15s. The falling response
time, td, increases rapidly once the concentration of NaCl
additive is higher than 100mM. The concentration of NaCl
should be no more than 50mM for maintaining a rapid
response of friction to potential change.
Fig. 6 shows the ratio of friction coefficient under positive
potential to that in open circuit (p/o) and to that under
negative potential (p/n) for the lubricants with various SLS
and NaCl concentrations. As in Fig.5, the 10-5M NaCl
concentration means no NaCl additive. We can see that both of
p/o and p/n increase with the increase of NaCl
concentration in 1mM SLS aqueous solution as long as the
NaCl concentration is less than 50mM, and the maximum
values of p/o and p/n are 13.6 and 18.7 respectively,
appearing at the concentration of 50mM NaCl in 1mM SLS
aqueous solution. The maximum values of p/o and p/n are 5
and 8.3 respectively for the lubricant with the concentration of
10mM NaCl in 3mM SLS aqueous solution. Excepting case of
1mM SLS aqueous solution, p/o and p/n decrease or hardly
change with the increase of NaCl concentration for other SLS
Fig. 3 Friction coefficient under potential control for a long aqueous solutions. Therefore, a small quantity of NaCl additive
term test is favorable to the increase in the ratios of p/o and p/n when
the concentration of SLS is much less than its CMC, and the
In order to further investigate the effect of control NaCl additive is not favorable to the increase in the ratios of
potential on friction coefficient, the test was carried out under
a series of control potential of variable polarity. The control
sequence is open circuit ė positive potentiaO ė negative
potentiaOėopen circuit circularly. Fig. 4 shows that friction
coefficient is about 0.1 in the first cycle in the open circuit
stage, and about 0.12 in the second and third cycle in the open
p/o and p/n when the concentration of SLS solution is close
to its CMC (about 8mM at room temperature).
It is well known that a lauryl sulfate radical ion possesses
a negative charge in SLS aqueous solution. A potential
difference can exist between the two electrodes and the
working electrode is charged with negative charges when the
circuit stage. The p and n are about 0.39 and 0.07 two electrodes is in the state of open circuit, so some lauryl
respectively and have good repeatability. The curves of friction sulfate radical ions can be adsorbed on the working electrode
coefficient and potential are overlapped in time during the to form a boundary lubricative film and thus friction
switching of potential polarity, which means that good coefficient is low.

410
 Effects of the Concentration of Sodium Lauryl Sulfate Solution and NaCl Additive on the Potential-Controlled Friction

Fig. 5 Response time of friction coefficient to the change of control potential for the tested lubricants (a) rising response time;
(b) falling response time

Fig. 6 Ratio of friction coefficient of the tested lubricants: (a) p/o ; (b) p/n

When a higher positive potential is imposed on the friction response time of friction coefficient to the potential change
couple, the counter electrode and the working electrode are indicate that the influence of NaCl additive on response time is
positively and negatively charged respectively, forming a not notable when the concentration of NaCl in SLS aqueous
positive electric field and a current in the circuit can be solution is less than 50mM, and while the NaCl concentration
measured (Fig. 2b), the action the electrochemical reaction near is greater than 500mM, both the rising response time and the
the electrodes under higher positive potential [10] and the field falling response time are increased obviously. These
force acting on the lauryl sulfate radical ions can remove the experimental results are in contrary to the change of time
boundary film from the working electrode and raise the friction constant. This may be explained by the effect of inorganic salt
coefficient. Moreover, the shorter the charging time of the on the critical micelle concentration (CMC) of SLS solution.
electrodes is, i. e., the smaller the time constant is, the faster the When CMC is lower with the increase in NaCl concentration,
forming of a positive electric field is, so the faster the increase the lauryl sulfate radical ions in the solutions are easy to
of friction coefficient is. When a negative potential is imposed accumulate to form micelles which are more difficult to move
on the friction couple after the positive potential stage, the in electric field than the lauryl sulfate radical ions. This gives
charges accumulated on the electrodes are discharged and rise to a slower response of friction to the potential change.
neutralized firstly, then the electrodes are recharged with
opposite charges, resulting in a plenty of positive charges on
the working electrode to form a negative electric field, so
quantities of lauryl sulfate radical ions are adsorbed onto the
surface of the working electrode to form a thick lubricative film
and the friction coefficient is lower than that in open circuit.
The counter electrode and the working electrode form a
plane capacitor, so the time constant is mainly decided by the
resistance of the solution. Fig. 7 shows the current under the
positive potential with the tested lubricants. The current
increases with increase of the SLS concentration, but it is
mainly affected by the NaCl concentration and increases with
the increase of the NaCl concentration, which indicates that the
resistance of solution decreases with increase of the NaCl
concentration in the mixture solutions. So the time constant Fig. 7 Current under the positive potential for the tested
decreases with the increase of the NaCl concentration too, lubricants
which implies that the response time of friction coefficient
decreases with the increase of the NaCl concentration in the The same sort of stainless steel plate was used for
mixture solutions. Actually, the experimental results of comparing the worn in the potential-controlled friction tests.

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

The wear scars of rubbed stainless steel plates, after tested solution is less than 50mM, but both the rising response time
under a positive and a negative potentials in 10mM SLS and the falling response time increase obviously when NaCl
solution for 30 minutes, are shown in Fig. 8 (a and b), concentration is greater than 500mM.
respectively. When a low negative potential of -0.2V was (2) A small quantity of NaCl additive is favorable to the
applied to the friction couple, the wear scar is slight and increase in the ratios of p/o and p/n when the concentration
shallow, and there is no electrochemical erosion on the surface of SLS solution is much less than CMC, and the NaCl additive
of the stainless steel (Fig. 8a). When a positive ptential of 4.9V
was applied to the friction couple, some obvious furrow can be
observed and the rubbed surface was badly damaged in this
control mode as shown in Fig. 8b. The ESEM images of wear
scars testify that a low negative potential is also favorable to
the decrease in friction and wear of metal/ceramic friction
couple in SLS aqueous solutions.
Fig. 8 Comparison of ESEM images of the surface topography
of rubbed stainless steel plate for 30 minutes: (a) under
negative potential of -0.2V, (b) under positive potential of 4.9V
Conclusions
The rising response time and the falling response time of
friction coefficient to the potential change can be affected by
the concentrations of SLS and NaCl additive. The ratio of the
friction coefficient in different control modes is also affected by
the concentrations of SLS and NaCl additive. Based on the
experimental results obtained in the study, the following
conclusions can be drawn:
(1) The influence of NaCl additive on response time is not
notable when the concentration of NaCl in SLS aqueous
412
is not favorable to the increase in the ratios of p/o and p/n
when the concentration of SLS is close to its CMC.
(3) The current increases with the increase of the SLS
concentration, but it is mainly affected by the NaCl
concentration, and increases with the increase of the NaCl
concentration in SLS aqueous solutions.
(4) Too high concentration of NaCl additive in SLS aqueous
solution neither improves the response of friction nor increases
the magnitude of friction coefficient change. So the
concentration of NaCl in SLS aqueous solution should be less
than 10mM for practical applications of potential-controlled
friction.
(5) Low negative potentials can not cause electrochemical
corrosion of metal, but bring about the advantages of lower
friction and wear as well as faster response.
ACKNOWLEDGEMENTS
The grants from the National Natural Science Foundation
of China (NSFC, No. 50525515, No. 50721004) are
acknowledged.
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[1] T. Edison, Improvement in Telegraph Apparatus, U. S.
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[3] Y.Y. Zhu, G.H. Kelsall, H.A. Spikes, The influence of
electrochemical potentials on the friction and wear of iron
and iron oxides in aqueous systems, Tribol. Trans. 37 (4)
(1994) 811-819.
[4] Y.Y. Su, Enhanced boundary lubrication by potential control
during copper wire drawing, Wear 210 (1997) 165-170.
[5] N.P. Brandon, R.J.K. Wood, The influence of interfacial
potential on friction and wear in an aqueous drilling mud,
Wear 170 (1993) 33-38.
[6] H. Jiang, P.L. Wong, Y. Meng, Influence of off-contact
electric potential on frictional behavior of an agate/brass
(SiO2/Cu) friction couple, ProIMeche Part J: J. Eng. Tribol.
215 (2) (2001) 201-206.
[7] S. Mischler, P. Ponthiaux, A round robin on combined
electrochemical and friction tests on alumina/stainless steel
couples in sulphuric acid, Wear 248 (2001) 211-225.
[8] H. Jiang, P.L. Wong, Y. Meng, S. Wen, An indirect electric
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Lubr. Sci. 15 (3) (2003) 275-292.
[9] Q. Chang, Y. Meng, S. Wen, Influence of interfacial
potential on the tribological behavior of brass/silicon
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 Study of Wear and Corrosion Properties of Coated Ionic Liquid

Study of Wear and Corrosion Properties of Coated Ionic Liquid

Zhang Xiaohao1 , Zhang Xiangjun1, Liu Yonghe2, Mikhail Kosinsky2,Imad Ahmed2, Stefan Krischok2,
2
Juergen A. Schaefer
1. State Key Laboratory of Tribology (SKLT), Tsinghua University, China
2. Institute of Physics and Centre for Micro and Nanotechnologies, Technical University of Ilmenau, Germany

ABSTRACT (SEM). The result is gratifying. Compared to the pure ionic

In this paper, in order to weaken the corrosion property of liquid, most of the coated samples had a one order smaller of
ionic liquids and use it as vacuum lubricant, we coated the scratch deepness. It is expected that the present investigation
ionic liquids with some other liquid and tested their friction will help to solve the corrosion problem of ionic liquids.
and corrosion properties using microtribometer and scanning
electron microscope (SEM). The result is gratifying. Compared SAMPLES AND EQUIPMENT
to the pure ionic liquid, most of the coated samples had a one As the imidazolium based ionic liquids (IL) with
order smaller scratch deepness. long-chain hydrocarbon residues exhibit surfactant properties
Keywords: Room-temperature ionic liquid, wear, corrosion, in water,[12-13] we could recently demonstrate that the surfactant
coating like ionic liquid 1-hexadecyl-3-methylimidazolium chloride
([C16mim][Cl]) forms colloidal structures in ethylammonium
INTRODUCTION nitrate (EAN) as well. So we formulated some microemulsions
Nowadays Room-temperature ionic liquids are attracting
containing the long- chain ionic liquid
more and more attention. This is because of their remarkable
1-hexadecyl-3-methyl-imidazolium chloride ([C16mim][Cl])
new properties, such as good electrical conductivity, non-
as surfactant, decanol as cosurfactant, dodecane as continuous
flammability, high thermal stability, high chemical stability,
phase and room temperature ionic liquids (EAN and
low melting point, broad liquid range, and controlled miscibility
1-butyl-3-methylimidazolium 2 tetrafluoroborate
with organic compounds, especially some heterocycle
([BMIm]][BF4]), respectively) as polar microenvironment
compounds and very low vapor pressure [1-4]. Because of these
have been formulated.
properties, they are already widely used in chemical industry.
EAN was prepared by the reaction of equimolar amounts
Initially, ionic liquids developed by electrochemists for the use
of ethylamine and nitric acid as described by Evans et al. [5]
as electrolytes in batteries or for metal electrodeposition. Soon
Water was removed by rotary pump followed by lyophilization.
they attracted enormous attention as media for green synthesis
The obtained EAN was recrystallized three times from
and have been successfully used to realize many important
acetonitrile. The resulting colorless EAN was dried under
reactions[5,6]. Moreover, they also have a good potential for the
vacuum at 50°C for one week and then stored under nitrogen.
use as lubricant, especially as vacuum lubricant because of
[BMIm][[BF4]] was prepared by a procedure described by
their low vapor pressure. There are already many papers posted
Holbrey et al. [7] [BMIm][Cl] was synthesized by the reaction
about this. Xia and Wang[7] used ionic liquid of
of 1-methylimidazole with 1-chlorobutane in acetonitrile and
1-ethyl-3-hexylimidazolium hexafluorophosphate between
was recrystallized three times from acetonitrile.
plasma nitrided stainless steel against SAE52100 steel, Liu and
[C16mim][Cl] was obtained from the reaction of equimolar
his coworkers[8] used 1-ethyl-3-hexylimidazoliumbis (trifluoro-
amounts of 1-methylimidazole and 1-chlorohexadecane in
methylsulfonyl)-imide as lubricant for steel-steel contact, P.
acetonitrile. The product was recrystallized three times from
Iglesias, M.D Bermúdez[9] used n-dodecylammonium chloride
tetrahydrofurane and dried under vacuum at 50°C for one
as oil additives in the wear of ASTM B211 aluminium–AISI
week.
52100 steel contacts. There are also many studies on coating
With different proportion of the microemulsions, we get
the ionic liquid as a thin film on different substrates such as
four different samples, [BMIM][BF4] 6%, [BMIM][BF4] 24%;
single-crystal silicon wafers and glass and investigating their
EAN 6%, EAN 24%. For example, [BMIM][BF4] 6% contains
tribological properties. However, it was also found in these
6% volume percentage of [BMIM][BF4], the other samples
experiments that most ionic liquids have high corrosion ability
have the same naming rules. In the experiments showed below,
restricting their use.
we compared these samples with pure [BMIM][BF4] and
In this investigation, in order to weaken the corrosion
EAN.
property of ionic liquids and use it as vacuum lubricant, we
We used a commercial tribometer from TETRA GmbH as
made, in cooperation with Institute of Physical and Theoretical
shown in fig.1 in our experiments. The setup uses a double-leaf
Chemistry of University of Regensburg, a sample comprising
spring as the force transducer and two optical fiber sensors to
an ionic liquid as surfactant and a room-temperature ionic
measure the lateral and vertical deformations of the spring
liquid as polar pseudo-phase, so called ‘Coated Ionic
separately. By measuring the deformations, and multiplying by
Liquids’[10]. Using these samples, we measured their friction
the lateral spring constant (Kx) and the vertical spring constant
and corrosion properties between Si-Si and steel-steel samples
(Kz), we obtain the friction force and normal load. The spring
utilizing a microtribometer and scanning electron microscope
used in this study was made from steel with spring constants of
*Corresponding author: Zhang Xiangjun Kz=3671 N/m and Kx=12250 N/m.
E-mail address: xjzhang@mail.tsinghua.edu.cn

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

z the Si substrate with pure [BMIm][BF4] as lubricant.

Z stage In this figure, we can see clearly that the friction
y coefficient decreases with increasing velocity for all
x Adhesion force studied normal loads. The shown results indicate an
Optical Fiber
Sensor increase of the friction coefficient with increasing
normal load. This is also approved by the second
Spring Friction force experiment of coefficient of friction against different
Ball normal load as showed in fig4. The other samples
Mirrors show a similar behavior.
Lower sample

Lateral pizeo

(a)

(b)

Fig.1 (a) Experimental configuration for friction tests: (b) Fig.3 Velocity influence of Si ball against Si substrate with
Schematic diagram of the double-leaf glass spring pure [BMIM][BF4] as lubricant

EXPERIMENTAL RESULTS AND DISCUSSION 2. Influence of the normal load: Measure the coefficient
of friction against different normal load. We kept all
other parameters constant and changed only the
Si ball: 2mm normal load (FN) from 50 mN to 500mN. The used
Steel ball:3mm
slip speed was 360 ­m/s, and again 10 cycles have
been measured.

Polished steel
Polished Si

Fig.2 Principle of the equipment

Fig.2 shows the principle of the equipment. A ball slips on
a smooth surface covered by the lubricant. In our equipment,
we measured both Si ball against Si and steel ball against
polished steel.
Before each experiment, we use actone, deionized water
and isopropanol to clean both the balls and substrates (5
minute each step). All the samples were cleaned using the
same method. The experiments include 5 steps.
1. Influence of speed: we measured the coefficient of
friction as a function of the slip speed for different
normal loads. The other parameters are kept constant.
The slip speed (v) was varied from 720­m/s to 45
­m/s. The used normal loads were 150mN, 200mN,
250mN, 300mN, 350mN, 400mN, 450mN and
500mN, respectively. We measured always 10 cycles.
Fig3 shows the typical result for the Si ball against
Fig.4 Normal load influence of Si ball against Si substrate
with pure [BMIM][BF4] as lubricant
3. Influence of time: We measured the coefficient of
friction against slip cycles. 2500 cycles with a slip
speed of 720m/s were measured at a normal load of
300 mN. The aim of these experiments was to study
whether the coated ionic liquids have reduced
corrosion propriety compared with the pure ones.
Therefore, the most important quantities are the
changes of the coefficient of friction and the surface
topography with slip cycles after long time
measurements. Fig.5 and Fig.6 show the influence of
time for steel ball against steel substrate and silicon
ball against silicon substrate. As visible in Fig. 6 the
friction coefficient for EAN is abnormally high.

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 Study of Wear and Corrosion Properties of Coated Ionic Liquid

5. We used SEM to measure the corrosion.

Fig7 and fig 8 show the SEM graph of the samples
after friction of steel-steel and Si-Si, respectively.

Fig.5 7ime influence (steel-steel)

Fig.7 SEM result (Si-Si)

Fig.6 time influence (Si-Si)

Fig.8 SEM result (steel-steel)
4. Measure surface topography of the substrate with a
Surface Profiler in order to obtain in particular
information on the deepness of the trace. Table.1 Together with the EDX results, presented in fig.9-11,
shows the results for the deepness of the scratch of they reveal that EAN 6% and EAN 24% have better
each sample. Higher deepness implies higher corrosion stability compared to pure EAN in silicon
corrosion. For the last 2 samples, steel-EAN 6% and against silicon, but cause a much higher corrosion in steel
steel-EAN 24%, corrosion is very heavy. Therefore, against.
we can not make sure whether we found the scratch
in the microscope. This result is quite interesting but
also surprising, because from fig. 5 we know that the
friction coefficient of pure EAN, EAN 6%, EAN
24% for steel-steel is very similar. The reason for
this phenomenon is still under investigation. In EAN
6%, EAN 24%, it is clearly visible that these coated
ionic liquids cause remarkably reduced corrosion Fig.9 EDX result of EAN used in steel-steel
compared to pure ionic liquids.
Table 1 roughness in the trace of the sample
Sample Result Sample Result
(Ra/nm) (Ra/nm)
Si-BMImBF4 34.530 St-BMImBF4 1,147.0
Si-BMImBF46 5.4214 St-BMImBF46 202.56
Si-BMImBF424 4.2057 St-BMImBF424 870.15
Si-ean 169.73 St-ean 185.11
Si-ean6 15.268 St-ean6 5,175.8
Si-ean24 18.314 St-ean24 5,281.5 Fig.10 EDX result of EAN6% used in steel-steel

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Fig.11 EDX result of EAN 24% used in
steel-steel
The experimental results shown above indicate that in
Si-Si-[BMIM][BF4], Si-Si-[BMIM][BF4] 6%, Si-Si-[BMIM]
[BF4] 24%, Si-Si-EAN, Si-Si-EAN 6%, Si-Si-EAN 24%,
Steel-Steel-[BMIM][BF4], Steel-Steel-[BMIM][BF4] 6%,
Steel-Steel-[BMIM][BF4] 24%, the corrosion of coated
samples can be successfully reduced compared with the pure
samples. However, for the Steel-steel-EAN, Steel-steel-EAN
6%, Steel-steel-EAN 24%, the scratch deepness of coated
samples are even higher than for the pure ones. The reason is
currently under investigation.
CONCLUSION
In this paper we coated the ionic liquids with some other
liquid and tested its friction and corrosion properties using a
tribometer and a scanning electron microscope (SEM). The
work aims on reducing the corrosion caused by the ionic
liquids opening the way to its use as vacuum lubricant. The
result was gratifying. Compared to the pure ionic liquid, most
of the coated samples had one order smaller of scratch deepness.
ACKNOWLEDGEMENTS
The authors would like to thank the group of Prof. Werner
Kunz from university of Regensburg for providing the ionic
liquids. This work was funded by National Natural Science
Foundation of China(NSFC) with Grant 50575123/50730007.
416
It was also supported by PPP project from CSC and DAAD,
and the DFG (SFB622 (Project B5) and SPP 1191 (KR
2228/5)).
REFERENCES
[1] Nainaparampil, J. J., B. S. Phillips, K. C. Eapen, and J.
S. Zabinski. 2005. Micro-nano behaviour of DMBI-PF6 ionic
liquid nanocrystals: large and small-scale interfaces.
Nanotechnology 16 (11): 2474-2481.
[2] Buhler, G., A. Zharkouskaya, and C. Feldmann. 2008.
Ionic liquid based approach to nanoscale functional materials.
Solid State Sciences 10 (4): 461-465.
[3] Welton, T. 1999. Room-temperature ionic liquids.
Solvents for synthesis and catalysis. Chemical Reviews 99 (8):
2071-2083.
[4] Earle, M. J., and K. R. Seddon. 2000. Ionic liquids.
Green solvents for the future. Pure and Applied Chemistry 72
(7): 1391-1398.
[5] Fischer, T., A. Sethi, T. Welton, and J. Woolf. 1999.
Diels-Alder reactions in room-temperature ionic liquids.
Tetrahedron Letters 40 (4): 793-796.
[6] Earle, M. J., P. B. McCormac, and K. R. Seddon. 1998.
Regioselective alkylation in ionic liquids. Chemical
Communications (20): 2245-2246.
[7] Xia, Y. Q., S. J. Wang, F. Zhou, H. Z. Wang, Y. M. Lin,
and T. Xu. 2006. Tribological properties of plasma nitrided
stainless steel against SAE52100 steel under ionic liquid
lubrication condition. Tribology International 39 (7): 635-640.
[8] Qiming Lu, Haizhong Wang, Chengfeng Ye, Weimin
Liu Tribology International 37 (2004) 547̢552
[9] Iglesias, P., M. D. Bermudez, F. J. Carrion, and G.
Martinez-Nicolas. 2004. Friction and wear of aluminium-steel
contacts lubricated with ordered fluids-neutral and ionic liquid
crystals as oil additives. Wear 256 (3-4): 386-392.
[10] Zech, O., S. Thomaier, P. Bauduin, T. Ruck, D.
Touraud, and W. Kunz. 2009. Microemulsions with an Ionic
Liquid Surfactant and Room Temperature Ionic Liquids As
Polar Pseudo-Phase. Journal of Physical Chemistry B 113 (2):
465-473.
 Deformation Behavior of Al-4Cu-2Mg Alloy during Cold Upset Forging

Deformation Behavior of Al-4Cu-2Mg Alloy during Cold Upset Forging

J Babu Rao1, Syed Kamaluddin2, J Appa Rao3, M M M Sarcar4, N R M R Bhargava5

1,4,5AndhraUniversityCollegeofEngineering,Visakhapatnam –530003,India
2GITAMCollegeofEngineering,Visakhapatnam–530045,India
3RVR&JCCollegeofEngineering,Guntur–522019,India
baburaojinugu@yahoo.com

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Deformation Behavior of Al-4Cu-2Mg Alloy during Cold Upset Forging

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Dry Sliding Wear Behavior of Pure Aluminium and Al-Cu Alloys

A Narendra Kumar1, R Srinivasu2, J Babu Rao3

1M Tech (Nano Technology), 2Teaching Associate,

3Associate Professor Department of Metallurgical Engineering, AU college of Engineering,
Visakhapatnam, A.P., 530003, India
baburaojinugu@yahoo.com

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Tribological Properties of Spark-Plasma-Sintered Al2O3-SrSO4 Self-Lubricating Nanocomposites

at Elevated Temperatures

Yufeng Li1, Jiahu Ouyang1,*, Yaming Wang1, Yu Zhou1, Takashi Murakami2, Shinya Sasaki3

1
Institute for Advanced Ceramics, Department of Materials Science (Harbin Institute of Technology,
PO Box 433, Harbin 150001, PR China)
2
National Institute of Advanced Industrial Science and Technology (Japan)
3
Tokyo University of Science (Japan)

ABSTRACT from room temperature to elevated temperature, some soft

Spark plasma sintering (SPS) is employed to fabricate the
self-lubricating Al2O3–SrSO4 nanocomposites by tailoring the
chemical compositions. Their friction and wear properties have
been evaluated using a high temperature friction and wear tester
from room temperature to 600ć in dry sliding against alumina
ball. Nanosized SrSO4 powders were synthesized by chemical
precipitation process at room temperature and atmospheric
pressure. For a comparative study, SrSO4 solid lubricants with
different particle sizes are intentionally designed to investigate
the influence of size effect on self-lubricating properties of
Al2O3–SrSO4 nanocomposites under the identical test
conditions. X-ray diffraction (XRD) and scanning electron
microscopy (SEM) were used to investigate microstructure and
self-lubrication mechanisms of nanocomposites after wear tests
at different temperatures. Al2O3–SrSO4 nanocomposites with
optimum compositional combinations exhibit low and stable
friction coefficients of 0.18 to 0.29 and wear rates in the order of
10-3 to 10-5 mm3/Nm at high temperatures. With increasing test
temperature, plastic deformation of SrSO4 during sliding plays
an important role in formation of lubricating films on worn
surfaces of nanocomposites. These lubricating films reduce the
friction and wear of the Al2O3–SrSO4 nanocomposites.
Keywords: Al2O3, SrSO4, self-lubricating composites, elevated
temperature
noble metals (Au, Ag), inorganic fluorides (CaF2, BaF2,
BaF2/CaF2 eutectic) and some metal oxides (MoO3, Cr2O3)
have been explored as high-temperature solid lubricants [1]. A
series of self-lubricating composites based on these solid
lubricants were developed by plasma spraying and powder
metallurgy methods [2-5]. These composites are comprised of
the wear-resistant matrix (Ni-Cr-Cr2O3, Al2O3 or ZrO2)
incorporated with silver and CaF2 or BaF2/CaF2 eutectic solid
lubricants. It has been reported that alumina matrix composite
with Ag/CaF2 synthesized by a powder metallurgy method can
provide low friction and wear over a temperature range of
20–800 ćwith a friction coefficient of 0.35 to 0.5 and wear
rates of 10³5 mm3/Nm [3]. From the NASA research, a
metal-combined chrome oxide doped with silver and
BaF2/CaF2 eutectic lubricants provided good friction and wear
properties over a wide temperature range [4]. In particular, our
previous study have exhibited that the alumina matrix
composite containing BaSO4 exhibited friction coefficients
between 0.2 and 0.5 and wear rate of 10-5 mm3/Nm in the
temperature range from room temperature to 800ć in air
[6].However, only a limited amount of experiments have been
done on these high-temperature lubrication of ceramic matrix
composite. It is not clear that the effect of solid lubricants on
composites properties and lubricating mechanism.

INTRODUCTION In the present study, Spark plasma sintering (SPS) is employed

In recent years, there has been a tendency to developing
self-lubricating ceramic matrix composites due to the
requirements for increased performance in all types of engines
that use ceramic components at extreme temperatures. The
increasing potential for the use of Al2O3 ceramics as the
hot-section components in advanced engines and gas turbines,
and wear-resistant sliding components in lubrication and seal
systems has focused a great attention on these materials due to
their good oxidation resistance, high fracture strength and
toughness at elevated temperature. However, unlubricated
Al2O3 ceramics can not work effectively at high temperatures
for their poor tribological properties. Research on
self-lubricating ceramic matrix composites (CMCs) has been
initiated as a response to the requirements for greater efficiency
in all types of engines that uses ceramic components at extreme
temperatures.
Although there were few compounds which can work
effectively as solid lubricants in air at temperatures ranging
*Corresponding author. Tel. and Fax: 86-451-86414291;
email: ouyangjh@hit.edu.cn (Jia-Hu Ouyang)
to fabricate the self-lubricating Al2O3–SrSO4 nanocomposites
by tailoring the chemical compositions. Further studies are
carried out to evaluate the effects of the SrSO4 content and the
particle size on composite tribological properties and to
identify the lubrication mechanisms of the composites using a
high temperature friction and wear tester from room
temperature to 600ć in dry sliding against alumina ball.
EXPERIMENT
MATERIALS
In this study, nanosized SrSO4 powders were synthesized by
chemical precipitation process using SrCl2·6H2O, Na2SO4, and
ethanol at room temperature and atmospheric pressure [7]. The
as-obtained SrSO4 particles are single crystals, and exhibit a
orthorhombic structure [JCPDS Card: 05-0593, a=8.359Å,
b=5.352Å, c=6.866Å, space group: Pnma (62)], as shown in Fig.
1(a). From Fig. 1(b), the as-synthesized products contain a large
quantity of tablet-like SrSO4 nanosheets with an average length
of 0.6 m and an aspect ratio of 2. The Al2O3 powder has a
particle size of 0.3–0.5m, while the commercial microsized
SrSO4 powder has a particle size of 5–10 m.

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 Tribological Properties of Spark-Plasma-Sintered Al2O3-SrSO4 Self-Lubricating Nanocomposites at Elevated Temperatures

20 min testing duration. The test atmosphere was air with a

(a) relative humidity of 40% to 60% at room temperature. After
wear tests, the wear depth profiles of all the wear tracks were
examined by using a surface profilometer. A set of equally
spaced depth profiles covering the whole wear track area was
used to evaluate the volumetric wear of the composites [9, 10].
The morphology and chemical compositions of worn surfaces
on Al2O3-SrSO4 composites were examined by scanning
electron microscopy equipped with energy dispersive X-ray
(EDX) analyzer to identify lubrication mechanisms.

RESULTS AND DISCUSSION

(b) From Table 1, Al2O3-30SrSO4 composite sintered at
1050ć for 5 min has an average hardness of 0.28 GPa and a
density of 2.34 g/cm3. With the further increase of the SrSO4
concentration, the composite exhibits an increase in average
hardness and density as given in Table 1. The Al2O3-50SrSO4
composite has an average hardness of 1.02 GPa and a density
of 2.84 g/cm3. However, as contrasted with the composite
doped with nanosized SrSO4 solid lubricant, the hardness and
density of the Al2O3-50SrSO4 composite containing the
Fig. 1 X-ray diffraction pattern and morphology of
microsized SrSO4 particles decrease to 0.58 GPa and 2.56
nanosized SrSO4 powders: (a) X-ray diffraction pattern; (b)
g/cm3, which indicates that nanosized SrSO4 is more beneficial
morphology.
to promote the densification of the composites than the
microsized SrSO4 powders.
PREPARATION OF SELF-LUBRICATING AL2O3
MATRIX COMPOSITES Table 1 Chemical compositions, sintering parameters, density
Self-lubricating Al2O3 matrix composites were fabricated and hardness of Al2O3-SrSO4 composites
by a SPS apparatus (SPS-1050, Sumitomo Coal Mining Co. Sintering Vickers
Ltd., Japan). The powders as shown in Table 1 were blended Samples
Compositions
parameters (ć,
Density
hardness
3
and ball-milled in proper ratios by weight to form composite (wt%) (g/cm )
min, MPa) (GPa)
powders. The blended powders were cold compacted in a
70Al2O3ˈ30SrSO4 1050 ć, 5 min, 40
graphite mold at a pressure of 40MPa to produce cylindrical A 2.34 0.28
(nanosized SrSO4) MPa
slugs. After cold compaction, Al2O3-SrSO4 composites were
50Al2O3ˈ50SrSO4 1050 ć, 5 min, 40
spark-plasma sintered at temperatures of 1050ć and a B 2.84 1.02
(nanosized SrSO4) MPa
sintering pressure of 40MPa for 5 min. The dimensions of
50Al2O3ˈ50SrSO4 1050 ć, 5 min, 40
sintered samples are 20 mm in diameter and 5 mm in thickness. C 2.56 0.58
Density of sintered samples was determined by the (microsized SrSO4) MPa

Archimedes method. Specimens were indented using a Vickers

hardness tester with a load of 29.4 N on polished surfaces. Fig. 2 shows XRD spectra of spark-plasma-sintered Al2O3
Table 1 lists the chemical compositions, sintering parameters, matrix composites doped with with various amounts of SrSO4
densities and hardness of Al2O3-SrSO4 composites. addition. The phases of D-Al2O3 and SrSO4 are identified in
different nanocomposites, and do not react each other to form
CHARACTERIZATION AND WEAR TESTS any new compound.
The crystal structure of Al2O3-SrSO4 composites was
identified by X-ray diffraction (XRD; Rigaku D/Max
2200VPC) using Cu KD radiation at a scan rate of 4°min-1 in a
2T range of 10° to 70°.

The wear tests of Al2O3-SrSO4 composites were performed by

using a ball-on-block high temperature friction and wear tester
in dry sliding against a 9.53 mm Al2O3 ball [8]. The Al2O3 balls
were used in the as-received condition with a surface roughness
of 0.02 m (Ra), a hardness of 16.5 GPa and a density of 3.95
g/cm3. Before wear tests, each block specimen was carefully
polished using 2500 grit emery papers and cleaned in a mixture
of 50 vol % acetone and 50 vol % petroleum benzene for 10 min
using an ultrasonic cleaner. In addition, each specimen were Fig. 2 X-ray diffraction patterns of Al2O3 matrix
heated from room temperature to the testing temperature by nanocomposites doped with various amounts and different
high frequency induction heating at a heating rate of 50ć/min, particle size of SrSO4 addition: (a) with 30 wt% nanosized
and held at testing temperature for 5min before starting the wear SrSO4 addition; (b) with 50 wt% nanosized SrSO4 addition;
test. The wear test conditions were given as 4.9 N load, 1 Hz (c) with 50 wt% microsized SrSO4 addition.
frequency, from room temperature to 600ć, 10 mm stroke and

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The effects of the SrSO4 content and the particle size on friction
coefficient and wear rate of Al2O3 matrix composites at (a) (b)
different testing temperatures is shown in Fig. 3. The friction
coefficient and wear rate of Al2O3-30SrSO4 composites are 0.29
and 1.1×10-3 mm3/Nm at room temperature, and they gradually
decrease to 0.18 and 4.2×10-5 mm3/Nm up to 600ć,
respectively, which are better than the tribological properties of
unlubricated Al2O3 ceramics with a friction coefficient of 0.58
and a wear rate in the order of 10-3 mm3/Nm. With the further
increase of the SrSO4 concentration, the friction coefficient and
wear rate of the Al2O3-50SrSO4 composite increase to 0.5 and (c) (d)
2.6×10-3 mm3/Nm at room temperature, 0.24 and 5.2×10-5
mm3/Nm at 600ć. Meanwhile, as contrasted with the
composite doped with nanosized SrSO4 solid lubricant, the
addition of microsized SrSO4 particles into the Al2O3-50SrSO4
composite has beneficial effects of improving the friction
coefficient and wear rate of the composite, which decrease to
0.39 and 1.7×10-3 mm3/Nm at room temperature, 0.22 and
4.6×10-5 mm3/Nm at 600ć. Fig. 4 Worn surfaces of Al2O3-30SrSO4 nanocomposite after
wear tests at different temperatures: (a) room temperature; (b)
200ć; (c) 400ć; (d) 600ć

(a)
Fig. 5 and Fig. 6 show the worn surfaces of Al2O3 matrix
nanocomposite incorporated with 50 wt% nanosized and
microsized SrSO4 addition after wear tests at room temperature
and 600ć. At room temperature, with the increase of the
SrSO4 concentration, nearly no lubricating film is observed on
the worn surface of the Al2O3 matrix composite containing the
50 wt% nanosized SrSO4 solid lubricant as shown in Fig. 5(a).
Meanwhile, compared with the composite doped with
nanosized SrSO4 solid lubricant, the addition of microsized
SrSO4 particles into the Al2O3-50SrSO4 composite promote the
formation of the lubricating film on the worn surface as shown
in Fig. 5(b). From Fig.6, the SrSO4 content and the particle size
(b) has no significant effect on the worn surface morphology,
which is in good agreement with the results in Fig. 3.

(a) (b)

Fig. 3 Effects of the SrSO4 content and the particle size on

friction coefficient and wear rate of the Al2O3 matrix
nanocomposites at different testing temperatures: (a) friction
Fig. 5 Worn surfaces of Al2O3 matrix nanocomposite
coefficient; (b) wear rate
incorporated with 50 wt% SrSO4 addition after wear tests at
room temperature: (a) with nanosized SrSO4 addition; (b) with
Fig. 4 shows the worn surfaces of the Al2O3–30SrSO4 microsized SrSO4 addition
composite after wear tests at different temperatures. According
to EDX analysis, the films formed on the worn surface of the
(a) (b)
Al2O3–30SrSO4 composite at all testing temperatures are
composed of a large quantity of aluminum, oxygen, strontium
and sulfur. The worn surface of the composite after room
temperature wear test is shown in Fig. 4(a). Discontinuous
lubricating film and cracks are observed on the worn surface of
the composite. With the increase of testing temperature, the
lubricating film becomes gradually continuous, and spreads out
on the wear track as shown in Fig. 4(b) and (c). It demonstrates
that the SrSO4 solid lubricant is more ductile, and more easily to Fig. 6 Worn surfaces of Al2O3 matrix nanocomposite
form the solid lubricating films at elevated temperature. At incorporated with 50 wt% SrSO4 addition after wear tests at
600ć, the worn surface of the composite is covered with 600ć: (a) with nanosized SrSO4 addition; (b) with microsized
continuous lubricating film as shown in Fig. 4(d). SrSO4 addition

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 Tribological Properties of Spark-Plasma-Sintered Al2O3-SrSO4 Self-Lubricating Nanocomposites at Elevated Temperatures
Base on the above experimental results, with the increase of
the SrSO4 concentration and addition of the microsized SrSO4
solid lubricant, the hardness of the Al2O3 matrix composites
increase. It is difficult for the SrSO4 solid lubricant to pull out
from body, which is the reason for why the friction coefficient
and wear rate of the Al2O3–SrSO4 composites also increase.
Meanwhile, it clarifies that plastic deformation of the SrSO4
lubricant during sliding plays an important role in the formation
of the lubricating film on the worn surface. With increasing test
temperature, plastic deformation of SrSO4 on worn surfaces
becomes dominated to reduce the friction and wear.
CONCLUSIONS
(1) The addition of SrSO4 greatly improves intermediate and
high temperature tribological properties of the Al2O3 matrix
composites, as compared to the unlubricated Al2O3 ceramics.
Al2O3–30SrSO4 composite exhibits the lowest and stable
friction coefficients of 0.18 to 0.29 and a wear rate of 1.1×10-3
to 4.2×10-5 mm3/Nm from room temperature to 600ć.
(2) With the increasing of SrSO4 concentration, the friction
coefficients and wear rate of the composites also increase.
Compared to the composites doped with nanosized SrSO4 solid
lubricant, the friction coefficient and wear rate of the
composites containing the microsized SrSO4 particles are
lower.
(3) With increasing test temperature, plastic deformation of
SrSO4 during sliding plays a more important role in formation
of lubricating films on worn surfaces of nanocomposites. These
lubricating films reduce the friction and wear of the
Al2O3–SrSO4 nanocomposites.
ACKNOWLEDGEMENTS
The authors would like to thank financial supports from the
National 863 High-Tech Project (2006AA03Z537), the National
Natural Science Foundation of China (NSFC-No.50572020),
and the Program for New Century Excellent Talents in
University (NCET-06-0339).
429
REFERENCES
[1] Allam, I. M. (1991), “Solid lubricants for applications at
elevated temperatures,” J. Mater. Sci. 26, pp. 3977–3984.
[2] Sliney, H. E. (1982), “Solid lubricant materials for high
temperatures: a review,” Tribol. Int. 15, pp. 303–315.
[3] Jin, Y., Kato, K. and Umehara, N. (1998), “Tribological
properties of self-lubricating CMC/Al2O3 pairs at high
temperature in air,” Tribol.. Lett. 4, pp. 243–250.
[4] Dellacorte, C. and Laskowski, J. A. (1997), “Tribological
evaluation of PS300: A new chrome oxide-based solid
lubricant coating sliding against Al2O3 from 25 ć to
650 ć,” Tribol. Trans. 40, pp. 163-167.
[5] Ouyang, J. H., Sasaki, S., Murakami, T. and Umeda, K.
(2005), “Tribological properties of spark-plasma-sintered
ZrO2(Y2O3)–CaF2–Ag composites at elevated
temperatures,” Wear, 258, pp.1444-1454.
[6] Murakami, T., Ouyang, J. H., Sasaki, S., Umeda, K. and
Yoneyama, Y. (2007), “High-temperature tribological
properties of spark-plasma-sintered Al2O3 composites
containing barite-type structure sulfates,” Tribol. Int. 40,
pp. 246–253.
[7] Li, Y. F., Ouyang, J. H., Zhou, Y., Liang, X. S. and Zhong,
J. Y. (2008), “Facile fabrication of SrSO4 nanocrystals with
different crystallographic morphologies via a simple
surfactant-free aqueous solution route,” Mater. Lett. 62, pp.
4417–4420.
[8] Murakami, T., Ouyang, J. H., Sasaki, S., Umeda, K. and
Yoneyama, Y. (2005), “Hightemperature friction and Wear
properties of X–BaSO4 (X: Al2O3, NiAl) composites
prepared by spark plasma sintering,” Mater. Trans. 46, pp.
182–185.
[9] Ouyang, J. H., Sasaki, S., Murakami, T. and Umeda, K.
(2004), “The synergistic effects of CaF2 and Au lubricants
on tribological properties of spark-plasma-sintered
ZrO2(Y2O3) matrix composites,” Mater. Sci. Eng. A 386,
pp. 234–243.
[10] Ouyang, J. H., Sasaki, S., Murakami, T. and Umeda, K.
(2005), “Spark-plasma-sintered ZrO2(Y2O3)-BaCrO4
self-lubricating composites for high temperature
tribological applications,” Ceram. Int. 31, pp. 543–553.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Tribological Behaviors of Some Materials in Sea Water

Jianzhang Wang (State Key Laboratory of Solid Lubrication, Lanzhou Institute of Chemical Physics, Chinese Academy of
Sciences, Lanzhou 730000, China; Graduate School of Chinese Academy of Sciences, Beijing 100864, China )
Fengyuan Yan* (State Key Laboratory of Solid Lubrication, Lanzhou Institute of Chemical Physics, Chinese Academy of
Sciences, Lanzhou 730000, China)
Qunji Xue (State Key Laboratory of Solid Lubrication, Lanzhou Institute of Chemical Physics, Chinese Academy of
Sciences, Lanzhou 730000, China)

(Extended Abstract)

ABSTRACT ocean exploitation has also attracted significant attentions of

A blue revolution marked with exploiting ocean is springing researchers to the application performances including the
up all over the world. The tide of ocean exploitation has also tribological behaviors of various materials in ocean
attracted significant attentions of researchers to the application environment. Ocean tribology, a new research field of
performances including the tribological behaviors of various tribology, is being established and developed. The
materials in ocean environment. Ocean tribology, a new investigation on the tribology in ocean environment has
research field of tribology, is being established and developed. important significance to ocean exploitation, which provides
In this paper, the tribological behaviors of UHMWPE and key technology support for the development of seawater
PTFE as well as other three PTFE-based composites were hydraulic drive system and other ocean exploitation
investigated in sea water, and compared with those in pure equipments [1].
water. When sliding against GCr15, the friction coefficients With low water absorption and friction, excellent chemical
and wear rates of five materials in sea water are greater than stability in various corrosive environments, Ultra high
those in pure water, this attributes to the decrease of medium molecular weight polyethylene (UHMWPE) and
lubricating effect and the increase of plowing effect of steel to Polytetrafluoroethylene (PTFE) are considered as two kinds of
materials as the results of the increase of counterface potential friction material used in sea water. Unfortunately
roughness caused by the corrosion of sea water to the there are hardly any investigations on the tribological
counterface. Such wear model can be called indirect corrosive behaviors of UHMWPE and PTFE in sea water. In this paper,
wear. While sliding against Ni-Cr-WC alloy, the friction the tribological behaviors of UHMWPE and PTFE as well as
coefficients and wear rates of five materials in sea water are other three PTFE-based composites were investigated in detail
lower than those in pure water, this attributes to the deposition and the corresponding wear mechanism was also discussed.
of Mg(OH)2 and CaCO3 on the anti-corrosion counterface.
The deposition film has some boundary lubricating effect and EXPERIMENTAL

inhibits the direct contact of sliding surfaces. The test materials included UHMWPE and PTFE as well as
Keywords: Ocean exploitation; Sea water; Ocean tribology; three PTFE-based composites which were reinforced with 20
Indirect corrosive wear; Boundary lubrication wt. % Poly(phenyl p-hydroxybenzoate) (Ekonol), graphite and
carbon fiber (CF), respectively. The counterface materials
INTRODUCTION
were GCr15 and Ni-based alloy Ni-Cr-WC. In sea water, the
At present, human society is facing three large crises of
corrosion resistant performance of GCr15 is poor, while the
population explosion, resource shortage and environment
Ni-Cr-WC alloy has excellent corrosion resistant performance.
deterioration, one of the main ways to solve the crises is to
The sea water was prepared according to the standard ASTM
exploit and protect ocean. A blue revolution marked with
1141-98. The friction and wear behavior of five materials was
exploiting ocean is springing up all over the world. The tide of
evaluated on an MRH-03 model ring-on-block test rig. The
*Corresponding author. Tel: +86-931-4968078; fax:.+86-931-8277088
friction and wear tests were carried out at a linear velocity of
E-mailaddress:wangjianz@sohu.com

430
 Tribological Behaviors of Some Materials in Sea Water

0.5m/s, load of 100 N. The aqueous medium lubrication in sea water are much lower than those in pure water. This
between the sliding surfaces was realized by continuously attributes to the formation of deposition film on the
dropping of the medium onto the sliding surface at a rate of counterface in sea water, which has some boundary lubricating
100-105 drops per minute (300-315ml per hour). effect and inhibits the direct contact between hard counterface
with soft test materials. The XPS analysis indicates that the
RESULT AND DISCUSSION main composition of deposition film are Mg(OH)2 and CaCO3
1. THE TRIBOLOGICAL BEHAVIORS OF FIVE MATERIALS (Fig.2)
SLIDING AGAINST GCR15
The wear rates and friction coefficients of the five materials Table 2 Tribological behaviors of five materials sliding against
sliding against GCr15 are shown in Table1. It can be seen Ni-Cr –WC alloy
clearly that the wear rates and friction coefficients of materials Material Friction Specific wear rate
in sea water are greater than those in pure water. This coefficient (10-7×mm3/Nm)
attributes to the corrosion of sea water to GCr15 counterface, Pure Sea Pure Sea
which causes the increase of counterface roughness (Fig. 1). water water water water
The increase in surface roughness of the counterface can UHMWPE 0.04 0.02 7.38 5.74
reduce the lubricating effect of aqueous medium [2] and PTFE 0.04 0.03 395 53.5
increase the plowing effect of steel to soft polymeric materials. PTFE+ Ekonol 0.02 0.02 19.6 13.2
Such wear model can be called indirect corrosive wear. PTFE+graphite 0.02 0.02 12.2 6.75
Table 1 Tribological behaviors of five materials sliding against PTFE+CF 0.05 0.05 5.68 4.17
GCr15
Material Friction Specific wear rate 2800
1100 Mg2s Ca2p

coefficient (10-7×mm3/Nm) 1000

2600

Pure Sea Pure Sea 900 2400

C/S

C/S
800
2200
water water water water 700
2000
UHMWPE 0.04 0.12 5.50 28.2 600
95 90 85 80
355 350 345 340 335
Binding energy (ev)
Binding energy (ev)
PTFE 0.04 0.05 355 830
PTFE+ Ekonol 0.04 0.10 38.0 338 Fig.2 XPS analysis on the worn surface of Ni-Cr-WC
PTFE+graphite 0.01 0.02 49.6 116 counterface in sea water
PTFE+CF 0.10 0.11 6.45 7.62

2. THE TRIBOLOGICAL BEHAVIORS OF FIVE MATERIALS ACKNOWLEDGEMENTS

SLIDING AGAINST NI-CR –WC ALLOY The research is financially supported by National High
The wear rates and friction coefficients of the five materials Technology Research and Development Program of China
sliding against Ni-Cr-WC alloy are shown in Table2. It can be (“863” Program) (Grant No.2007AA03Z358) and National
seen that the friction coefficients of five materials in sea water Science Foundation of China (Grant No.50772115).

REFERENCES

[1] J. H. Jia, J. M. Chen, H. D. Zhou, J. B. Wang, H. Zhou,

2004, “Friction and wear properties of bronze-graphite
composite under water lubrication,” Tribol. Int., 37, pp.
(a) (b)
423–429.
Fig.1 SEM micrographs of the worn surfaces of the GCr15 [2] J. K. Lancaster, 1972, “Lubrication of carbon
counterface, (a) in pure water; (b) in sea water. fiber-reinforced polymers Part 1-water and aqueous
are slight lower than those in pure water, while the wear rates solutions. ” Wear, 20, pp.315–334.

431
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Table 3 Tribological behaviors of materials sliding against GCr15

Material Friction coefficient Specific wear rate (10-7×mm3/Nm)
Pure water Sea water Pure water Sea water
UHMWPE 0.04 0.02 7.38 5.74
PTFE 0.04 0.03 395 53.5
PTFE+ Ekonol 0.02 0.02 19.6 13.2
PTFE+graphite 0.02 0.02 12.2 6.75
PTFE+CF 0.05 0.05 4.17 4.17

432
 Nanofretting Wear of Monocrystalline Silicon (100) against Spherical SiO2 Tip in Vacuum
Nanofretting Wear of Monocrystalline Silicon (100) against Spherical SiO2 Tip in Vacuum
Jiaxin Yu / Tribology Research Institute, National
Traction Power Laboratory, Southwest Jiaotong
University, Chengdu 610031, China
Bingjun Yu / Tribology Research Institute, National
Traction Power Laboratory, Southwest Jiaotong
University, Chengdu 610031, China
(Extended Abstract)
ABSTRACT
With an atomic force microscopy (AFM), the tangential
nanofretting between spherical SiO2 tips and monocrystalline
Si(100) surface was carried out at various displacement
amplitudes (0.5~250 nm) under vacuum condition. Similar to
fretting, the nanofretting of Si(100)/SiO2 pair could also be
divided into stick regime and slip regime upon the transition
criterion. However, it was found that the energy ratio
corresponding to the transition between two nanofretting
regimes varied between 0.41~0.63, which was higher than the
normal value of 0.2 in fretting. One of the reasons may be
attributed to the effect of adhesion force, since whose
magnitude is at the same scale to the value of the applied
normal load in nanofretting. During the nanofretting process of
Si(100)/SiO2 pair, the adhesion force may induce the increase
in the maximum static friction force and prevent the contact
pair from slipping. The larger the curvature radius of spherical
SiO2 tip, the higher the applied load, or the higher the adhesion
force is, the larger the transition displacement amplitude
between two regimes in nanofretting will be. Different from
fretting wear, the generation of hillocks was observed on
Si(100) surface under the given conditions in nanofretting wear.
With the increase in the displacement amplitudes in slip regime
of nanofretting, the height of hillocks first increased and then
attained a constant value. Compared to chemical reaction, the
mechanical interaction may be the main reason responsible for
the formation of silicon hillocks during the nanofretting in
vacuum. The results in the research may be helpful to
understand the nanofretting failures of components in
MEMS/NEMS.
Keywords: Nanofretting; Monocrystalline silicon; Vacuum;
Atomic force microscopy; Hillock
INTRODUCTION
Due to the excellent mechanical and physical behaviors,
monocrystalline silicon has been widely used as structural
material in micro/nanoelectromechanical systems
(MEMS/NEMS) [1]. In order to improve the reliability and
stability, a large quantity of MEMS need to be encapsulated in
vacuum environment, such as thermopile based sensors,
micro-mass spectrometer, resonators, gyroscope, and so on [2].
Because of the temperature variation and mechanical vibration,
nanofretting of monocrystalline silicon may exist in the contact
interfaces of these microdevices. Therefore, with the
development in MEMS/NEMS, the understanding and control
of the nanofretting behavior of monocrystalline silicon in
vacuum has been becoming an important issue of concern [3].
After the concept of nanofretting was proposed by Zhou
and Qian [4] in 2003, only a few papers discussed the
nanofretting behaviors of materials due to the limitation of the
experimental technique [5-7]. Varenberg et al [5] reported their
studies on nanoscale fretting wear behavior of monocrystalline
*E-mail: linmao@swjtu.edu.cn, Tel.: +86 28 87600687 and
Fax: +86 28 87603142
Linmao Qian* / Tribology Research Institute, National
Traction Power Laboratory, Southwest Jiaotong
University, Chengdu 610031, China
Zhongrong Zhou / Tribology Research Institute, National
Traction Power Laboratory, Southwest Jiaotong
University, Chengdu 610031, China
silicon (100). With a scanning probe microscopy, the grooves
were observed on Si(100) surface even the displacement
amplitude of nanofretting was as small as 29 nm. With a
nanoindenter, Zhang et al [6] indicated that the radial
nanofretting damage in copper was mainly identified as the
pileup of the wrinkles around indents, and in silicon was
characterized as the initiation and propagation of the cracks on
the edges of plastic zone. Recently, Qian et al [7] presented
their research results on the nanofretting behaviors of NiTi
shape memory alloy. They found that nanofretting was
different from fretting in aspects of the variation of tangential
force versus number of nanofretting cycles, the value of
friction coefficient, and the wear mechanism. These
differences were further attributed to the single-asperity
contact in nanofretting and multi-asperity contact in fretting.
Despite all that, the nanofretting behaviors of materials,
especially under vacuum condition, are still far from
understood.
In this paper, the tangential nanofretting behaviors of
monocrystalline silicon (100) against SiO2 microsphere were
investigated by an atomic force microscopy under vacuum
condition. The effect of adhesion on the nanofretting behavior
of material was emphasized. The generation mechanism of
silicon hillocks in nanofretting was discussed.
MAIN BODY HEADINGS
0.6 1.6
Tangential force Ft-max (μN)
Tangential force Ft-max (μN)
(a) R=0.43μm (b) R=1.0μm
0.5 Fn=2 μN Fn=2 μN
0.4
1.2
Dr
0.8
Dr
0.3
0.2 Dr Fn=1 μN Fn=1 μN
Dr
0.1
0.4
0.0 0.0
0 2 4 6 8 10
Displacement amplitude D (nm)
12 14 16 0 2 4 6 8 10
Displacement amplitude D (nm)
12 14 16
Fig. 1 The maximum tangential force Ft-max in a cycle versus
the displacement amplitude D (Ft-max–D) curves of
Si(100)/SiO2 pair under various normal load Fn for the SiO2
tips with different curvature radii R
Following the similar criterion in fretting regime [8], we
may divide the nanofretting into two regimes: stick regime and
slip regime. As shown in Fig. 1, Dr was the recorded transition
displacement amplitude to divide stick regime and slip regime
under given conditions. To obtain the real transition
displacement amplitude D*, the elastic tangential
accommodation of the testing system must be subtracted from
Dr [8]. As shown in Table 1, it was found that under the same
conditions, the SiO2 tip with larger radius induces a larger
value of D*.
The energy ratio A=0.2 is an important criteria in fretting to
determine the partial and gross slip regimes [8]. However, in
nanofretting, all the values of the energy ratio A in Table 1 are
larger than 0.2 for D = Dr. One of the possible reasons for the
difference in energy ratio A between nanofretting and fretting
433
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

may be attributed to the effect of adhesion force. In 2.0 Fn=2μN

nanofretting, the magnitude of adhesion force is usually at the

Height H (nm)
1.5

same scale to the value of applied normal load.

1.0

0.5
Table 1 Calculation of the transition displacement amplitude R=0.43 μm
D* and energy ratio A corresponding to two SiO2 tips under 0.0 R=1.0 μm

various applied normal loads Fn. 0 50 100 150 200 250

R (μm) 0.43 1.0 Displacement amplitude D (nm)

Fn (μN) 1 2 1 2 Fig. 3 The height of the hillocks on the Si(100) surface plotted
Fa (μN) 0.4 0.4 1 1 as the function of displacement amplitude D for two tips
Dr (nm) 2.5 3 3.5 5.5
D* (nm) 2.04 2.48 2.57 4.19 From our experimental results, it was found that the
A 0.49 0.41 0.63 0.61 formation of hillocks was strongly depended on the
displacement amplitude D of nanofretting (Fig. 2 and 3). When
Table 2 Calculation of D* and A corresponding to two SiO2 the value of D was too small for SiO2 tip to slip, no damage
tips with various adhesion force Fa. was observed on the wear area. With the increase in D in slip
Fn (μN) 1 2 regime, the height of the hillocks first increased and then
Fa (μN) 0.4 2.2 3.3 0.4 2.2 3.3
attained a constant value. Therefore, the sliding and friction
Dr (nm) 2.5 3.5 5 3 4 6
seem to be the necessary conditions for the generation of
D* (nm) 2.04 2.42 3.42 2.48 2.80 4.35
hillocks.
A 0.49 0.59 0.62 0.41 0.57 0.63
In the mid of 1990s, Andoh et al [9] reported that such
silicon hillocks of 0.2 nm in height could be formed in
In order to understand the role of adhesion force in the atmosphere but not in vacuum or in dry nitrogen atmosphere.
nanofretting behavior of material, the same experiments were They therefore suggested that the formation of silicon hillock
repeated by using two other SiO2 tips (R=0.43μm) with the could be mainly attributed to the chemical reactions
adhesion force of 2.2 μN and 3.3 μN on Si(100) surface, atmosphere. However, the silicon hillocks with 1~2 nm in
respectively. During the nanofretting process of Si(100)/SiO2 height were also observed in our experiments under vacuum
pair, the adhesion force may induce the increase in the condition. Because of the absence of oxygen in vacuum, we
maximum static friction force and prevent the contact pair may conclude that compared to chemical reaction, the
from slipping. As a result, from Table 2, the values of mechanical interaction may play the main role in the formation
transition displacement D* increased with the increase in of hillocks in nanofretting.
adhesion force Fa under the same applied load Fn. It was also
noted that the value of energy ratio A increases with the
ACKNOWLEDGEMENTS
increase in Fa. Clearly, the energy ratio A is not suitable to
determine the nanofretting regime, especially for the tip with The authors are grateful for the financial support from the
high adhesion force. Instead, the transition displacement D* Natural Science Foundation of China (50625515, 50521503),
may be more reasonable to determine the transition between Specialized Research Fund for the Doctoral Program of Higher
stick and slip regimes in nanofretting. Education (20050613023).

R=0.43μm
R=1.0μm
D=10nm D=25nm D=50nm D=100nm
Fig. 2 AFM images of the wear scars on the Si(100) surface
after nanofretting at various displacement amplitudes D. The
normal load Fn=2 μN; the number of cycles N=500; the
curvature radii R of the SiO2 tips are 0.43 μm and 1.0 μm
As shown in Fig. 2, when the nanofretting of Si(100)/SiO2
pair run in slip regime, the formation of silicon hillocks was
observed on the surface of Si(100). Fig. 3 shows the variation
of the height of the silicon hillocks as the function of the
displacement amplitude D. While nanofretting run in stick
regime, no hillocks were observed on Si(100) surface and the
height was zero. In slip regime, the height of silicon hillocks
reached a constant value after the initial quick increase in D
from 10 to 50 nm.
REFERENCES
[1] Elwenspoeck M., Wiegerink, R., 2001, Mechanical
Microsensors, Springer, Berlin.
[2] Ko, W. H., 2007, “Trends and frontiers of MEMS,” Sensor
Actuat. A, 136, pp.62-67.
[3] Williams, J. A., Le, H. R., 2006, “Tribology and MEMS,” J.
Phys. D 39, pp.201-214.
[4] Zhou, Z. R., Qian, L. M., 2003, “Tribological size effect
and related problems,” Chinese Journal of Mechanical
Engineering, 39(8), pp.22-26.
[5] Varenberg, M., Etsion, I., Perin, G. H., 2005, “Nanoscale
fretting wear study by scanning probe microscopy,” Trib.
Lett., 18, pp.493-498.
[6] Zhang, J. Y., Qian, L. M., Zhou, Z. R., 2006, “Radial
nanofretting of single crystal copper and silicon under high
load,” Tribology, 26(1), pp.1-6.
[7] Qian, L. M., Zhou, Z. R., Sun, Q. P., Yan, W. Y., 2007,
“Nanofretting behaviors of NiTi shape memory alloy,”
Wear, 263, pp.501-507.
[8] Fouvry, S., Kapsa, Ph., Vincent, L., 1995, “Analysis of
sliding behavior for fretting loadings: determination of
transition criteria,” Wear, 185, pp.35-46.
[9] Andoh, Y., Kaneko, R., 1995, “Microwear process,” Int.
Tribol. Conf. on Tribol. Yokohawa, JAST Press, Japan,
pp.1913

434
 Influence of Surface Finishing Operations on the Reciprocating Sliding Friction and Wear Response of WC Based Cemented Carbides
Influence of Surface Finishing Operations on the Reciprocating Sliding Friction and Wear
Response of WC Based Cemented Carbides
K. Bonny*, P. De Baets, W. Ost (Ghent University, Dep.
Mechanical Construction and Production, IR04,
Sint-Pietersnieuwstraat 41, BE-9000 Gent, Belgium)
S. Huang, J. Vleugels, O. Van der Biest (Catholic
University of Leuven (K.U.Leuven), Dep. Metallurgy and
Materials Engineering, MTM, Kasteelpark Arenberg 44,
BE-3001 Leuven, Belgium)
(Extended Abstract)
ABSTRACT
From comparative dry sliding pin-on-plate experiments on
distinctive WC-Co and WC-Ni cemented carbides, machined
by grinding or wire-EDM, correlations are derived between
wear rate, wear volume and coefficient of friction on the one
hand and contact load, sliding distance, microstructure and
surface finish condition on the other hand. The EDM induced
surface modification turns out to deteriorate wear resistance,
especially during the wear-in stage of sliding. These findings
are in agreement with X-ray diffraction measurements of the
residual stress level in the WC phase.
Keywords: Dry sliding, cemented carbide, Tribology, wire-EDM
INTRODUCTION
Based on economic reasons but especially today on the basis
of ecological considerations as well, there is a rising need for an
adequate limitation of wear and corrosion damage of machines
and construction tools with attention to the efficient application
of scarce materials and resources such as energy. In this way
there is an obvious industrial demand for advanced materials to
be applied under heavy tribological circumstances and
preferably without lubrication as for instance for tools (chisels,
cutting tools, metal forming dies, punches, etc.), various
machine parts and in the fields of aerospace and automobile.
WC-Co and to a smaller extent also WC-Ni based cemented
carbides are widely used in engineering industries for their
excellent mechanical properties and outstanding wear
performance. Furthermore, they are suitable to be machined by
electrical discharge machining (EDM) due to the binder phase
which renders them sufficiently electrical conductive [1,2]. One
of the key advantages of EDM is the possibility of creating
intricate shapes in a fully automated way, irrespective of
strength or hardness of the base material. However, previous
research investigations have already demonstrated the
considerable impact of EDM parameters on surface quality,
strength, hardness and fracture toughness, e.g. [2-4], as well as
on tribological characteristics, e.g. [5-10].
This paper aims to elucidate the influence of different EDM
cutting regimes on the tribological behavior of a number of
WC-Co and WC-Ni cemented carbide grades, with a 6 up to 12
wt.% binder content and carbide grain sizes ranging from 0.3
up to 2.2 μm. Friction and wear characteristics of these grades,
surface finished by wire-EDM or grinding, against WC-Co
cemented carbide under distinctive normal contact loads were
compared in dry linearly reciprocating sliding pin-on-plate
experiments.
EXPERIMENTAL
All WC-Co and WC-Ni cemented carbides were machined
and surface finished by grinding (JF415DS, Jung, Göppingen,
Germany) with a diamond grinding wheel (type MD4075B55,
435
*Corresponding author; Tel.: +32485523004; Fax.:
+3292643295; E-mail: koenraad.bonny@gmail.com or
koenraad.bonny@ugent.be
W. Liu, B. Lauwers (Catholic University of Leuven
(K.U.Leuven), Dep. Mechanical Engineering, PMA,
Celestijnenlaan 300B, BE-3001 Leuven, Belgium)
Wendt Boart, Brussels, Belgium) or by wire-EDM on a
ROBOFIL 2030SI (Charmilles Technologies, Switzerland) in
deionized water (dielectric conductivity 5 μS/cm), with a
CuZn37 wire electrode (diameter 0.25 mm, tensile strength 500
MPa). The wire-EDM process was performed using one rough
cutting (regime E3) with high spark thermal energy to get a
high material removal rate, and subsequently, several
consecutive finish cuts (e.g. in this paper E8, E21, E23) with
globally decreasing energy input and pulse duration, aiming to
optimize surface integrity. For more details on EDM generator
settings, Ra and Rt surface roughness and chemical, physical,
mechanical and microstructural properties of the distinctive
cemented carbide grades, one is referred to [7,9,10]. The dry
sliding tribological behavior of WC-Co and WC-Ni grade flats
against WC6Co(Cr/V) pins in air-conditioned atmosphere
(23±1 °C, 60±1 % relative humidity) was evaluated using a
Plint TE77 tribometer, in accordance with ASTM G133. The
pin hemisphere displayed an average rounding radius and Ra
and Rt roughness of 4.08 mm, 0.35 μm and 2.68 μm
respectively. Wear track surfaces were analyzed by scanning
electron microscopy (SEM, XL30-FEG, FEI, Philips) and
quantified topographically using surface profilometry
(Somicronic® EMS Surfascan 3D, needle type ST305). Contact
loads were varied from 15 N up to 35 N. The stroke length of
the oscillating motion was 15 mm. A sliding velocity of 0.3 m/s
was applied. The test duration was associated with a sliding
distance of 10 km. Before each test, the specimens were cleaned
ultrasonically with distilled water and acetone. Each
experiment was performed using a new pin in order to pursue
analogous initial surface conditions.
RESULTS AND DISCUSSION
Typical and representative wear data, obtained during
real-time monitoring of friction coefficient and combined
penetration depth for WC-Co flat/ WC-Co pin combinations are
plotted as function of sliding distance for distinctive surface
finish variants in Fig. 1. Each curve is an average of at least two
wear experiments performed under identical conditions on
samples of the same material. The error bars indicating the
extent of the variations are excluded to make the figure better
readable.
The penetration depth is noticed to increase abruptly during
the first meters of sliding, owing to the quickly growing contact
surface area. Furthermore, the impact of EDM and the EDM
regimes on the penetration depth curves is quite pronounced.
The highest wear level is encountered with the rough EDM cut
specimens, whereas the ground cemented carbide samples
exhibit the smallest wear damage, Fig. 1. Moreover, penetration
depth is noticed to decrease with finer-executed EDM, up to
values nearby to those recorded for the equivalent ground
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

cemented carbide. It is worth noting that the largest penetration grains, as evidenced by X-ray diffraction measurements. The
depths were encountered with the WC10Co grade, whereas the surface roughness and the thickness of the recast layer,
lowest wear damage occurred with the WC8Ni(Cr) grade. This substantially less wear resistant compared to the bulk material,
trend should be related to the mutual differences in WC grain primary determine the wear process. Gradually finer EDM
size, binder phase and binder content of the distinctive grades finishing regimes reduce the wear rate down to values nearby
[11]. those for equivalent ground specimens. Amongst the
investigated grades, the most favorable tribological results were
0.8 E23 ground obtained for the WC-Ni grade, emphasizing the importance of
0.6
Surface stress [GPa] 0.4
0.2
further investigation in this direction.
0.0
-0.2 ACKNOWLEDGEMENTS
WC12Co(Cr)

WC10Co(Cr/V)

WC12Co(V)

WC8Ni(Cr)
WC10Co
-0.4
-0.6 This work was co-financed by the Flemish Institute for the
-0.8
-1.0
promotion of Innovation by Science and Technology in
-1.2 industry (IWT). All support, scientific contributions and
-1.4 stimulating collaboration from the partners from Ghent
-1.6
-1.8 University (UGent) and Catholic University of Leuven
b -2.0 (K.U.Leuven) are gratefully recognized. Special thanks go to
Fig. 1 (a) Δd penetration depth versus sliding distance for CERATIZIT for supplying the hardmetal grades and pins.
wire-EDM’ed and ground WC10Co grade sliding against
WC6Co(Cr/V) at 0.3 m/s, under a 15 N contact load; (b) residual REFERENCES
surface stress in WC phase after grinding and EDM (regime E23): a [1] Gadalla, A.M. and Tsai, W., 1989, "Electrical discharge
+ value is a tensile stress, a – value is a compressive stress machining of tungsten carbide-cobalt composites", J. Amer.
Ceram. Soc., Vol. 72, pp. 1396-1401
The differences in tribological characteristics between the [2] Lauwers, B., Liu, W. and Eeraerts, W., 2004, "Influence of
surface finish variants is attributed to the occurrence of a heat the composition of WC-based cermets on the
affected zone (HAZ) and recast material, containing brittle manufacturability by Wire-EDM", Transactions of the
tungsten subcarbide and eta-phase (W3Co3C and W6Co6C) as NAMRI/SME, Vol. 32, pp. 407-414
well as surface cracks [2-4], after wire-EDM. Indeed, after [3] Jiang, D., et al., 2005, "Residual stress in hardmetals caused
rough EDM cutting (regime E3), the WC based cemented by grinding and EDM machining and its influence on flexural
carbide is covered by recast material and contains an strength", Proc. 16th Int. Plansee Seminar: Powder
approximately 30 μm thick HAZ, which is obviously less wear Metallurgical High Performance Materials, Reutte, Austria,
resistant compared to the bulk material. The recast material is Vol. 2, pp. 1075-1085
cut off by consecutive finer EDM cuts, i.e., E8, E21 and E23, [4] Yakou, T. and Hasegawa, T., 1995, "Relations between
each leaving a gradually thinner HAZ, i.e., about 20 μm, 10 μm condition and electrically discharge machining and depth of
and 5 μm or less respectively, on the surface. Therefore, surface crack in cemented carbides", Trans. Japan Soc. Mec.,
penetration depth exhibits the lowest values for the ground WC Vol. 61, pp. 1192-1197
based cemented carbides, on which no heat affected zone was [5] Ishikawa, K., Iwabuchi, A. and Shimizu, T., 2003,
induced, and displays the highest values for rough cut cemented "Influence of EDM on the wear characteristics of WC-Co
carbides, but decreases when the cemented carbide is surface cemented carbide", J. Jpn. Soc. Tribol., Vol. 48, pp. 928-935
finished up to a finer EDM cutting regime. [6] Llanes, L., et al., 2001, "Influence of electrical discharge
The inferior wear resistance after wire-EDM can be correlated machining on the sliding contact response of cemented
with residual surface stresses in the WC phase of the cemented carbides", Int. J. Refr. Met. & Hard Mater., Vol. 19, pp. 35-40
carbide grades after grinding and EDM, Fig. 1(b). The [7] Bonny, K., et al., 2007, "Influence of surface finishing and
measurements were executed by X-ray diffraction on a Siemens binder phase on friction and wear of WC based hardmetals",
D500 XRD, using the d-sin2ψ method. The (300) WC peak, Materials Science Forum, Vols. 561-565, pp. 2403-2406
corresponding to a diffraction angle 2θ = 133.31° was applied [8] Bonny, K., et al., 2005, "Influence of Electro-discharge
in order to acquire the residual stress. It should be clear that a machining, microstructural and mechanical properties on
significant compressive stress is present in the ground materials, wear behavior of hardmetals", Proc. 16th Int. Plansee
owing to the mechanical impact during grinding, whereas a Seminar: Powder Metallurgical High Performance Materials,
tensile stress is measured on the EDM surfaces, as a result of Reutte, Austria, Vol. 2, pp. 863-877
the thermal impact. During the sliding wear experiments, the [9] Bonny, K., et al., "Influence of electrical discharge
tangential stresses are building up with the residual tensile machining on the reciprocating sliding wear response of
stresses in the wire-EDM surface, whereas the compressive WC-Co cemented carbides", Wear, DOI:
stress state of ground surfaces more or less eliminates the 10.1016/j.wear.2008.05.009
tangential contact stress. [10] Bonny, K., et al., 2007, "Reciprocating friction and wear
behavior of WC-Co based cemented carbides manufactured
CONCLUSIONS by electro-discharge machining", Materials Science Forum,
Dry reciprocative sliding experiments on WC based cemented Vols. 561-565, pp. 2025-2028
carbides combinations revealed that wire-EDM deteriorates the [11] Gee, M.G., Gant, A. and Roebuck, B., 2007, "Wear
wear performance considerably, due to a thermally induced mechanisms in abrasion and erosion of WC/Co and related
recast layer and residual tensile surface stresses in the WC hardmetals", Wear, Vol. 263, spec. iss. 1-6, pp. 137-148.

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 Mechanical and Tribological Properties of Titanium Reinforced Polybenzimidazole Composites

Mechanical and Tribological Properties of Titanium Reinforced Polybenzimidazole Composites

Zhou Huidaa

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Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

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Mechanical and Tribological Properties of Titanium Reinforced Polybenzimidazole Composites

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Mechanical and Tribological Properties of Titanium Reinforced Polybenzimidazole Composites

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Friction and Wear Behavior of Laser Cladding NiAl/hBN Self-Lubricating Composite Coating

Shitang Zhang1,2, Jiansong Zhou1, Baogang Guo1,2 , Huidi Zhou1, Yuping Pu3, Jianmin Chen1
(1. State Key Laboratory of Solid Lubrication, Lanzhou Institute of Chemical Physics, Chinese Academy of Sciences,
Lanzhou 730000, China; 2. Graduate School, Chinese Academy of Sciences, Beijing 100039, China;
3. Central Iron and Steel Research Institute, Beijing 100081, China)
(Extended Abstract)

ABSTRACT
NiAl/hBN coating was successfully prepared on a Ni-based
superalloy substrate by means of laser cladding. The
microhardness profile of the composite coating along the depth
direction was measured, while its cross-sectional
microstructures and phase compositions were analyzed by
means of scanning electron microscopy and X-ray diffraction.
Moreover, the friction and wear behavior of the composite
coatings sliding against Si3N4 from ambient to 1000 ć was
evaluated using a ball-on-disc friction and wear tester, and the
worn surface morphologies of the composite coatings were
observed using a scanning electron microscope. It was found
that the laser cladding NiAl/hBN coating on the Ni-based
superalloy substrate had high microhardness and good
friction-reducing and antiwear abilities at elevated
temperatures up to 1000 ć. The friction and wear behavior of
the laser cladding NiAl/hBN coating was strongly dependent
on test temperatures. The coating had a small friction
coefficient and wear rate as it slid against the ceramic
counterpart at elevated temperatures up to 1000 ć. The wear
mechanism was characterized by mixed adhesion and abrasive
wear as it slid against the ceramic ball below 300 ć and mild
adhesion wear and plastic deformation up to 400 ć and above.
Keywords: Laser cladding; Nickel aluminide coatings;
hexagonal Boron Nitride; Wear mechanism
INTRODUCTION
High temperature self-lubricating composites with good
high-temperature antioxidation ability have been developed to
reduce friction and wear from room temperature to high
operating temperatures in many tribological systems [1, 2].
Since it is difficult or impossible for a bulk monolithic material
to possess all the above-mentioned surface properties [3],
much attention has been paid to metallic matrix composite
coatings which contain solid lubricants prepared by various
processes, such as PS304 coating by plasma spray [4], PM304
coating by powder metallurgy [5], ZrO2(Y2O3)–CaF2–Ag
composites by spark-plasma-sinter [6], Ni60/WS2
(nano-Ni-encapsulated) coating and MoS2/TiC/Ni composite
coating by laser cladding [7, 8].
As a promising candidate high-temperature solid lubricant,
hexagonal boron nitride (hBN) has been incorporated into
various composite coatings using various surface-modification
techniques, such as Ni-P-hBN autocatalytic composite coating
[9], laser cladding Ni/hBN self-lubricating composite coating
[10], and laser melting hBN/¢-Fe(Cr) and Fe2B/¢-Fe(Cr)
coatings [11]. However, these coatings have inadequate
high-temperature antioxidation performance or a relatively
higher wear rate above 600 ć.
Nickel aluminide intermetallics (e.g. NiAl) excel by their
high strength retention at elevated temperatures, combined
with relatively low density and good oxidation and corrosion
resistance [12], so, they are considered to be attractive
materials for high-temperature coating applications. In spite of
* Corresponding author. Tel: +86-931-4968018
E-mai.laddress: chenjm@lzb.ac.cn
many excellent physical and chemical properties, these
materials suffer from low ductility and toughness at ambient
temperature and, therefore, are difficult to fabricate by
conventional processing methods [13].
Laser cladding is an effective surface-modification
technique and offers distinct advantages. Namely, the surface
coatings produced by laser cladding have some obvious
advantages such as lower porosity, improved microstructure
and minimal damage to the underlying substrate, as compared
with the coatings produced by plasma spraying. Thus it is
natural to see that Cr3C2-(Ni-Al)/Ag/BaF2-CaF2 eutectic
composite coating [14], Ni60/WS2 (nano-Ni- encapsulated)
coating, MoS2/TiC/Ni composite coating and Ni/hBN
self-lubricating composite coating have been successfully
prepared using laser cladding for high-temperature lubrication
[7,8,10].
With those perspectives in mind, the present work is to
explore the feasibility of preparing NiAl-hBN composite
coating with the assistance of laser cladding. The
microstructure of the composite coating was characterized by
means of scanning electron microscopy, while its friction and
wear behavior was evaluated under dry sliding condition and
over a wide temperature range.
REFERENCES
[1] C. Dellacorte, Surf. Coat. Technol. 86-87 (1996)
pp.486-92.
[2] J.H. Ouyang, S. Sasaki, T. Murakami, K. Umeda, Wear
258 (2005) pp.1444-1454.
[3] H.M. Wang, Y. L. Yu, S. Q. Li, Scripta Mater. 47 (2002)
pp.57-61.
[4] C. DellaCorte, J.A. Fellenstein. Trib. Trans., 40 (1997)
pp.639-642.
[5] C.H. Ding, P.L. Li, G. Ran, Y.W. Tian, J.N. Zhou, Wear
262 (2007) pp.575-581.
[6] J.H. Ouyang, S. Sasaki, T. Murakami, K. Umeda, Wear
258 (2005) pp.1444-1454.
[7] A.H. Wang, X.L. Zhang, X.F. Zhang, X.Y. Qiao, H.G.
Xu, C.S. Xie, Mater. Sci. Eng. A 475 (2008) pp.312-318.
[8] J. Xu, W.J. Liu, M.L. Zhong, Surf. Coat. Technol. 200
(2006) pp.4227-4232.
[9] O. A. Leo´n, M. H. Staia, H. E. Hintermann, Surf. Coat.
Technol. 200 (2005) pp.1825-829.
[10] S.T. Zhang, J.S. Zhou, B.G. Guo, H.D. Zhou, Y.P. Pu,
J.M. Chen, Mater. Sci. Eng. A (2008),
doi:10.1016/j.msea.2007.12.015.
[11] L. Avril, B. Courant, J. J. Hantzpergue, Wear 260
(2006) pp.351-360.
[12] T. S. Newport, NASA CR-198454, April 1996
[13] W.P. Liu, J.N. Dupont, Metall. Mater. Trans. A 34
(2003) pp.2633-2641.
[14] M. C. Jeng and Y. L. Soong, Surf. Coat. Technol. 2-3
(1993) pp.145-150.
(The whole paper will be supplied by the authors if reader
needs it.)

442
 Research on the Wear-Resisting Material Produced by Vacuum Evaporation Pattern Casting
Research on the Wear-Resisting Material Produced by Vacuum Evaporation Pattern Casting
Jianxiu Liu*, Yongjun Liu, Minxin Zheng, Xiangke Ning
College of Mechanical and Electronic Engineering˄Zhengzhou University of Light Industry, zhengzhou,450002,China)
ABSTRACT
Vacuum Evaporation Pattern Casting (V-EPC) is one kind
of Manufacturing for selectivity strengthened metal-based
compound materials. The research was done on producing the
steel base wear-resisting compound materials strengthened by
Sic, analyzing microstructure characteristic with metallography
microscope, testing the wear-resisting performance and
dynamic mechanical propertie of the compound materials. The
following conclusions were drown from the experiments.˄1˅
In the process of composite preparation, the pouring
temperature was 1600ć, the vacuum degree was 0.045MPa,
the pouring was guided by the slow-fast-slow principle, and
the pouring system was bottom-return pattern. (2) SiC particles
distributed uniformly, retaining approximately quondam
granular form in the composite layer and retaining good
bonding strength with matrix. The microhardness testing of
composite showed that the microhardness of composite layer
were higher than matrix. (3) The best components of wear-
resistant coating were SiC of 80 dimension and 40% volume
fraction , Cr powder of 1.5% volume fraction , the rest of EPS
particles. The grain wear testing showed the wear-resistant
capability of composite was better than that of matrix, and the
wear- resistant modulus of composite was 2.980 times than
that of matrix. (4) The dynamic mechanical properties of
vacuum Evaporation pattern casting steel matrix composites
were tested on Ü14.5 split Hopkinson pressure bar. The
stress-strain curves of the steel matrix composites and the
matrix at the strain rate of 800/s were drown. The stress-strain
curves showed that the vacuum Evaporation pattern casting
steel matrix composites had better dynamic mechanical
properties than the matrix.
Keywords: Wear-resistant material; Vacuum Evaporation
Pattern Casting (V-EPC); Composite materials; SHPB; Dynamic
mechanical properties
1 INTRODUCTION
The superficial attrition is the primary cause which these
machine parts expire. This not only affects the service life of
engineering products, also will increase the cost in production
and use. For example, the cost of metal wasted in the
fragmentation and mine grinding account for half of the mill
run cost. According to the department concerned statistics, the
loss which because of the friction attrition creates amounts to
40,000,000,000 Yuan every year. Therefore enhances the
machine parts surface wear-resistance has been an important
topic [1, 2].
At present, the commonly used wear-resistance material is
the overall alloy material generally. Although this method can
enhance the material’s intensity and surface wear-resistance
performance, it will cause the waste of alloying element
(interior doesn’t need to be alloyed). What’s more, this method
will debase the toughness of material, which will have a
tremendous influence on the service life of the parts. In fact,
not all the surface of the mechanical parts serving under the
attrition suffers from the friction. Only some part of the parts’
*Corresponding author: E-mail:jianxiuliu@126.com
443
surface should withstand load and suffer the friction. In the
project, wear-resistance parts should have good superficial
resistance performance and good toughness inside. And the
two sides should integrate well. In this way, the parts can serve
in friction, and also it can not be destroyed under impact load.
From this, to develop one kind of material production method
to make the material have good wear-resistance performance
and good toughness inside is exigent [3-5].
2 TESTING PROJECT
The steel based surface wear-resistance material was
prepared by the vacuum Evaporation pattern casting. We
determined the vacuum Evaporation pattern casting technique's
technological parameter. Carried on the analysis of the silicon
carbide pellet's in compound materials appearance with the
JSM-5610V scanning electron microscope. The material
wear-resisting performance was tested on the ML-100 abrasive
abrasion testing machine. The micro hardness of compound
level, the transitional layer and the substrate were tested on the
MHV2000 numerical code microhardness sclerometer. The best
allocated proportion of compound materials was obtained with
the orthogonal testing method. The dynamic mechanical
properties of the material were tested on the Ý14.5 the
Hopkinson pressure bar. Figure 1 is the technological process
of experimental:
Confirming The wear-resisting Preparation
scheme coating composition
Composite Brush Establishment
sample of model
Brush Boxing Vacuum Pouring
Sampling Performance
test
Fig.1 the technological process of experimental
3 PREPARATION OF STEEL BASED WEAR-
RESISTANCE MATERIAL
In the preparation, the wear-resisting coating formula plays
the decisive effect on the quality of the material. The factors
include the enhancement matrix pellet's granularity and the
content, the alloying element's content, the EPS pellet's content
can affect the quality of the compound level. In order to
optimize the wear-resisting coating formula, we used the
orthogonal testing method to carry on the wear-resisting coating
the formula experiment. We took the three factors above
mentioned as research factors. We took them three levels
respectively, using L9(33) orthogonal array (not to consider that
factor correlation) to arrange the formula experiment. The
experimental inspection target is the wear-resisting performance
of the compound levels.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

3.1 DETERMINATION OF THE WEAR-RESISTING Contined

COATING COMPOSITION 3 80 50ˁ 3.0ˁ rest
In order to enhance the material the wear-resisting 4 10 30ˁ 1.5ˁ rest
performance, the alloying element and the ceramic pellet were 5 10 40ˁ 3.0ˁ rest
put into the composition. The alloying element merges the 6 10 50ˁ 1.0ˁ rest
matrix, enhancing the surface layer’s intensity, while the 7 2.5 30ˁ 3.0ˁ rest
ceramic pellet may enhance the surface layer’s wear-resistance 8 2.5 40ˁ 1.0ˁ rest
performance. 9 2.5 50ˁ 1.5ˁ rest
The wear-resisting coating mainly included the In order to satisfy the coating’s intensity and the permeable
enhancement body pellet, the powdered alloy, the EPS finely request, we chose polyvinyl butyral as the organic cementing
ground particles and the cementing agent. The enhancement agent. The quality score of polyvinyl butyral is 12%.Fig.1 is the
body pellet enhances the surface layer wear-resistant sample after drying:
performance; The alloying element may enhance the surface
layer’s intensity; The EPS finely ground particles gasify when
they come across the molten metal and provide the effective
channel for the molten metal; The cementing agent could make
the above composition pulp shape, so they were convenient to
be brushed to the foam plastics test specimen model.
Considering the cost and the coalescent between the
enhancement body pellet and the steel, we chose the silicon
carbide pellet as the wear-resistance pellet is appropriate. In
order to test the silicon carbide pellet granularity’s effect to the
wear-resistant performance, we have selected silicon carbide
pellets as the granularity of 80 m , 10 m , 2.5 m
respectively. Considered the wear-resistant request, the silicon
carbide pellet's content couldn’t be too few, so 30%~50%
(volume percent) is quite suitable. In the wear-resisting coating
the silicon carbide pellet content takes 30%, 40% and 53% of
the composition.
The powdered alloy had the function of melting strengthen, Fig.1 The sample after drying
which could enhance body’s intensity. The chromium could
improve the steel’s performance in many aspects, so it was
widely used. When the chromium takes the main alloying
element, can form high abrasion resistant alloy carbide (Fe, 3.2 DETERMINATION OF THE CASTING
Cr)7C3, which has the high resistance to wear, and can melt in CONDITIONS
the cast steel matrix to enhance the matrix’s intensity, degree of The casting conditions have a tremendous influence on the
hardness and the creep resistance. Simultaneously it didn’t casting quality. The castings are more complex, the reasonable
reduce the steel’s impact toughness. The chromium mainly casting plan's determination is more important. Generally, we
existed in the iron carbide, the ferrite, may cause the carbide can get the most suitable determination after repeated tests. In
stable, and can prevent the graphitized advancement. Therefore, the experiment, we chose the pouring temperature for 1600ć
we chose chromium powder as the powdered alloy in the and the vacuum degree 0.045Mpa. The casting process should
wear-resisting coating. In order to get the best content of be slow-fast-slow casting method [6].
chromium, we set the compound level of content as 1%, 1.5%
and 3% (volume percent). And the granularity of chromium is 4 PERFORMANCE TESTING
60 m .
For the sake of the molten metal permeating into the 4.1 SEM TESTING
wear-resisting coating and increasing the contact between the Figure 2 is the scanning electron microscope picture of the
molten metal and the body pellet SiC and the contact between material’s compound level. The enlargement factor is 2000
the molten metal and the powdered alloy Cr, we put the EPS times. As the figure shows, the SiC pellets distribute uniformly
finely ground particles to the wear-resisting coating. When in the matrix. In the compound level, the SiC pellets distribution
casting, under the function of high temperature molten metal, is even and no accumulation agglomerate phenomenon. Each
the EPS finely ground particles gasified. Then many capillary SiC grain boundary has filled with the matrix, which can
vessel holes were formed, which provided the advantage for guarantee the substrate’s support function to the pellet. The
molten metal permeating. pellet highlights in the test specimen surface. This means the
We determined the wear-resisting coating. Table 1 shows us pellets have not been abrasioned in attrition, and the matrix
the solid content ratio of wear-resistance coating in orthogonal union to the pellets is firm. The SiC pellet surface color is
testing (using L9 (33) orthogonal table) consistent with the matrix, because the SiC pellet is melted by
the molten metal package. Under the dynamic action, the
Table 1 The solid content ratio of wear-resistance coating molten metal seepage to the pellet gap, carrying on the heat
in orthogonal testing ( using L9(33) orthogonal table ) change with the alloying element chromium powder and the SiC
SiC SiC
Cr content
EPS pellets. After melting, the chromium powder carries on the full
Components granularity content content liquid diffusing and the interaction with the molten metal. The
(volume)
(m) (volume) (volume)
SiC pellets were packaged by the molten metal. Fig.3 is SiC of
1 80 30ˁ 1.0ˁ rest
the composite layer:
2 80 40ˁ 1.5ˁ rest

444
 Research on the Wear-Resisting Material Produced by Vacuum Evaporation Pattern Casting

Table 2 The testing results of abrasive-wear

number M1˄g˅ M2˄g˅ àW M=1/àW
1-1 4.488 4.358 0.130 7.692
2-2 5.211 5.110 0.101 9.901
3-1 4.109 3.985 0.124 8.065
4-2 4.591 4.468 0.123 8.130
5-2 4.420 4.304 0.116 8.621
6-1 4.094 3.961 0.133 7.545
7-2 4.868 4.737 0.131 7.634
8-2 4.928 4.790 0.138 7.246
9-2 5.083 4.973 0.110 9.101
Fig.2 the SEM photo of the compound layer×2000 10-1
4.363 4.066 0.297 3.367
˄matrix˅
10-2
4.523 4.222 0.301 3.322
˄matrix˅

Fig.3 SiC of the composite layer×
4.2 THE ATTRITION PERFORMANCE TESTING
This wear-resisting performance test was carried on the
ML-100 abrasive abrasion testing machine. We cut the casting
into small columns on line cutting machine tool. The diameter
of the columns is Ý6mm and the length is the 25mm. One end of
the column test specimen is the compound material. According
to the test condition of abrasive abrasion testing machine, we set
a certain traveling schedule and a load. Each test specimen was
tested on the same condition. After testing, we compare the lost
weight of all the specimens to make sure which one has the best
wear-resistance.
Before the experiment, the small columns test specimens
were cleaned with alcohol, in the ultrasonic wave purifier. After
drying in the air, weigh the columns on the electronic balance
weighing BS210S. After experiments, we should clean and
weigh again.
4.3 ANALYSIS OF WEAR-RESISTING PERFOR-
MANCE TEST
According to the wear-resisting coating's orthogonal test
plan, we prepared 9 kinds of different coatings, and each coating
formula produced 2 test specimens. We took out the better one
for the wear-resistant experiment. In order to compare the
wear-resistance of steel based compound material and the
matrix, we cut two small columns of matrix for the test.
Mortality factor M=1/àW, andàW is the lost weight of the
specimen during the attrition test. àW= M1- M2. And M1 is the
weight before test, while M2 is the weight after test. Table 2
shows the results of the abrasive-wear test.
From the table, we can see the loss weight of the steel based
surface wear-resistance material is lower than the matrix. That
is to say, the compound material has better wear-resistance
performance. The wear-resistance performance is increased by
2.2-2.98. The mortality factor of the best specimen 2-2 is 9.901,
while the specimen 10-2 is 3.322. The mortality factors of 2-2 is
10-2’s 2.980 times. The steel based wear-resistance material's
mortality factor is higher than the matrix. That is to say the
wear-resistance performance of the compound material is
enhanced. The wear-resisting coating composition of the best
specimen 2-2 is: the silicon carbide granularity 80, the silicon
carbide content is 40%, the chromium powder content is 1.5%
The casting surface resistance to friction was enhanced,
because the SiC pellets enhanced the hardness of the matrix [7].
The SiC pellets disperse evenly in the surface layer, and
combine with the matrix firmly. This structure can enhance the
material’s wear-resistance performance. The Cr and SiC help to
enhance the hardness [8]. There are many other compound such
as CrSi2ǃFeCǃFe7C3, and all the compound have high hardness,
so they all can enhance the material’s wear-resistance
performance.
4.4 THE IMPACT STRENGTH TEST
The impact property was tested on Ý14.5 Hopkinson
pressure bar. The principle of the bar can refer to reference. Cut
the casting into small columns on line cutting machine tool. The
diameter of the columns is Ý8mm and the length is the 5mm.
One end of the column test specimen is the compound material.
Turn on the test installation [9-10]. After the super dynamic
strain gauge preheating 15 minutes, we can carry on the
experiment may carry on the experiment. Analyzing the
experiment data, we can get the stress - strain curve of the
material at a certain strain rates. We got the stress - strain curves
of the compound materials and the matrix material at the strain
rate of 800/s. Figure 4 shows the two curves.
From the picture, we can see the impact stress the compound
materials can withstand at the strain rate of 800/s is 1478 MPa,
while the matrix is 1294 MPa. Obviously, the compound
materials' dynamic mechanical properties had been enhanced. If
the compound and the matrix suffer the same impact lord the
compound will show small strain. That is to say, the compound
material has better dynamic mechanical property.

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Fig.4 stress-strain curve of the composite material and
matrix at the strain rate of 800/s
1-composite material 2-matrix
5 CONCLUSIONS
(1)The wear-resistance performance of the compound
material was tested on the ML-100 abrasive abrasion testing
machine. The data shows that the wear-resistance of the
compound material was enhanced by 2.2-2.98.
(2) Using the orthogonal testing method, we analyzed the
component how to influent the wear-resistance performance.
And the best component of the coating is: the silicon carbide
granularity is 80, the silicon carbide content is 40% (volume
percent), the chromium powder content is 1.5% (volume
percent), and the rest is EPS.
(3) From the SEM figure we can see that under the infiltrates
dynamic action, the molten metal seepages to the pellet gap,
carries on the heat change with the alloying element chromium
powder and the SiC pellet. After melting, the chromium powder
carries on the full liquid diffusing and the interaction with the
446
molten metal. The SiC pellets were packaged by the molten
metal.
(4) The dynamic mechanical property of the compound
material is better than the matrix.
REFERENCES
[1]LI Jian-ming, 1987, Wear-resisting and anti-attrition
material, China machine press, Beijing.
[2]SHAO He-sheng, ZHANG Qing,1988, Metal grinding
abrasion and anti-friction material, China machine press,
Beijing.
[3]Xu DaQing, Luo Jirong, Huang Naiyu, 1999, “Structures
and properties of iron matrix composites with tungsten
carbide particle by EPC-V process,” Iron&Steel,02,
pp.29-32.
[4]Pans Schulz P, 2001, “Reactions of Carbon Fiddlers in Light
Weight Metal Matrix Composites Analytically Motivated
Process,” Key Engineering Materials, 04,pp19-25.
[5]Shen J X , Zhang X L,2003, “Erosive Wear and Vibration
Wear of Materials.Beijing,” Beijing Mechanical Industry, 06,
pp.83-87.
[6]GAO Hong-xia, LIU Jian-xiu, YANG Gai-yun, “Coating on
Wear Resistant Surface Cast Iron Prepared by EPC,” Special
Casting & Nonferrous Alloys, 7, pp. 444-446
[7] HU Shi-sheng, 1991, “Hopkinson pressure bar technology,”
Ordnance material science and engineering, 11,pp.40-47 .
[8]Mechel. Alloying the Operating Layer of Ingot [J].
Metallurgical Trans, 2004, 07:205-208
[9] I.V.Uskov. Improving the Wear Resistance of Steel
Castings by Strengthening the Surface with Silicon ̚
Carbide and Chromium~Carbide Powders[J]. Soviet Journal
of Friction and Wear, 2000, 09:113-117
[10] Gurin S S. Favrication of Fiber ̚ reinfore Metal ̚
Production of Highly Durable Cast Iron Moulds [J].
Liteinoe Proizvodstvo, 2002, 09:74-78
 Effect of Surface Topography on Friction and Wear of Cast Iron for Cylinder Liners
Effect of Surface Topography on Friction and Wear of Cast Iron for Cylinder Liners
J. Keller
LTDS UMR CNRS 5513 – Ecole Centrale de Lyon
(36 av. Guy de Collongue – 69134 Ecully cedex – France)
and F2A 1 Avenue de l’usine
47500 Fumel – France
Ph. Kapsa
LTDS UMR CNRS 5513 – Ecole Centrale de Lyon
(36 av. Guy de Collongue – 69134 Ecully cedex – France)
(Extended Abstract)
ABSTRACT
This work aims to study and understand the influence of
the surface topography on wear of grey cast iron used for
heavy duty Diesel engines cylinder liners. A micro-alloyed
grey cast iron is tested with different surface topographies: two
honed samples with different honing parameters, a polished
sample and three model samples with well defined grooves on
a polished specimen.
Reciprocating friction tests with the configuration steel ball
against a flat or a cylindrical sample, extracted from a cylinder
liner, in lubricated contact, are carried out on a Cameron Plint
test rig (with commercial synthetic oil for Diesel engines). The
friction coefficient and the electrical contact resistance are
measured during all tests. The wear volume evolution of the
cylinder liner part is determined.
The influence of the surface topography on the tribochemical
film formation and on the wear behavior of cast iron is
identified. The surfaces exhibiting lots of surface asperities
have the highest wear, mainly due to a delayed formation of
protective tribochemical film. In our conditions, the spacing
between the grooves on model specimens has no influence on
the wear behavior of the cast iron specimens.
Keywords: Friction, tribofilm, wear, cast iron, honing
INTRODUCTION
In view of the evolution of international standards [1]
concerning pollution for internal combustion engines,
parameters which define the cylinder liners in Diesel engines
should progress in the point of view of dimension/surface
structure as well as in the point of view of associated materials
and intrinsic characteristics. Frictional losses between the
piston skirt and the cylinder wall are significant, estimated at
about 30% of the total piston/piston ring/cylinder assembly
friction [2].
The parameters which need to be controlled in order to achieve
minimum wear rates of the cast iron cylinder liner are the
hardness of the cylinder materials, their microstructure, their
surface topography and lubrication [3].
Concerning surface topography, classically, cylinder liners are
honed in order to induce rather smooth surfaces with deep
valleys that can play a role of lubricant tank. Surface
topography may be defined by a lot of roughness parameters
that take into account the presence of surface asperities and of
valleys and their dimensions (depth, spacing, width…),
through the Abbot’s curve.
In the present paper, we concentrate our study on the influence
of the surface topography on the tribological behavior (friction
evolution, tribochemical film formation, wear) of cast iron.
The effects of roughness on the evolutions of wear and friction
and the formation of the tribochemical film are discussed.
447
V. Fridrici
LTDS UMR CNRS 5513 – Ecole Centrale de Lyon
(36 av. Guy de Collongue – 69134 Ecully cedex – France)
vincent.fridrici@ec-lyon.fr
J.F. Huard
F2A 1 Avenue de l’usine
47500 Fumel – France
EXPERIMENTS AND SPECIMENS
Friction tests which aim to simulate the contact between
piston ring and cylinder liner in a Diesel engine are performed
in laboratory. The test conditions reproduce the conditions
observed at the top dead center, in boundary lubrication
conditions. Tests are performed on a Cameron Plint TE 77 test
rig. A ball of AISI 52100 steel (with a hardness of 66 HRC and
a diameter of 25.4 mm) is put in contact with the cast iron
specimen that is located in an oil bath at a controlled
temperature of 150 °C. The lubricant is a synthetic commercial
oil of the type 5W30 for Diesel engines. The motion is linear
and alternative with an amplitude of 11 mm and a frequency of
5 Hz. A normal load of 200 N is applied during the friction test.
A micro-alloyed (with phosphorus and boron) pearlitic grey
cast iron is used. Different surface topographies are studied:
two honed surfaces (with different honing parameters namely
A and B), polished surface (Ra = 0.09 μm, called 0 type
surface) and polished surfaces with well defined grooves
obtained with a scratch device (03, 06 and 12 for respective
distance between the grooves of 300, 600 and 1200 μm). The
main differences between A and B type surfaces are that B type
surface presents more surface asperities (higher values of Rk
and Rpk) and less deep valleys (lower value of Rvk) than A
type surface, but A and B type surfaces presents the same
average roughness Ra = 0.49 μm.
RESULTS AND DISCUSSION
FRICTION
Figure 1 shows the evolution of friction coefficient for 0, A and
B type surfaces. For all types of surfaces, after an incipient
increase of friction coefficient, friction coefficient decreases
and reaches a stable and constant value.
Figure 1 evolution of friction coefficient
for A, B and 0 type surfaces
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Honed surfaces exhibit a higher stabilized friction coefficient
(0.11 for A and B type surfaces) than polished surface (0.07 for
0 type surface). For the grooved specimens (Figure 2), the
stabilized friction coefficient increases when the distance
between the grooves decreases (0.07 for 12 type surface –
which is very close to 0 type surface – 0.09 for 3 and 6 type
surfaces). Furthermore, some sharp increases and decreases in
the friction coefficient are observed for these specimens. Study
of the electrical contact resistance (not shown here) proves that
there is a dynamic evolution of the tribofilm (there is formation,
then elimination by friction, then reformation…) and there is a
link between a sharp decrease in contact electrical resistance
and an increase in the friction coefficient. This is due to the
fact that the tribochemical film evolves during the test and can
be removed in some portion of the contact area. When the
tribochemical film is removed and before it is re-formed, there
is a portion of metal / metal contact between the cast iron
specimen and the steel ball with low electrical contact
resistance and “high” friction coefficient. After some cycles,
due to tribochemical reaction, a new tribofilm is formed on the
whole contact surface and the friction coefficient decreases and
the electrical contact resistance sharply increases.
Figure 2 evolution of friction coefficie nt
for 0, 03, 06 and 12 type surfaces
By comparing the evolutions of the friction coefficient for the
different types of surfaces (Figure 1 and Figure 2), we can
conclude that the friction coefficient is mainly influenced by
the surface asperities and the initial presence of these asperities
induces a higher friction coefficient, even after the elimination
of the surface asperities.
WEAR
For all types of surfaces (Figure 3 and Figure 4), wear is very
important at the beginning of the test (before the tribofilm
formation) and wear rate decreases very quickly after the
tribofilm formation (between a few tens and a few hundreds of
cycles depending on the type of surface).
Figure 3 evolution of specimen wear volume
for A, B and 0 type surfaces
448
A type surface shows a decrease of wear volume compared to
B type surface. This decrease is almost completely due to a
better wear resistance at the beginning of the test. This higher
wear resistance is linked to the quicker formation of the
protective film on A type surface (220 cycles for A compared
to 750 cycles for B). Thus, surface topography has a major
impact on wear resistance and it is necessary to get a surface
with a low Rpk (no surface asperities). This is confirmed by
the fact that the wear of 0 type surface (without surface
asperities) is lower than A and B type. This is mainly due to the
quick formation of tribofilm on 0 type surface (10 cycles).
Figure 4 evolution of specimen wear volume
for 0, 03, 06 and 12 type surfaces
Concerning wear of model grooved surfaces (Figure 4), there
is not much effect of the spacing between the grooves. The
wear of the polished and grooved specimens is similar, with a
slightly higher value for grooved specimens after 25 000
cycles. This confirms that when there are no surface asperities,
wear is low and that valleys do not play a huge role into the
wear resistance of surfaces.
CONCLUSIONS
This study aimed at studying the influence of surface
topography on the tribological behavior of cast iron used for
cylinder liners in boundary lubrication conditions. The use of
different surface topographies led to the following conclusions:
` Honed specimens exhibit a higher friction coefficient
due to the incipient presence of surface asperities.
` The formation of an anti-wear and friction-reducing
tribofilm is quicker with low initial real contact
pressure (i.e. with high initial real contact area i.e.
with very smooth surfaces i.e. with low Rpk values).
` Due to this difference in protective tribofilm
formation, there is a difference in the wear rate for
the different types of surfaces.
` A surface topography with a smooth surface and high
spacing between the grooves (or even without
grooves) shows the better results in this study in
boundary lubrication conditions (corresponding to
conditions found at the top dead center in Diesel
engines); for roughness parameters, this means low
values of Rpk and Rk.
` These analyses were confirmed for different kinds of
cast iron and can then be used for different materials.
REFERENCES
[1] Directive 2005/55/EC from European Union
[2] Fenske, G.R., Fessler, R.R, Multiyear Program Plan:
Reducing Friction and Wear in Heavy Vehicles, 1999.
[3] Sudarshan, T.S., Bhaduri, S.B., 1983, “Wear in cylinder
liners”, Wear, 91 (3), pp.269-279.
 Wear Resistance Analysis of Hardening Materials for Engine Cylinder
Wear Resistance Analysis of Hardening Materials for Engine Cylinder
Jianmin Sun1, Qinghui Zhou1, Gequn Shu2
1 Beijing University of Civil Engineering and Architecture, Beijing 100044, China
2 Tianjin University, Tianjin 300072, China
ABSTRACT
In order to improve wear resistance of engine cylinder, the
surface hardening technology is analyzed. The hardening
methods of iron plating and composite iron plating in engine
cylinder are put forward. The relative speed and pressure
between piston ring and cylinder wall are determined as main
wear factors of engine cylinder. And wear resistance of
hardening material is chosen as assessment index. To consider
the parameters of engine operating condition, the wear test bed
with high speed and stepless speed regulation is designed. The
contrast experiments are processed in simulation engine
running condition. The relative wear resistance of engine
cylinder hardened by composite iron plating is increased by
two times. The results show that the wear resistance of engine
is improved obviously and service life can be extended.
Keywords: Surface Hardening Technology, Cylinder, Wear
resistance, Composite Iron Plating
INTRODUCTION
The running condition of cylinder liner is very bad, and
many reasons can cause wear of engine cylinder. The
construction reason usually can bring normal wear, but
improper usage and repair can cause abnormal wear. There are
high temperature and bad lubrication condition in cylinder wall
near combustion chamber. At the same time, Wash and dilution
of fresh air and fuel that hasn’t been gasified decrease
lubrication condition of the cylinder liner at the top ring
reversal point (TRRP) [1-2]. Because of the biggest pressure at
the TRRP of the cylinder liner, it is more difficult to form and
retain lubricating oil film. Then mechanical wear increases and
the wear at the TRRP of the cylinder liner is more severe than
in cylinder skirt.
During engine running, abnormal operations also cause
severe cylinder wear, such as the effect of lubricating oil filter
is bad, air cleaner is inefficient, engine works frequently in low
temperature, inferior lubricating oil usually is used, etc. All
these can increase the wear of cylinder liner. Proper usage and
maintenance can decrease cylinder liner wear, for example,
correct start and run, choosing proper lubricating oil,
maintaining lubricating oil filter, remaining engine running in
normal temperature, improving the quality of the maintenance
and repair, and so on, but they can’t increase the wear
resistance of cylinder in essence.
The cylinder block is the importance base part of engine,
whose usage life directly determines engine’s life, even the
durability of the automobile. The hardening method for the
cylinder wear resistance is the key technology of engine repair
[3-4]. It can reduce the repair cost, increase economy of the
engine operation, maintenance and repair, and extend the
service life of engine.
SURFACE-HARDENING TREATMENT TECHNOLOGY
Surface hardening technology is a quite active field,
whether in scientific research or in industrial production. In
recent 20 years, the surface hardening technology develops
rapidly because it can reduce the repair cost and is efficient to
449
control and improve the wear resistance. Surface hardening
technology can advance product quality (including repair
quality) with surface plating technology and surface
characteristic altering technology. It can attain special
component, structure and surface performance with a variety
of physical, chemical, electrochemic, mechanical or electronic
technology, and meet special requests of parts [5-6].
With the development of a great deal of up to date science
and technology, the surface hardening technology progresses
recently rapidly. So all kinds of surface hardening technologies
appear[7-10]. Basically they are divided into three kinds:
surface material structure change hardening, surface material
component change hardening and surface material deposition
hardening.
Surface Material Structure Change Hardening
Surface material structure change hardening is a kind of
metal microstructure process, which happens in hardening
surface layer, but neither by pervading any elements for
surface component change and nor by adding any materials for
apparent surface size change. Surface deformation hardening
and surface heat treatment hardening are two sorts of basic
surface material structure change hardening. Surface
deformation hardening is a hardening method that metal
surface layer can form plastic deformation by the mechanical
methods. The hardening layer has high hardness and high
strength. For example, the application of the shot blasting,
hardening layer of metal surface layer can reach to dislocation
density at 10 / cm and subcrystal size at 0.02Pm . The higher
12 2
surface layer density is and the finer subcrystal size is, the
higher Surface layer strength and hardness are. Surface heat
treatment hardening is a hardening method that part surface
layer is quenched to cause microstructure change with fast heat
up.
Surface Material Component Change Hardening
Surface material component change hardening is a kind of
metal process that changes material component in surface layer,
or operates heat treatments to improve mechanical
characteristics of surface layer material. In the course of
hardening, the element different from base metal is infiltrated
into base metal with solid diffusion, and change chemistry
composition of surface layer. It can bring compound and solid
solution on parts surface different from metal base structure.
So the various performances of metal surface layer are
advanced.
Surface Material Deposition Hardening
Surface material deposition hardening is reforming
microstructure of surface layer or deposition material different
from metal base. This kind of hardening technology mainly
includes surface metallurgy hardening and surface film
hardening.
Surface metallurgy hardening is a kind of hardening
technology that the surface layer of parts is remelted and
solidified to gain prospective components or structure. It
usually applies high power density and high speed heating
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
process to melt metal or alloy plating on the surface, then
solidify with fast cooling and gain hardening layer. By this
course of speediness melting and solidification surface
treatment, it make metal surface generate special layer.
Surface film hardening is to plate the surface film different
from base material with physical or chemical methods, to form
wear-proof film or corrosion-proof film. The difference
between surface metallurgy hardening and surface film
hardening is that there is no apparent boundary between
surface layer and hardening layer for the latter. Because
juncture of surface layer and base material depends on physical
action, one key problem for surface film hardening is how to
improve the binding force.
Electroplating and electroless plating are common methods
to increase wear resistance and corrosion resistance of the parts.
Lately, researchers gradually pay attention to electroless
phosphorus plating since nickel electroless plating has unusual
merits. Especially nickel-phosphorus electroless plating is
applied to part repair of automobile, and its wear resistance
and corrosion resistance is obvious. After the pinion shaft is
plated nickel-phosphorus to 13  18Pm and takes 2 hours to
process heat treatment, its hardness is up to HRC62 and can
make differential mechanism to run smoothly with lower noise.
To improve wear resistance of the parts, surface hardening
process of the parts may choose one or several kinds of
methods from various surface treatment technologies. The
surface hardening method of the parts should have high
performance and low cost, namely high performance-cost
ratio.
EXPERIMENT ON CYLINDER WEAR RESISTANCE
Prepare of Experimental Parts
In order to improve wear resistance of engine cylinder, the
surface hardening technology is analyzed. The crystals of iron
plating layer are between scores of nanometers and hundreds
of nanometers, and dislocation density of the layer is very high,
and have much big stress. Because of minute crystals
hardening and stress hardening, the iron plating layer has
higher hardness and better wear resistance. In addition, the
composite iron plating is a composite plating technology based
on low temperature iron plating in this paper. A few of SiC
particulate is put into electroplate solution of ferrous chloride.
The composite plating layer has obvious virtues, such as
surface smooth, higher hardness, better wear resistance and a
small quantity of netty crack for storing lubrication. So the
hardness and stress of composite plating layer are improved
obviously.
Based on analysis and contrast of surface hardening
methods, iron plating and composite iron plating are chosen to
perform comparative experiment for perfect surface hardening
technology of engine cylinder.
(1) High Phosphorus Cast Iron
Since engine cylinder commonly is made of high
phosphorus cast iron, high phosphorus cast iron is acted as the
contrast material and standard material in order to analyze and
contrast the other three kinds of material performances and
increase the reliability of experiment results.
The raw and processed materials adopt actual cylinder liner
made from high phosphorus cast iron. To process with design
size of test parts, the part wear surface should be cylinder wall
and the width and curvature of wear surface must be ensured.
450
(2) Iron Plating
The base metals of experimental parts is A3 steel, and
apply non-etch low temperature iron plating process by
alternating and direct current.
After plating by 3 hours, the thickness of plating layer
reaches to 0.8mm. And the plated parts are processed with
design size.
(3) Composite Iron Plating
A3 steel is the base metals of test parts, and non-etch
composite iron plating process applied. A few of SiC
particulate is put into electroplate solution of ferrous chloride.
During 3 hours’ plating, the solution is churned up every 5
minutes to 7 minutes so that SiC particulates suspend
adequately. When the thickness of plating layer reaches about
0.8mm, the process is over. The plated parts need to process
according to design size.
Test Conditions
Grinding wheel is made of 45 steel, and its working surface
is plated chromium to ensure that it is identical with the
chrome plated piston ring.
Due to wide speed range in the experiment, the experiment
can’t be performed on the common wear test machine. So wear
test bed is designed. Its features are high rotation speed,
stepless speed regulation and there is no resonance
phenomenon in the whole speed range.
Experiment Parameters
The main reasons affecting the wear of the engine cylinder
are load, speed and temperature etc. The condition of load and
speed affects the stress state of the cylinder wall obviously and
cause severe wear of the engine cylinder [11-12]. The relative
speed and pressure between piston ring and cylinder wall are
determined as main wear factors of engine cylinder, and
abrasion value of cylinder is chosen as wear resistance target.
According to the wear rule of the engine cylinder and the
relative speed and pressure between piston ring and cylinder
wall on 1mm~8mm below top dead center of cylinder in
expansion stroke, the ranges of experimental parameters are
chosen, so that the wear resistance experiment of hardening
plating is close to the worst conditions of the engine cylinder.
According to the relative speed and pressure between
piston ring and cylinder wall on 1mm and 8mm below top
dead center of cylinder in expansion stroke, experimental
parameters’ ranges of load and speed are chosen.
(1) Relative Speed between Piston Ring and Cylinder
Wall
Suppose the engine crank run with even speed, and rotary
angle D of the engine crank is
D 2Snt / 60 (1)
Where, t — time (minute)
n — rotate speed (revolution per minute, RPM), the
rated rotate speed of TOYOTA 12R engine is 5400RPM.
As shown in fig. 1, the displacement x of piston is
x AcA AcO  AC  CO (2)
r  l  r cos D  l cos E
Where, r — rotate radius of crank;
l — length of connecting rod.
Thus the relative speed V between piston ring and
cylinder wall is
 Wear Resistance Analysis of Hardening Materials for Engine Cylinder

dx dD dE pressure on the top compression ring is calculated.

V r sin D  l sin E (3)
According to engine design with three compression rings,
dt dt dt
In ƸAOB, according to law of sines, the maximum radial pressure P1 which the top compression
r sin D l sin E ring acts on cylinder wall
To differentiate with respect to time t, P1 0.86PZ
dx dE (4)
r cos D l cos E where PZ ümaximum combustion pressure (10MPa)
dt dt
The elasticity of piston ring is commonly about 0.2MPa.
dD
Due to Z To contrast the seal performance of engine with three and two
dt compression rings, it is obviously that the latter pressure is
V rZ (sin D  cos D tan E ) (5) slightly small. Therefore, toward TOYOTA 12R engine, the
In order to calculate simply and analyze easily, formula (5) elasticity of piston ring may be omitted. The maximum radial
is changed with substitute of term E . pressure P11 at 1mm below top dead center in expansion
O stroke takes 8.6MPa.
V rZ (sin D  sin 2D ) (6)
Based on ideal gas state equation (isothermal course), the
2
Where, O r / l , rate of connecting rod load P18 at 8mm below top dead center in expansion stroke is
calculated. Then the pressure range between the top piston ring
Ac and cylinder wall is 5.3MPa ~8.6MPa.
x

Experiment of Wear Resistance

S=2r

A The wear test bed is shown in Fig.2. The contact area

between arc surfaces of experiment part and grinding wheel is
E 2×10-5 m2. According to the pressure range, the practical range
l+r

l of the force is 26.0N~42.1N during the test operation. When

As the top piston ring is in 1mm~8mm below the top dead center
in expansion stroke, the gaseous change is not isothermal
Bc
B procedure, and the temperature is gradually getting lower. So
C the calculation value of the least load is bigger. Finally, the
D r corrected application range of the force is 14.7N~42.1N.
Namely, the operating pressure range is widened to 3.0MPa
O ~8.6MPa. In addition, according to the size of the grinding
wheel, the operating speed range is 1500 r/min ~4000 r/min.

Bs 1

Fig. 1 Movement diagram of piston and 2

connecting rod

3
Base on formula (6), the relative speed between piston ring
and cylinder wall on 1mm and 8mm below top dead center of 4
cylinder in expansion stroke is obtained. Namely, the speed
range of piston ring relative to cylinder wall is 5.6 m/s ~14.9
m/s. 5
(2) Relative Pressure between Piston Ring and Cylinder
Wall
Generally speaking, the load of engine cylinder wall is
F
from two forces, namely the effect of piston ring and touch of
piston skirt. The effect of piston ring to cylinder wall includes Fig.2 The wear test board schematic
the elasticity of piston ring and the force from combustion gas. 1 GRINDING WHEEL 2 SHAFT 3TEST PART
At top dead center of engine, the force of piston ring to 4 fastening screw 5 platform
cylinder wall is far bigger than touch pressure of piston skirt.
So the pressure of top ring to cylinder wall on 1mm and 8mm
EXPERIMENT RESULTS AND ANALYSIS
below top dead center of cylinder in expansion stroke is chosen
as the load range. According to the practical condition on performance
The elasticity PS of piston ring makes piston ring press on demands, equipment, process cost and compact operation etc.,
cylinder wall. This is called the first seal surface. In addition, the experiment research of the wear resistance is determined.
Then the iron plating and composite iron plating are used in
as mixture burns, there is the remaining pressure that is led by
experiment research on the wear resistance under simulating
throttle of piston ring and piston ring groove. It causes axis and engine running condition.
radial imbalance pressure. The axis pressure P2 makes piston
ring press on the side of piston ring groove. This is the second Contrastive Analysis of Relative Wear Resistance at
seal surface. At the same time, the radial pressure P1 greatly Constant Speed
increases the force on the first seal surface. In order to study When the speed is a fixed value of 10m/s, the pressure
the wear resistance of cylinder, it is primary that the radial takes different values, respectively 3MPa, 5MPa and 8MPa.

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

After test parts of every experimental level are washed and Table 2
dried, they are weighed three times and calculated averages to Abrasion Loss of Various Hardening Materials
obtain abrasion losses of various hardening materials, as at Constant Pressure (mg)
shown in table 1. Speed˄m/s˅ 6 10 14
High Phosphorus Cast Iron 18 34 51
Table 1 Iron Plating 62 26 34
Abrasion Loss of Various Hardening Materials Composite Iron Plating 48 16 20
at Constant Speed (mg)
Pressure˄MPa˅ 3 5 8
High Phosphorus Cast Iron 20 34 72
Iron Plating 16 26 70
Composite Iron Plating 10 16 37

Wear resistance of hardening material is chosen as

assessment index. The definition of relative wear resistance
coefficient is the ratio of test part wear loss to sample part wear
loss.
w1
r (7)
w2
where r ürelative wear resistance coefficient
w1 üwear loss of test part
w2 üwear loss of sample part Fig. 4 Contrast on relative wear resistance of hardening
materials at Constant Pressure
Based on the repeated test data of every material, with data
average processing, relative wear resistance coefficients of
these materials are calculated (high phosphors cast iron is Though the wear resistance of iron plating and composite
chosen as the standard sample), as shown in fig.3. iron plating are lower than high phosphors cast iron at the low
speed, they are obviously higher at 10m/s and 14m/s.
By comprehensive contrast of the wear resistance of
hardening materials, relative wear resistance of composite iron
plating is better than common engine cylinder material, and
can fit for the cylinder hardening of high load engine.

Fig. 3 Contrast on relative wear resistance of hardening
materials at Constant Speed
The wear resistance of composite iron plating is higher
than the other two materials not only at the low and middle but
also at the high load. Especially at the high load, the relative
wear resistance of engine cylinder hardened by composite iron
plating still is twice as high as high phosphors cast iron. So it
is obvious that the relative wear resistance of composite iron
plating is better than common engine cylinder material.
Hardness Test
Firstly, the surface of hardened test parts should be
burnished. Secondly, the parts are measured three times by
micro-sclerometer with 400h. Then, the hardness average
values of every kind of hardening materials are calculated, as
shown in Fig.6.
Contrasted Fig.5 with Fig.3 and Fig.4, the rules of the wear
resistance and hardness of different hardening materials are not
accordant. For the hardness and wear resistance of composite
iron plating and iron plating, their hardness are similar, but the
wear resistance have obviously different at high load. So the
composite iron plating is an adapted hardening material for
engine cylinder.

Contrastive Analysis of Relative Wear Resistance at

Constant Load
When the pressure is a fixed value of 5MPa, the speed
takes different values, respectively 6m/s, 10m/s and 14m/s.
After test parts of every experimental level are washed, dried,
weighed and calculated. The results are shown in table 2.
According to the calculation method of relative wear
resistance coefficient, the relative wear resistance coefficients Fig. 5 Hardness contrast on four kinds of materials
of these materials are calculated (ditto, high phosphors cast 1 High Phosphorus Cast Iron 2 Iron Plating
iron is chosen as the standard sample), as shown in fig.4. 3 Composite Iron Plating

452
 Wear Resistance Analysis of Hardening Materials for Engine Cylinder
CONCLUSION
Study on the wear resistance of engine cylinder is based on
experimental research and analysis. The wear resistance of
cylinder liner is chosen as hardening test index. Then the wear
rules of hardening materials are studied.
(1) Surface hardening technology is a main method to
improving the wear resistance of cylinder liner and piston ring.
It not only can save material but also may attain apparent
hardening effect.
(2) It is feasible that surface hardening process is used to
the repair of cast iron cylinder liner. Surface hardening
technology with high performance-cost ratio can increase the
service life of engine and decrease maintenance cost.
(3) By the wear resistance contrastive analysis of hardening
material, the composite iron plating is suited for hardening
cylinder liner wall of engine. So the composite iron plating can
be determined as hardening material of engine cylinder.
(4) Automobile engine cylinder is one of the most severe
wear parts. Its wear degree is important mark if the engine is in
the big repair. The wear resistance improvement of engine
cylinder is a key technology to extend the service life of engine
and decrease the cost of operation and maintenance.
ACKNOWLEDGEMENTS
The correspondence author is Gequn Shu. This work is
supported by the science and technology development program
of Beijing municipal commission of education.
REFERENCES
[1] Wang Yu, Ma Wenyan, 2000, “Study on wear resistance
and reliability of engine cylinder liner,” Automobile
Technology, no. 8, pp. 24-26.
[2] Zhong Minlin, Liu Wenjin, Zhang Hongjun, 2006,
“Corrosion and wear resistance characteristics of NiCr
coating by laser alloying with powder feeding on grey iron
liner,” Wear, vol. 260, no. 11-12, pp. 1349-1355.
[3] Xu Fangda, Zhang Yongkang, 2001, “New technologies
for improving wear-resistant properties of cylinder bore by
laser-strengthening,” Journal of Jiangsu University of
Technology Science and Technology (Science and
Technology Edition), vol. 23, no. 2, pp. 18-21.
453
[4] Chen Fengbin, Bi Rui, 2001, “New laser-strengthening
technologies for improving wearability of the engine
piston ring,” Journal of Jiangsu University of Technology
Science and Technology (Science and Technology Edition),
vol. 23, no. 2, pp. 22-25.
[5] FAN Xiu-hong, 2005, “Study on the life-time of axle
journals and axle bushing of the crankshaft and reliability
of CA488 engines,” Journal of Shandong University of
Technology Science and Technology (Science and
Technology Edition), vol.19, no.5, pp.78-81.
[6] Hutson Alisha, Lee Hyukjae, Mall Shankar, 2006, “Effect
of dissimilar metals on fretting fatigue behavior of
Ti-6Al-4V,” Tribology International, vol. 39, no. 10, pp.
1187-1196.
[7] Candel Antonio, Gadow Rainer; Lopez Daniel, 2005,
“Cermet and hard metal coatings for advanced large diesel
engines with reduced pollutant emissions,” Ceramic
Engineering and Science Proceedings, vol. 26, no. 3, pp.
229-237.
[8] Dearnley P.A., Kern E.; Dahm K.L., 2005, “Wear response
of crystalline nanocomposite and glassy Al2O3-SiC
coatings subjected to simulated piston ring/cylinder wall
tests,” Proceedings of the Institution of Mechanical
Engineers, Part L: Journal of Materials: Design and
Applications, vol. 219, no. 2, pp. 121-137.
[9] Hwang Jong-Hyun, Han Myoung-Seoup, Kim Dae-Young;
2006, “Tribological behavior of plasma spray coatings for
marine diesel engine piston ring and cylinder liner,”
Journal of Materials Engineering and Performance, vol.
15, no. 3, pp. 328-335.
[10] Takaoka Katsuya, Hirota Ken, Kato Masaki, et al, 2006,
“Fabrication of meta-stable monoclinic zirconia ceramics
with a high density using a piston-cylinder type
high-pressure apparatus,” Journal of the Society of
Materials Science, vol. 55, no. 3, pp. 258-263.
[11] Hu Zehao, Liu Changxheng, 2002, “Matching in materials,
tolerance and surface hardening process of cylinder and
piston (ĉ),” Internal Combustion Engine, no. 3, pp.16-18.
[12] Cui Hongzhi, 2000, “Cylinder liner quenching hardening
with digital controlled plasma technique,” Materials for
Mechanical Engineering, vol. 24, no. 4, pp. 50-51.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Effects of Speed Sequence on Friction Properties of Sintered Cu-SiO2
Fei Gao, Rong Fu, Baoyun Song / Dalian Jiaotong University, Dalian, China
Yves Berthier / Institut National des Sciences Appliquées de Lyon, Lyon, France
ABSTRACT
Effects of the speed sequence and SiO2 content of Cu-SiO2,
sintered by powder metallurgy method, on friction and wear
properties have been investigated at fixed speeds. The results
indicate that the sequence of speeds employed in the tests plays
great roles on the friction and wear properties. When the tests
are executed from a lower speed to a higher speed, friction
coefficients decrease and oscillate dramatically as the speed
goes up, resulting in a severe wear. On the contrary, as the
speed starts from a higher value, the friction coefficients are
stable and wear is small. These phenomena can be explained in
viewpoints of states of third body formed in the friction. The
third body formed at lower friction speeds is usually granular,
which is responsible for the coefficient oscillations and larger
wear loss. At higher speeds, the third body formed is rather
dense, leading to stable friction coefficients and lower wear loss.
Keywords: Friction material, Third body, Friction, Wear
INTRODUCTION
Powder-metallurgy copper composites, consisting of
copper matrix, friction and lubrication elements, are widely
employed as braking material for high-speed trains, due to their
high friction coefficients and good wear-resistance[1-2].
Granular and hard SiO2 is often used as a component to
increase the friction and to improve the wear properties. It,
however, often leads to oscillation in friction coefficient, and is
therefore deleterious for brakes which require stable friction
coefficient. Much attention has been paid to the roles of SiO2 in
Cu-based materials. However, most of the works considered the
relative effects of SiO2 compared to that of other components
[3-5]. Such approach is disadvantageous for study the role of
SiO2 in the mechanism of friction and wear because the
presence of interactions of the multi-components. Further more
most of the works was conducted on inertial friction testers.
Though the tests can simulate precisely the change of friction
coefficients, they have major limitations in investigating the
effects of a specific parameter independently when other factors
such as braking speed, temperature and energy are involved
simultaneously. Fixed-speed friction tests have the ability to
measure the friction and wear properties at a specific speed as
well as to study the interactions between various speeds to help
in the investigation of the effects of friction conditions on
friction and wear properties.
This work utilized powder metallurgy technique in
0.8
Friction efficient
0.6
0.4
0.2 100r/m in 200r/m in
1000r/m in 1500r/m in
2500r/m in 3000r/m in
0
0 5 10 15
Cont ent /wt %
Fig.1 Relationship between friction coefficient and the
content of SiO2 and㧔speed sequence from low to high㧕
Corresponding author. Email address: gaofei@djtu.edu.cn (Fei GAO)
preparing the Cu-SO2 materials and investigated the
relationship between friction speeds and friction and wear
properties on a fixed-speed tester. The interactions of friction
speeds were also considered in order to explore the effects of
sequence of the speed change on the friction and wear
properties.
1. EXPERIMENTAL MATERIAL AND METHOD
Electrolytic copper powders, which have a granularity of
300 particle/inch and purity of higher than 99.7%, were used as
parent material. The additives are natural quartz SiO2 particles
of diameters from 0.07 to 0.8 mm. The two components were
mixed to form a mixture which has 3 ~ 18% of SiO2. The
mixture was molded under 600 MPa pressure into samples. The
samples, with a size of Ø17×16mm, were sintered at 850ć and
3.77MPa pressure for 80 minutes. Friction and wear tests were
conducted on a pin-on-disk tester which uses a friction disk,
made of H13 steel, of 300 mm in diameter, friction pressure
force of 233 N. For each friction speed, the tests were carried
out in two different sequences of speed change: A. from slow to
fast, and B. from fast to slow. The friction period at each
fixed-speed was 40~60 seconds. The speed change was in the
range of 100~3000 r/min (tangential speed 1.6~47.1m/s). The
wear loss, in terms of mass per consumed energy in Joule, was
determined by the weight loss measured using a balance. An
OLYMPUS microscopy and a JSM-6360LV SEM were
employed to observe the surface morphology of the samples.
2. RESULTS AND DISCUSSION
2.1 EFFECTS OF THE SPEED SEQUENCES ON FRICTION
PROPERTIES
Fig.1 and 2 show the relationships between friction
coefficient and content and granularity of SiO2, respectively, as
speed changes from low to high. The content and the
granularity of SiO2 have insignificant effects on friction
coefficient. However, the friction coefficient obviously
decreases with the increase in friction speed. The range of the
friction coefficient variation due to the speed change is about
0.4.
Fig.3 and 4 give the relationships between friction
coefficient and content and granularity of SiO2, respectively, as
speed changes from high to low. Similarly, the content and the

)ULWLRQHIILFLHQW


500r/m in 100r/min 200r/min 500r/min
2000r/m in 
1000r/min 1500r/min 2000r/min
2500r/min 3000r/min
20 
̚ ̚ ̚ ̚ ̚ ̚
*UDQXODULW\PP
Fig.2 Relationship between friction coefficient and granularity
sizes of SiO2 (speed sequence from low to high )
454
 Effects of Speed Sequence on Friction Properties of Sintered Cu-SiO2

granularity of SiO2 have insignificant effects on friction hardness of the copper matrix, the third bodies clearly have
coefficient. In this case, however, the decrease in the friction much higher than hardness. Such hard third body layer covers
coefficient is only about 0.2, which is lower than that in the the friction surface of the material and raises the hardness of the

 
Friction efficticent

Friction efficient
 

 

 100r/min 200r/min 500r/min

 100r/m in 200r/m in 500r/m in
1000r/m in 1500r/m in 2000r/min
1000r/m in 1500r/m in 2000r/m in
2500r/m in 3000r/m in 2500r/m in 3000r/m in


     0.6̚0.8 0.4̚0.6 0.3̚0.4 0.2̚0.3 0.1̚0.2 0.07̚0.1
SiO2 content/wt%
SiO2 granularity/mm
Fig.3 Relationship between friction coefficient and the
content of SiO2˄speed sequence from high to low˅ Fig.4 Relationship between friction coefficient and
granularity sizes of SiO2˄speed sequence from high to
previous case. low˅
By summarizing Figs.1~4, one can concludes that the
composition of the materials have minor effects on friction material. Thus, the pattern and coverage of the third bodies will
coefficient. Friction coefficient decreases with increasing speed inevitably affect the friction and wear performance of the
but it is also affected by the sequence of the speed change. For material.
the case that the sample was tested first at high speed, the Fig.7 illustrates the changes of third bodies on the friction
variation of the friction coefficient is reduced to 0.2 from 0.4, surface at different speeds when friction is from high to low
or by 50% compared to that in the case of speed change from speed. It is evident that at 3000 r/min dense third bodies
low to high. covered the entire friction surface, including SiO2(Fig.7a). With
The influence of the friction modes to the friction the decrease in friction speed, pits from some cracks and
coefficients is in fact due to the differences of the third bodies feel-off of third bodies are easily noticeable (dark spots in
formed at the different friction speeds[6-8]. Fig.5 displays the Fig.7b). As the speed turned further down to 500 r/min, grooves
patterns of the third bodies, formed under 100 r/min and 3000
r/min respectively, on the friction surfaces. At the friction speed
of 100 r/min, the third bodies are loose, porous and therefore

a. Speed:3000 r/min b. Speed:2000 r/min

a. Speed:100 r/min b. Speed:3000 r/min

Fig.5 The third bodies are loose, porous at low speeds
(a), and are dense at high speeds(b)㧔SEM㧕

easy to break; while at high friction speed of 3000 r/min, the

third bodies formed are dense and possess superior hardness.
The micro-hardness increases slightly as the increase of SiO2 c. Speed:500 r/min d. Speed:100 r/min
content, as shown in Fig.6. Compared to about 110 HV
Fig.7 With the decrease in friction speed, the third bodies
transform from a dense state into a porous and particulate
400
state㧔speed sequence from high to low˅
380 Friction speed:3000r/min
Hardness /HV

are easily visible, the number and the size of the spots increased
360 significantly (Fig.7c). At 100 r/min, the dense third bodies,
formed at the initial high speed and high temperature, were
340 severely crushed (Fig.7d). The friction surface became covered
320 mainly by porous and particulate third bodies (Fig.5a).
The above description demonstrates that heat generated
300 instantaneously from high speed friction concentrates primarily
     on the friction surface, and develops high-temperature zone
SiO2 content /wt% near the surface. The high temperature helps improve metal
plastic deformation and flow, thus promotes compacting
Fig.6 Effect of SiO2 contents on the hardness of third bodies friction debris to form dense third body layer (Fig.5b). The

455
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
layer bonds well with the matrix under the combined effects of
high temperature and stress. On the other hand, with lowering
of the friction speed, the temperature of the friction surface falls.
The third bodies become brittle and easy to peel off and break,
0.4
speed sequence:from low to high
speed sequence:from high to low
Wear rate/g/MJ
0.3
0.2
0.1
0.0
0 5 10 15
SiO2 content/wt%
Fig.8 Relationship between content of SiO2 and total
wear rate
causing the dense third bodies formed at the initial high
temperature to peel off by large sizes. Furthermore, due to
limited plastic deformation at low temperature, friction debris
can not be fully sheered and pressed, leaving less dense and
more particulate third bodies on the friction surface.
From the above discussion, it follows that when friction is
from high to low speed, the dense and hard third body layer
protects the friction surface and hence stabilizes friction
coefficient despite the gradual damage to the third bodies as
the friction speed declines. To the contrary, when friction starts
from low speed to high speed, the friction is on more porous
third bodies formed at low speed. The friction surface is
therefore rough, giving rise to locking effect between the
micro-asperities and resulting in higher friction coefficient. As
friction speed increases, so does the temperature of the friction
surface. The elevated temperature improves the continuity and
density of the third bodies, and, at the same time, enhances the
adherence of the friction debris to the friction surface.
Therefore, the third body layer is getting thicker and more
deformable, and acting as lubricant to lower the friction
coefficient considerably.
2.2 EFFECTS OF THE SPEED SEQUENCES ON WEAR LOSS
Wear loss at different contents of SiO2 is shown in Fig. 7,
where different speed sequences are applied. It is seen that wear
loss is greatly reduced after the material going through
high-speed friction first. Figure 8 illustrates wear loss at various
granularities of SiO2. It is shown again that the friction
properties of the materials are significantly improved after
being tested at high speed. Clearly the speed sequences have
effects on the wear loss as well. The difference in the friction
and wear properties is due to the different states of third body.
The third body formed at high speed is dense and it protects the
friction surfaces, leading to improved wear-resistance. On the
other hand, when the third body at the friction surfaces
becomes granular, it is readily removed from the substrate, and
as a result, a high wear loss is observed.
3. CONCLUSIONS
Third bodies formed at different fixed speeds are different.
The third body formed at low speed is porous and granular,
while that formed at high speed is dense and is harder than
Cu-substrate.
The friction coefficient of sintered Cu-SiO2 decreases with
increasing friction speed. The level of the decrease depends on
the sequence of the speed change. The variation in the friction
coefficient is about 0.4 in the case that the speed changes from
a low speed to a high speed, while the difference is about 0.2
when the speed changes from a high speed to a low speed.
0.4
speed sequence:from low to high
speed sequence:from high to low
Wear rate/g/MJ
0.3
0.2
0.1
0.0
0.6̚0.8 0.4̚0.6 0.3̚0.4 0.2̚0.3 0.1̚0.2 0.07̚0.1
20 SiO2 granularity/mm
Fig.9 Relationship between granularity of SiO2 and
total wear rate
Under the condition of the friction speed changes from low
to high, the third body consolidates from a granular and porous
state and becomes continuous and dense as the friction speed
increases. On the contrary, if the speed changes from high to
low, the dense third body formed at high speeds experiences
only gradual wearing process. It is the transformation of third
body that causes the difference in friction properties. The third
body formed at high friction speed is dense and stable, reducing
the variation of friction coefficient as well as the wear loss,
while the third body formed at low speed is highly granular and
change greatly as the friction speed increases, resulting in a
large variation in friction coefficient and higher wear loss.
ACKNOWLEDGEMENTS
This work was supported by the Natural Science
Foundation of China (Grant 50375025) and the Hi-Tech
Research and Development Program of China (Grant
2006AA03Z515).
REFERENCES
[1] Raison, J., 1991, “Les materiaux de freinage,” Revue
generales des chemins de fer, (7-8), pp. 27-36.
[2] Kennedy, F.E., Balbahadur, A.C., Lashmore, D.S., 1997,
“The friction and wear of Cu-based silcon carbide
particulate metal matrix composites for brake
applications,” Wear, (203-204), pp.715-721.
[3] Li, S.P., Xiong, X., et al., 2003, “Study on the behavior of
graphite and SiO2 in copper based friction materials,”
Non-metallic Mines, 26, pp.51-53.
[4] Yuan, G. Z., Yao, P. P., et al., 1999, “Effect of SiO2 and B4C
on the properties of Fe-Cu based friction materials,”
Non-metallic Mines, 22, pp.112-113.
[5] Liu B. W., Fan, Y., et al., 2001, “Effect of SiO2 and SiC on
properties of Cu-Fe matrix sintered friction materials,”
Chinese Journal of Nonferrous Metals, 11, pp.110-113.
[6] Eriksson, M., Jacobson, S., 2000, “Tribological surfaces of
organic brake pads,” Tribology International, 33,
pp.817-827.
[7] Descartes, S., Berthier, Y., 2002, “Rheology and flows of
solid third bodies: background and application to an
MoS1.6 coating,” Wear, 252, pp.546-556.
[8] Sallit, I., Richard, C., Adam, R. and Robbe-Valloire, F.,
1998, “Characterization methodology of a tribological
couple: metal matrix/brake pads,” Materials
Characterization, 40, pp.169-188.
456
 The Fluid Dynamic Lubrication between Tooth Surfaces of High Order Contact

The Fluid Dynamic Lubrication between Tooth Surfaces of High Order Contact
L.Huran

Dept. of Mechanical Engineering, Zhejiang University of Science and Technology

(Extended Abstract)

ABSTRACT (National Air and Space Agency) had carried out a program of
After an extensive research on the fundamental theory, the ART (Advanced Rotary Transmission). In which, they
theoretical basis for the Logix gearing will be presented in this presented a new kind of profile, so called NIF/HRC
paper. This includes the theory for gear meshing with high (Nun-involutes / High Rate of Contact) profile. So that
degree of contact. In comparison to previous studies, the theory increased the contact and bending strength of gearing
of this paper is more restricted going beyond third order dramatically. And therefore deceased the total weight of the
parameters into the fourth order, the teeth profile had one order whole engine. But the detail is very hard to get.
of contact higher than that of the Logix gearing. So that further
improved the contact strength of tooth profile. A large category THE HIGH ORDER OF CONTACT BETWEEN TOOTH
of gearings with high order of contact was presented, while the SURFACES
Logix gear is only one of them, or the special example in
realization of my theory. In the Logix gearing, the zigzag
curvature center curve of media rack does not always lay about
the pitch line and does not extend along the pitch line O
1
continuously and steadily. It goes forward and returns. So that, v
in terms of properties of the transverse engagement, the Logix n R 1
Y p1
gearing has not much improvement over the traditional Novikov 2 r
gearing (in which the transverse engagement is temporally). In X
1
my gearing the curvature center of basic rack extend along the v O0
pitch line continuously and steadily. The transverse engagement X
2
factor is larger than that of Logix gearing. Rp2
Keywords: gear lubrication, meshing, basic rack Y
1 O2 v 2
INTRODUCTION
Professor Novikov of former Soviet Union presented the point
contact circular gearing, so started the history of
“Concave-convex” contact transmission. Professor Neumann of
Germany presented the Neumann worm transmission [1]. Such Fig.2 Basic rack and the generation of the conjugate gears
researches improved the contact strength of tooth surface in
some degree. But circular gearing can only mesh temporally in
Illustrations of the notations in this figure:
the same transverse section. The contact of the profile of
Neumann worm transmission was still the “second degree x , y ------the coordinates of the basic rack
“contact. In the early 1990s, the Japanese scholar Komori T et nx ,n y ------the normal vector of the basic rack
al. presented a new gear profile having zero relative curvature X,Y ------the coordinates of the gear
at many contact points improved the contact strength of tooth NX,NY ------the normal vector of the gear
profile [2-3]. However, after the presentation of this new gear, I ------the angular displacement of the gear
so called “Logix” gear, there were not many significant
researches on this field. In recent years, some institutes in l ----- the transverse displacement
China had been attracted by this gearing approach and started Rp -----the radius of the pitch circle
to follow the research of this kind of gearing. But most
researches concentrated on the topics such as the foot-cut and THE CONDITION FOR THE GAP BETWEEN TOOTH
interference, which are applications of the ready-made SURFACES TO BE AN INFINITE SMALL OF 3RD
principles [4-5]. After an extensive research on the ORDER
fundamental theory, the theoretical basis for the Logix gearing According to the theories of gear meshing [6], supposing
will be presented in this paper. In comparison to previous that the profile of basic rack is: y y (x) , the corresponding
studies, the theory of this paper is more restricted going beyond
third order parameters into the fourth order, the teeth profile had profile and normal vector of the gear would be (see Fig.2)
one order of contact higher than that of the Logix gearing. So
that further improved the contact strength of tooth profile. In ªX º ª cos I sin I º ª x º
«Y » « sin I 
cos I »¼ «¬ y »¼
the gearing proposed in this work the curvature centre of basic
rack extends along the pitch line continuously and steadily. The ¬ ¼ ¬
transverse engagement factor is larger than that of Logix
gearing. From the viewpoint of derivative geometry, the most ª cos I sin I º ª R pI º
« sin I « »
cos I »¼ ¬ R p ¼
simple and strict way to judge the closeness between two bodies (1)
is the concept of “contact”. ¬
In the end of last century, The NASA of United State,

457
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

ªN x º ª cos I sin I º ª n x º ªI''sinI I'2 cosI I''cosI I'2 sinI º

«N » « sin I cos I » «n » M'' I « »
¬I''cosI I' sinI I''sinI I' cosI¼I 0
0 2 2
¬ y¼ ¬ ¼¬ y ¼
ª cos I sin I º ª y 'º ª 0 I ' 'º
« sin I cos I » « 1 » / y ' 1
2
(2)
¬ ¼¬ ¼ « I ' ' 0 » (12)
¬ ¼
According to the theory of gear meshing, the transverse
ªyº ª y' º ª 0 º ª 0 º
displacement l of rack and the angular displacement of the {R}' ' = I ' ' « »  2I ' « »  « »  Rp « 2 » (13)
gear I must satisfy the following equation: ¬ x¼ ¬1¼ ¬ y' '¼ ¬2I ' ¼
l x  yy ' The normal vector of the gear is determined by the normal
I (3) vector of the rack, so that we have:
Rp Rp
The form of Matrix can express Equ.3: ªN x º ª1 0º ª y 'º
« 0 1 » « 1 » / y ' 1
2
{R}M {r}  M {)} (4) «N »
¬ y ¼I 0 ¬ ¼¬ ¼
ªX º
Where: {R} « » , ª y 'º
» / y ' 1
2
=«
¬Y ¼ (14)
¬ 1 ¼
ª cos I sin I º ª m11 m12 º The second parameter of the Taylor series of the tooth profile:
M « » « » ,
¬ sin I cos I ¼ ¬m21 m22 ¼ n·
d 2r
is:
ª xº ª R pI º du 2
{r} « » , {)} « » ªyº ª y'º
¬ y¼ ¬ Rp ¼ {N}T {R}'' I ''>  y ' 1@ « »  2I ''>  y ' 1@ « »
{R} form 1st and 2nd order˖
Differentiate
¬ x¼ ¬1¼
{R}' M '{r}  M {r}' M '{)}  M {)}' ª0º ª 0 º
(5)  >  y ' 1@ « »  Rp >  y ' 1@ « 2 »
¬ y '''¼ ¬2I ' ¼
{R}' ' M ' '{r}  2 M '{r}' M {r}' ' I ' ' ( y ' y  x)  2I ' ( y ' 2 1)  y ' '2 R pI ' 2
 M ' '{)}  2 M '{)}' M {)}' ' (6)
=  2I ' ( y ' 1  2 R pI ' )  y ' '
2
(15)
In the above equation, the differentials of {r} and {)} are:
( I 0, l x  yy ' 0 )
ª1º ª0º
{r}' « » {r}' ' « » , (7) For gear 1 and gear 2 we have the expressions as following
¬ y '¼ ¬ y ' '¼ respectively:

ª I º ª I 'º {N 1 }T {R1 }' '  2I1 ' ( y ' 2 1  2 R p1I1 ' )  y ' ' ,
{)} R p « » , {)}' R p « » ,
¬ 1 ¼ ¬ 1 ¼ l x  yy '
I1 ˈ
ª I ' 'º R p1 R p1
{)}' ' R p « », (8)
¬ 1 ¼ {N 2 }T {R2 }' '  2I 2 ' ( y ' 2 1  2 R p 2I 2 ' )  y ' ' ,
Since that the original point of coordinate is the intersect point x  yy '
of normal vector and the pitch line of rack. Where: I2
l x  yy ' R p2
I =0ˈ (9) Let the second parameter equal zero:
Rp Rp
{N 1 }T {R1 }' ' {N 2 }T {R2 }' ' 0
So that, we have:
We have˖
ª1 0º l' l'
M I 0 « » (10)
I1 ' 0, I 2 ' 0, l ' 0
¬0 1 ¼ R p1 R p2
ª  I ' sin I I ' cos I º ( x  yy ' )' 0, 1  y ' 2  y ' ' 0 , (16)
M' I 0 « I ' cos I  I ' sin I »
¬ ¼I 0 The coordinate of the curvature center:

ª 0 I 'º 1  y' 2
yc y 0
« I ' 0 » (11)
y' '
¬ ¼

458
 The Fluid Dynamic Lubrication between Tooth Surfaces of High Order Contact

This means the curvature centre of basic rack must lie on the a a x  ff '
pitch line. ³b
p (r u n)dx ³
b
p
1  f '2
dx 0 (27)

THE FLUID DYNAMIC LUBRICATION BETWEEN

From the above 4 equations we can find the 4 undetermined
TOOTH SURFACES OF HIGH ORDER CONTACT
This paper made some research on the fluid dynamic quantities: a,b, h0 , h .
lubrication between the line contact tooth surfaces, presented
This paper revised and improved the Martine Theory.
the determination condition of the fluid dynamic lubrication
This is the fundamental and very important work in the fluid
between the line contact tooth surfaces. Martine Theory have
dynamic lubrication.
very important significant in the history of the development of
the fluid dynamic lubrication. But the data tested by the
CONCLUSION
experiment differs with the data calculated by Martine Theory
Some essential findings are:
in 1—2 magnitude. The reason of which is that, Martine
assumed that the starting and finishing point of the pressure oil (1) If x  yy ' 0 , the two surfaces would conjugate with
are: h0 ¢ x ¢ f . This paper abandoned this assumption,
each other, there are no additional requirements for the
profile of basic rack. The gap between tooth surfaces at
instead, in the force calculation strictly according to the adjacent area of mesh point is an infinite small of the second
equilibrium conditions. order. The parameter of the second order can be expressed
Suppose that, the thickness of the lubrication oil equal to
by: ( x  yy' )' .
h h0  f ( x) .
(2) If ( x  yy ' )' 0 , the curvature centre of basic rack must
lay on the pitch line, the gap between tooth surfaces at
f ( x) : is the function of the gape between the two adjacent area of mesh point is an infinite small of the third
surfaces, h0 is the minimum thickness of the lubrication oil order. The parameter of the third order can be expressed by:
film. ( x  yy' )' ' .
The integration form of the pressure of the lubrication oil film: (3) The fluid dynamic lubrication of high order contact gearing
can be calculated by this method.
x hh
p ³ b
12Ku
h3
dt (23)
REFERENCES
[1] F. Neumann, “Machine Element” Elsveir Press. 1990
In the equation h is the thickness of the lubrication oil London.
dp [2] Komori T, Arga Y, Nagata S (1990) A new gear profile
at the place where 0. having zero relative curvature at many contact points.
dx Trans ASME 12(3): 430~436
 b, a are the starting and finishing point of the pressure oil [3] Komori T, (1988) A new gear profile of relative curvature
film. being zero at contact points. Proceeding of International
The boundary condition: Conference on gearing, China CMCC,.: 230~236
[4] Xiangying, Feng; Aiqun Wang lee, Linda; (2004)( Study on
a hh
³
the design principle of the Logix gear tooth profile and the
x a, p 0, p 12Ku dx 0 (24) selection of its inherent parameters. International Journal
b h3 of Advanced Manufacture Technology Dec. Vol
The force equilibrium equation: 24.(11/12):789~794
In the vertical direction, the vertical component of the pressure [5] Li.F. (2002 ) Study for the forming principle of Logix gear
of the lubrication oil film should be equilibrated with the outer tooth profile and its mesh performance Journal of Xiamen
load: University,vol36(1):12-16
a 1
³
[6] Wu Dalen, “Deferential Geometry and Theory of gear
p dx F (25) mesh” Science Press China (in Chinese)
b
1  f '2 [7] L. Litvin, “Theory of gear mesh and its application”,
In the horizontal direction, the horizontal component of the Mechanical Industrial Press China.1984
pressure of the lubrication oil film should equilibrate by them [8] Dooner, D. B, (2002) “On the Three Laws of Gearing”,
selves. Journal of Mechanical Design, Vol.124, December
[9] Di Puccio, Alternative Formulation of the Theory of Gearing,
a f'
³b
p
1  f '2
dx 0 (26) Mechanism and Machine Theory, 2005.

(The whole paper will be supplied by the authors if reader

The total momentum of the pressure of the lubrication oil film needs it.)
about the acting point should be zero.

459
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Study on Friction and Wear Behavior of Glass Fiber and Fly Ash
Reinforced MC Nylon Composites
S.H. Zhang1*, G. Chen1, C. Cui1, C. Mi2, F. Tian1
1
Department of Material Science and Engineering, Nanjing University of Science and Technology,
Jiangsu Nanjing 210094, China
2
Hengfa Electric Power Industry Parent Company, Tongling City in Anhui Province, Anhui Tongling 244000, China
ABSTRACT
The glass fiber and fly ash reinforced monomer casting
nylon composites (coded as GFFAPA) have been prepared by
anionic polymerization of caprolactam. The friction and wear
behaviors of composites with different proportion of glass fiber
and fly ash under dry condition and water lubrication were
investigated through a ring-black wear tester. The worn
surfaces were observed and analyzed using a scanning electron
microscope and a surface profilometer. The results show that
the tribological properties of composites were significantly
affected by the proportion of glass fiber and fly ash. GFFAPA
composites had lower friction coefficients and better wear
resistance than MC nylon. The higher wear resistance of the
composite could be attained with the proportion of glass fiber
30% and fly ash 10%, which respectively decreased 57.8% and
89.9%. The main wear mechanism of composites with low
proportion of glass fiber and fly ash were adhesive and abrasive
wear while that of composites with high proportion of glass
fiber and fly ash were abrasive and fatigue wear. Compared
with dry friction, the friction coefficient and wear rate of
composites Sg3+f1 respectively decreased 42.5% and 77.8%
under oil lubricant, while the wear rate was bigger under water
lubrication than that with no lubricant. The wear mechanism
under water or oil lubricated condition was principally abrasive
wear.
Keywords: nylon 6, composite, Tribology, Friction, Wear
1. INTRODUCTION
Polymeric materials are used widely in various
technological applications. Nylon 6 is known to be one of the
main engineering polymers and has been used in various
mechanical components, electric appliances and business
equipment as well as automotive industry. However, Nylon 6
components are inherently low wear-resistant, and thus, the
usage is limited to relatively milder service applications. The
potential for applications of Nylon 6 can be significantly
increased if friction and wear properties can be improved.
Various studies [1-3] have demonstrated that the
tribobehavior of polymers is improved by the addition of fillers.
Ge shi-rong et al. [4] reported that the tribological properties of
the composite were significantly affected by glass fiber content
under the given testing conditions, and the optimal reinforcing
effect of PA 1010 was reached at the glass fiber content
between 25% and 30%. Li guo-lu et al. [5] reported the friction
coefficient of glass bead filled composite was decreased, wear
resistance of the composite was increased, where adhesive wear
and abrasive wear were main wear behaviors. Wang Jun-xiang
et al. [6] reported that carbon fiber and CaF2 filler is more
effective in improving the tribological properties of nylon 1010
matrix. The wear rate and friction coefficient of
30%CF-10%CaF2 Nylon is reduced almost 5 times and
approximately 25 percent than that of 30%CF Nylon,
respectively.
* Corresponding author.
460
In the present study, glass fiber and fly ash reinforced
monomer casting nylon composites (coded as GFFAPA) have
been prepared by anionic polymerization of caprolactam. The
friction and wear behaviors of composites with different
proportion of glass fiber and fly ash under dry condition and
water lubrication were investigated through a ring-black wear
tester.
2. EXPERIMENTAL DETAILS
2.1 MATERIALS
Caprolactam was supplied by Baling Branch, Sinopec Inc.
China. Sodium hydroxide was supplied by Shanghai Chemistry
Reagent Factory. Leukonat adhesive was supplied by Dalian
Jinzhou Adhesive Factory. E-glass fiber was supplied by
Nanjing Glassfiber Research and Design Government, which
nominal diameter was 10m, ratio of lengthen to diameter was
10:1, and surface treated with a commercial polyamide
compatible coupling agent (KH-550). Fly ash was supplied by
Tongling Hengfa Electric Power Inc., which nominal diameter
was 10m and surface treated with a commercial polyamide
compatible coupling agent (KH-550).
2.2 COMPOSITE SAMPLES
Glass fiber and fly ash reinforced monomer casting nylon
composites (coded as GFFAPA) were prepared according to
the following procedure: (i) melt caprolactam at 120ć and
evaporated at vacuum (10mmHg) for 30min; (ξ) mixed in
Sodium hydroxide, glass fiber and fly ash (dried at 120ć for
1h), stirred under magnetic force and continue evaporated at
vacuum at 130-140ć for 60min; (ο) mixed in Leukonat
adhesive and quickly casted into the mould, which was placed
in an oven at a temperature of 180°C;(π) after cooling in air,
specimen pins of the size 30mmh7mmh6mm were machined
from the blocks. Table 1 shows the mechanical properties of the
GFFAPA composites.
2.3 SLIDING TESTS
Friction and wear tests were performed at speeds of 200rm-1
for 1h under loads of 200N with a MM-200 block-on-ring wear
tester, made by Xuanhua Material Test Machine Co. Ltd.,
China. Samples were 30mmᱢ7mmᱢ6mm blocks, and sliding
was performed on the 6mmh30mm face. The material of the
metallic ring was AISI 1045 steel, quenched and hardened to a
hardness of 40-45 HRC. Figure 1 shows the illustration of the
block-on-ring arrangement. The metallic ring and the block
specimen were finished with 600 grade SiC paper, which
provided a surface roughness of Ra = 0.10-0.15 and 0.4-0.6μm,
respectively. The surfaces of the block and the metallic ring
were cleaned with absorbent cotton soaked in acetone and dried.
Before and after the experiment, the block was cleaned with a
brush to remove particles/wear debris. Before testing, all the
 Study on Friction and Wear Behavior of Glass Fiber and Fly Ash Reinforced MC Nylon Composites

samples were exposed at the laboratory conditions till a M

P
constant weight was reached. r˜F
where M is the friction torque in kg cm, r is the radius of the
metallic ring in cm and F is the load 200N. Weight loss
measurements were made using an analytical balance having
accuracy count of 0.1mg. Each sliding test was repeated five
times using five separate samples for each condition and the
mean of five experimental values and standard deviation were
calculated.
2.4. CHARACTERIZATION
The microstructures of the worn surface of a composite
sputtered with gold were inspected with a scanning electron
microscope (Quanta200, FEI Inc.).

3. RESULTS AND DISCUSSION

3.1 GFFAPA compositesĄtribological properties
Fig.1 Illustration of the block-on-ring arrangement Figure 2 shows the friction and wear behaviors for
composites under dry condition. It could be noted from Fig 2
that the friction coefficient and wear rate for the composites
Table 1 tended to be lower than those for the unreinforced material and
Mechanical properties of GFFAPA composites with different seemed to be dependent on the amount and type of
proportion of glass fiber and fly ash. reinforcement. When single fly ash or glass fiber reinforced
Materials Tensiles Bending nylon composites, both the friction coefficient and wear rate
Hardness decreased a little. For example, the friction coefficient and wear
Designation (GF/FA/PA strength strength
HRD rate of sample Sf2 respectively decreased 5.2% and 68.9%, and
wt%) /MPa /MPa
that of sample Sg3 decreased 33.1% and 65.3%. For GFFAPA
S0 0/0/100 73 120 71 composites the friction coefficient and wear rate decreased
Sf1 0/10/90 79 113 81 obviously and reached the lowest value with volume percent of
Sf2 0/20/80 81 140 86 GF30% and FA10%, which the friction coefficient and wear
Sg1 10/0/90 64 125 72 rate respectively decreased 57.8% and 89.9%. The reason is
Sg2 20/0/80 77 132 75 that glass fiber and fly ash improved the tribological properties
Sg3 30/0/70 107 163 82 of composites. The higher the volume fraction of glass fiber
and fly ash was, the better the tribological properties.
Sg1+f1 10/10/80 64 124 60
Furthermore, the optional distributing glass fiber and fly ash
Sg2+f1 20/10/70 74 122 67 had a synergetic effect on the wear resistance of composites so
Sg2+f2 20/20/60 65 134 71 that they did not break off easily from the matrix to form
Sg3+f1 30/10/60 84 166 84 abrasion. When the volume fraction of glass fiber and fly ash
were too high, however, the fluidity of caprolactam active
The friction force was measured from the output of a strain materials was lower and the process of moulding became
gauge mounted on a vertical arm that carried the block. difficult, so that the mechanical properties of GFFAPA
Continuous monitoring of the torque could determine the composites with higher volume fraction declined and the wear
friction coefficient (­) from the following equation: resistance properties decreased.

Fig.2 Measurements of friction and wear for composites

Figure 3 shows the friction properties of GFFAPA compared to dry condition. It could be seen that the friction
composites (Sg3+f1) under water and oil lubricated conditions coefficient and wear rate of composites in a water lubricated

461
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

environment were lower than that under dry condition, and
higher than that in an oil lubricated environment. The friction
coefficient and wear rate of composites in a water lubricated
environment is approximately half of that without lubrication.
The friction coefficient and wear rate of composites
respectively decreased 42.5% and 77.8% under oil lubrication.
It indicated that GFFAPA composites had best tribological
properties under oil lubricated condition.For the presence of
water and oil, an anti-wear film was appeared, which reduced
the wear rate decreased.
0.4
There was also the character of fatigue wear as shown in
Figure 5. When fiber proportion was increased to 30% and fly
ash to 10%, a patch consists of fine wear particles held together
by thermo mechanical processes, specifically softening owing
to frictional heat, and subsequent compression owing to normal
load. The wear particles were accumulated and formed a
compacted patch. The patches were likely to shield the pin
a
0.08

friction coefficient
0.3
wear rate /g 0.06
friction coefficient

wear rate /g
0.2 0.04

0.1 0.02

b
0.0 0.00
1 2 3
Samples

Fig.3 Measurements of friction and wear for composites

(Sg3+f1) under different conditions (a) dry condition (b)
water lubricated (c) oil lubricated

3.2 SEM studies and wear mechanisms of worn

composites
The wear measurements clearly show that there are
significant changes in the wear process as wear proceeds. In an
attempt to understand the underlying mechanism, SEM pho-
tographs were taken of the worn surfaces in the wear process. c
Worn surfaces of GFFAPA composites under dry condition
with different proportion of glass fiber and fly ash are shown in
Figure 4 (a) shows that the worn surfaces of pure nylon were
very smooth and adhesive wear was dominating. There was a
little tiny crackle perpendicular to friction direction for big
friction force. Figure 4 (b) shows that when the proportion of
glass fiber and fly ash was 10%, worn surfaces of composites
were still smooth and there were filaments aligned parallel to
the sliding direction and many of these cracked under the
influence of friction force.During the wear process, matrix of
GFFAPA composites that enwrapped the glass fiber and fly ash
was first ground off and exposed on the worn surface. 7hese
fiber and ash exposed on the surface bore the load. They could
inhibit the cutting action of micro-convexity on the surface of d
counterpart to the matrix of composites. The main wear
mechanism of composites was both adhesive wear and abrasive
wear. For appending some glass fiber and fly ash into nylon
matrix, composites’ stiffness were increased and plastic
distortion alleviated.[7] The exposed fiber and fly ash sustained
the greatest loads between the interfaces, which was effective in
improving the tribological properties of composites.
As shown in Figure 4 (c) and (d), with more glass fiber and
fly ash, the matrix was worn off, the fiber and fly ash ruptured
and fell off without the support and protection of the matrix. The
fiber and fly ash which fell out of composites and the wear
debris of matrix distorted, extruded, intenerated, reset and
transferred between the interfaces again and again, forming the Fig.4 SEM photos of wore surfaces under dry lubrication
typical abrasive wear. (200×) (a)S0 (b) Sg1+f1 (c) Sg2+f1 (d) Sg2+f2

462
 Study on Friction and Wear Behavior of Glass Fiber and Fly Ash Reinforced MC Nylon Composites
surface from damage by the hard asperities on the metallic
counterface and were thus helpful in reducing wear. The glass
fiber and fly ash supported the load preferentially and so the
loading on polymer matrix was much less. This should account
for the reduction in wear rate because of fiber and fly ash
reinforcement.
Fig.5 SEM photos of composites Sg3+f1 wore surfaces under
dry lubrication (400×)
Worn surfaces of GFFAPA composites (Sg3+f1) under water
and oil lubricated conditions are shown in Fig. 6. Comparing
with Figure 6, the surface of composites with no lubricant had a
high wear rate and the surface is very irregular was deeply
grooved with peaks and valleys as shown in Fig.5. Also there
was no film formation on the nylon that might reduce friction
and wear. But, the worn surfaces of composites under water or
oil lubrication were relatively smooth as shown in Fig.6. In
water lubricated environments, the temperature was not
increased because of the cooling action of water. On the other
hand, amido bond of nylon absorbs water easily and acts as
lubrication. Consequently, the composites in a water lubricated
environment have the optimum friction properties comparing to
that without lubrication. Furthermore, the presence of a water
layer weakened the chemical affinity between nylon and the
metallic ring and, due to flushing action of water, the surface of
metallic ring could not form a transfer film like that under dry
sliding.[8] Thus adhesive wear did not occur. Therefore, the
wear mechanism under water lubricated condition was
principally abrasive wear. In oil lubricated environments, the
thing was so on. It could be assumed that the film on the surface
made with oil and nylon made glass fiber and fly ash more
hardly worn away from the nylon to accelerate the wear of nylon,
as well as to decrease the friction coefficient and wear rate. [9]
4. CONCLUSIONS
In conclusion, under the experimental conditions described,
the tribological properties of composites were significantly
affected by the proportion of glass fiber and fly ash. The
friction coefficient and wear rate of GFFAPA composites were
lower than that of MC nylon, which respectively decreased
57.8% and 89.9% with the proportion of glass fiber 30% and
fly ash 10%. The main wear mechanism of composites with
low proportion of glass fiber and fly ash were adhesive and
abrasive wear while that of composites with high proportion of
glass fiber and fly ash were abrasive and fatigue wear.
Compared with dry friction, the friction coefficient and wear
rate of composites Sg3+f1 respectively decreased 42.5% and
77.8% under oil lubricant. The wear mechanism under water or
oil lubricated condition was principally abrasive wear.
463
a
Fig.6 SEM photos of composites Sg3+f1 wore surface under
different lubrication (00×) (a) water (b) oil
REFERENCES
[1]. Bahadur, S., PoIineni, V. K., 1996, “Tribological studies
of glass fabric-reinforced polyamide composites filled
with CuO and PTFE,” Wear, 200, pp.95-104.
[2]. Goshawk, J. A., Jones, R. S., 1996, “Structure
reorganization during the rheological characterization of
continuous fibre-reinforced composites in plane shear,”
Composites: Part A, 27A, pp. 219-286.
[3]. Hammel, E., Tang, X., Trampert, M., 2004, “Carbon
nanofibers for composite applications,” Carbon, 42, pp.
1153-1158.
[4]. GE, S. R., WANG, W. H., WANG J. X., 2000,
“Investigation of the Tribological Properties of Glass
Fiber Reinforced Polyamide-1010 Composits,” Tribology,
20, pp.427-430.
[5]. LI, G. L., LIU, J. H., HU, Y., 2005, “Tribology and
Thermal Properties of Glass Bead Modified Oil filled MC
Nylon,” Materials for Mechanical Engineering, 29,
pp.41-45.
[6]. WANG, J. X., GU, M. Y., 2005, “Investigation of CaF2
Filler and Carbon Fiber on the Tribological Properties
and Wear Mechanisms of Nylon1010 Composites,”
Polymer Materials Science and Engineering, 21,
pp.184-188.
[7]. Hooke, C. J., Kukureka, S. N., Liao, P., 1996, “Wear and
friction of nylon-glass fibre composites in non-conformal
contact under combined rolling and sliding,” Wear, 197.
pp. 115-122.
[8]. ZHENG, L. Y., ZHAO, L. X., ZHANG, J. J., 2006,
“Friction and wear properties of three-dimensionally
braided carbon fabric-reinforced nylon composites,”
Letters to the Editor / Carbon, 44, pp.161-164.
[9]. KANG, S. C., CHUNG D. W., 2003, “Improvement of
frictional properties and abrasive wear resistance of
nylon/graphite composite by oil impregnation,” Wear,
254, pp.103-110.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Experimental Study of Ultrasonic Vibration Assisted Chemical Mechanical Polishing for

Sapphire Substrate

Wenhu Xu, Xinchun Lu, Guoshun Pan, Jianbin Luo, Chenhui Zhang

The State Key Laboratory of Tribology, Tsinghua University, Beijing 100084, China

ABSTRACT Honglin Zhu etc[4] used CMP to polish the sapphire to get
Sapphire is an important substrate material widely used in a the required surface quality. Although CMP was proved to be a
range of applications such as optics, electrics, and IC industry. available method to polish sapphire, but the MRR of sapphire
In many of those applications, critical surface quality demands CMP is low because of the sapphire’s high hardness. It is
of sapphire are required. Chemical mechanical polishing (CMP) necessary to combine CMP and other methods to improve the
has been proved to be a available method to produce high MRR. Ultrasonic machining (USM) is among the most
quality surface for sapphire substrate. But there are still some effective methods for machining hard and brittle materials,
disadvantages in traditional CMP system, for example, the such as glass and ceramics. Many people use USM to polish
material removal rate (MRR) is very low. In order to improve different kinds of materials. H. Hocheng and K.L. Kuo[5] used
the MRR, an ultrasonic vibration assisted CMP system is ultrasonic polishing for mold steel. H. Suzuki etc[6]used
developed. The polishing tool is vibrated along horizontal ultrasonic vibration assisted polishing machine for micro
direction at an ultrasonic frequency with piezo-electric aspheric die and mold. Rulin Shen and Jue Zhong[7]used
actuators. In our study, the MRR of sapphire is about twice as ultrasonic polishing for magnetic recording heads. We
much as the traditional method with the help of ultrasonic developed an ultrasonic vibration assisted CMP system in
energy. And the reasons of improving the MRR by the order to improve the MRR of sapphire. Proved by the
ultrasonic vibration assisted CMP are also discussed. experimental results, it can improve the MRR twice as much as
Keywords: ultrasonic vibration, chemical mechanical polishing, the traditional method.
sapphire substrate
EXPERIMENTS
INTRODUCTION
Sapphire is a single crystal form of ¢-alumina and widely
used in a variety of modern high-technology applications
because of their optical ,chemical and mechanical properties,
such as substrate material for high-power blue light emitting
diodes, laser diodes[1] and read–write laser sources for high
density information storage on magnetic and optical media.
sapphire is also used for visible and midwave infrared airborne
windows and radomes[2].
In all of those applications, stringent surface quality is Fig. 2 Schematic of ultrasonic vibration assisted CMP system
required. Now CMP is usually used to polish sapphire material
to satisfy the demands of the surface quality. Traditional CMP
system is shown in figure 1. During CMP processes, a wafer is
rotated about its axis while being pressed onto a rotating
polishing pad by a carrier and a carrier film. At the same time,
slurry is provided to the wafer and pad interface. The polishing
pad is typically made of soft compliant polymers and has a
porous and rough pad surface. Slurry is a solution containing
abrasive particles and reactive chemicals. The material
removal in CMP is a combination of chemical reaction of the
slurry chemicals with the wafer surface materials and the
repeated sliding, rolling, or indentation of the abrasive particles
against the wafer surface[3].

Fig. 3 Ultrasonic vibration assisted CMP machine

Fig. 1 schematic diagram of traditional CMP system
Figure 2 shows a schematic illustration of our ultrasonic
vibration assisted chemical mechanical polishing machine.
Sapphire substrate is stuck to the wafer holder by fused
paraffin. The Piezoe-lectric Transducer (PZT) changed the
electrical signal into mechanical vibration signal. The vibration
is enlarged by ultrasonic horn attached to the PZT and
transported to the wafer holder. The vibration frequency is

464
 Experimental Study of Ultrasonic Vibration Assisted Chemical Mechanical Polishing for Sapphire Substrate

about 20kHz and the amplitude is about 10 micrometers. The little when the pressure is 5 psi. Maybe the reason is that 5psi
polishing pad is ratated and the slurry flows between the pad is so large that it is not suitable for ultrasonic vibrating system.
and wafer. The polishing pressure is adjusted by the amount of
the weights mounted on the wafer holder.

Table 1 components of the slurry

abrasive particles pH value concentration
SiO2 15nm 11.2 5%

Table 1 shows the components of the slurry used to polish

sapphire in the experiments. The slurry is steady and
unchanged all through the experiments. Firstly, the polishing
pressure is changed from 1 to 5 psi to compare the sapphire
MRR between the traditional CMP and ultrasonic vibration
assisted CMP. The polisher parameters are shown in table 2.

Table 2 parameters of polisher with different pressure

rotating flow pressure Time
speed˄r/m˅ velocity ˄psi˅ ˄h˅
˄ml/min˅
100 50 1~5 1

Then, the rotating speed is changed from 20~100 rpm to

compare the sapphire MRR between the traditional CMP and Fig. 5 MRR comparison of two methods under different
ultrasonic vibration assisted CMP. The polisher parameters are rotating speeds
shown in table 3.
From figure 5, it can be seen that the sapphire MRR always
Table 3 parameters of polisher with different rotating speed increases greatly when the rotating speed increases.
rotating flow pressure Time Based on the above experimental results, it can be seen that
speed˄r/m˅ velocity ˄psi˅ ˄h˅ the removal mass of sapphire by ultrasonic vibration assisted
˄ml/min˅ CMP system becomes much larger than traditional CMP
20~100 50 2 1 machine. The removal mass is about two times as much as the
traditional CMP method. The ultrasonic vibration assisted
CMP system is proved to be a effective method to improve the
material removal rate of sapphire. It can also be used to polish
EXPERIMENTAL RESULTS other hard and brittle materials.

Fig. 4 Removal mass comparison of two methods under

different pressures

From figure 4, it can be seen that the removal mass of

sapphire is larger with ultrasonic vibration than traditional
CMP, and increases a lot when the polishing pressure increases
from 1 to 4 psi, especially when the pressure is two psi, the
removal mass of ultrasonic vibration assisted CMP is twice Fig. 6 Scratches on the polished surface of sapphire
larger than traditional CMP. But the removal mass decreases a

465
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Although our ultrasonic vibration assisted CMP machine
can improve the removal mass of sapphire substrate greatly,
there are many scratches on the polished sapphire surface. The
reason is that only the polishing pad is rotated but the wafer
holder is not rotated, so the force applied to the polishing
surface is non-homogeneous and it caused the different
removal mass of the sapphire then scratches are created on the
sapphire surface. In order to avoid scratches and improve the
efficiency and surface quality of the sapphire, we developed a
new ultrasonic vibration assisted CMP machine shown in
figure 7. The developed machine has many advantages. For
example, the polishing tool can be rotated about its axis. It can
improve the surface quality of sapphire greatly and avoid the
scratches. The power, down force, and amplitude is larger than
before and can be adjusted.
Fig. 7 developed ultrasonic vibration assisted CMP machine
DISCUSSION
The reasons are as below why the ultrasonic vibration can
improve the sapphire MRR greatly.
1. The impact force between sapphire and the abrasives is
enlarged by ultrasonic wave.
2. The cavitation damage is caused by high frequency
vibration. When the bubbles collapse, the stress pulse
ranging from a few hundred to over 1000 MPa will strike
the surface of sapphire time after time. So the surface
material will be removed after long time[8].
3. Ultrasonic wave may change the surface or subsurface
structures of sapphire so that the sapphire becomes easier
to be removed.
4. Ultrasonic vibration may enhance the shearing force
between sapphire surface and the polishing pad.
466
CONCLUSION
1. The removed mass of sapphire substrate was improved a
lot by ultrasonic vibration assisted CMP compared with
the traditional CMP. It is about two times as much as the
traditional CMP method. And The reasons are also
discussed why the ultrasonic vibration can improve the
sapphire removal mass a lot.
2. Ultrasonic vibration is proved to be very useful to polish
the sapphire substrate.
3. We developed a new and effective method to polish
sapphire.
ACKNOWLEDGEMENTS
The authors are grateful for the founding from the project
“Mechanism research of chemical mechanical combination
functional particles and its super precision polishing” of
National Natural Science Foundation (No 50775122) and the
project-“Polishing Research of atomic scale smooth surface”
from international cooperation program of ministry of science
and technology (No 2006DFA73350).
REFERENCES
[1]J.W.Orton, C.T.Foxon, 1998, “Group III nitride
semiconductors for short wavelength light-emitting devices”,
Reports on progress in physics, 61, pp.1-76.
[2] M. Smith, K. Schmid, F. Schmid, C.P. Khattak, J.
Lambropoulos, 1999, “Window and Dome Technologies and
Materials IV”, in:R.W. Tustison (Eds.), Proceedings of
SPIE—The International Society for Optical Engineering, 3705,
Orlando, pp.2-326.
[3]Xia Xun, Ahmadi, 2002, “Surface removal rate in
chemical-mechanical polishing”, Particulate Science and
Technology, 20, p.187-196.
[4]Honglin Zhu, Luiz A. Tessaroto, Robert Sabia, Victor A.
Greenhut,Maynard Smith, Dale E. Niesz, 2004, “Chemical
mechanical polishing (CMP) anisotropy in sapphire,” Applied
Surface Science, 236, p.120–130.
[5]H.Hocheng, K.L. Kuo,2002, “Fundamental study of
ultrasonic polishing of mold steel,” International Journal of
Machine Tools & Manufacture , 42 , p.7–13.
[6] Suzuki, H, Moriwaki, T, Okino, T, Ando, Y, 2006,
“Development of ultrasonic vibration assisted polishing
machine for micro aspheric die and mold”, CIRP Annals -
Manufacturing Technology, 55, p.385-388.
[7] Rulin Shen, Jue Zhong,2007, “Ultrasonic Applied in Super
Precision polishing of Magnetic Recording Heads,” Electronic
Packaging Technology, 2007. ICEPT 2007. 8th International
Conference on , p.1-4.
[8] W.J. Tomlinson, N. Kalitsounakis, G. Vekinis, 1999,
“Cavitation erosion of aluminas”, Ceramics International, 25,
p.331-338.
 Friction and Wear of the Ceramic Coating Formed on Magnesium Alloy
Friction and Wear of the Ceramic Coating Formed on Magnesium Alloy
*
Fei Chen1, , Hai Zhou1, Qingfeng Zhang1, Fanxiu Lv2
1
College of Mechanical Engineering, Beijing Institute of Petrochemical Technology, Beijing 102617, China
2
School of Materials Science and Engineering, University of Science and Technology, Beijing 100083, China
ABSTRACT
Microarc oxidation is a recently developed surface
treatment technology, by which ceramic coatings are directly
formed on alloys, and the performances of the alloys are greatly
improved. In this paper, a dense ceramic oxide coating was
prepared on a AZ31 magnesium alloy by microarc oxidation in
a Na2SiO3 electrolytic solution. The surface morphology,
cross-sectional microstructure and phase composition were
analysed using scanning electron microscopy (SEM) and X-ray
diffraction (XRD). The basic mechanism of microarc coating
formation is explained. The friction and wear behavior of the
micro-arc oxidation ceramic coating under dry sliding against
GCr15 steel was evaluated on a ball-on-disc test rig. The results
show that the microarc oxidation coating is relatively dense and
uniform, mianly composed of the loose layer, compact layer and
transition layer. With elongated treated time, thickness of
creamic coating increased obviously in the constant current
condition. O, Si, Al and Mg element exist in the microarc
oxidation ceramic coating, their distribution in the coating have
been analysed too. The AZ31 magnesium alloy was
characterized by adhesion wear and scuffing under dry sliding
against the steel, while the surface micro-arc oxidation ceramic
coating experienced much abated adhesion wear and scuffing
under the same testing condition. The micro-arc oxidation
ceramic coating showed good friction-reducing and fair
antiwear ability in dry sliding against the steel.
Keywords: Magnesium alloy, Microarc oxidation, Friction,
Wear
INTRODUCTION
Microarc Oxidation (also named microplasma oxidation or
anodic spark deposition) is a surface treatment technology
developed recently, and has been arousing interest among
international researches [1~4]. It breaks the operating voltage
limits of traditional anodic oxidation. Using high-voltage
discharges, ceramic coating can be directly formed on the
surface of nonferrous metals, such as Al, Ti, Mg and so on,
owing to the high instantaneous temperature in a microarc zone.
Following steel and aluminum, ceramic has become the third
generation of engineering materials for its special physical and
chemical features, but meanwhile its poor plasticity and
machinability limit its application as homogeneous. Through
microarc oxidation, ceramic coatings with high quality are
prepared and the perfect combination of the advantages of two
types of materials is realized[5~7].
1. EXPERIMENTAL
Experimental material adopted a Mg-Al wrought
magnesium alloy AZ31. A self-designed 30 KW pulse microarc
oxidation device was used for surface treatment. It consists of
pulsed ionizing power supply, electrolytic bath, rabbling system,
cooling system, equal-electrode workpieces and copperplate.
The samples are Ü20 mm×5 mm round cakes. The electrolytic
solution composed mainly of Na2SiO3 (10 g/L) was prepared
467
with deionized water and some additional additives such as
Na2WO4, KOH and Na2EDTA. Thickness, element distribution
and structure of the ceramic coating are measured with
S250MK3 English scanning electron microscope (SEM) and
Rigaku D/max 2500 X-ray diffractometer (XRD).
2. RESULTS AND DISCUSSION
2.1 SECTIONAL MICROSTRUSTURE OF THE COATING
Fig.1 shows the cross-sectional microsturcture of the
ceramic coatings on the AZ31 magnesium alloy. The coating
is prepared at 300V, 3A for 40 minutes. Its thickness is about
20m. The coating consists of two layers: loose layer (I),
compact layer (II). The loose layer takes up 10% or so of the
total thickness, dense layer 90%. The oxide coating and alloy
base is joineed through interdiffusion and alloying between
oxgen and the alloy components.
Fig.1 Sectional microstructure of the coating
2.2 SURFACE MORPHOLOGY OF THE COATING
The SEM images of the surface morphology of the
micro-arc oxidation ceramic coatings that were prepared at
300V, 3A for 20, 40 or 60 minutes respectively as shown in
Fig.2. It can be seen that oxidized film surface is composed of
melted parcels with different sizes, and a mass of micropores
are unevenly distributed in them. These micropores are the
channels through which solutions react with the alloy. Under the
arc discharge, the formed oxides are melted, rapidly solidified
and jointed to each other. Original micropores are covered by
the new oxides. Therefore, as the microarc oxidation proceeds,
the ceramic coating becomes thicker. In addition, obvious
extended cracks can be seen on the surface. They are caused by
the thermal stress formed in rapid solidification of the oxide
melts.
The surface morphology of micro-arc oxidation ceramic
coating is formed after completing three phases of the microarc
oxidation, namely, anodic deposition, microarc formation and
partial arc discharge. The phase before creating spark discharge
is called as anodic deposition; it means the spark discharge
starting that massive, dense, fine and well-proportioned white
sparks are produced on the sample surface. Then the spark
density is reduced and its color is changed from white to orange.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
But the sparks are still dense and even, a dense layer is formed,
smaller micropores are distributed on the layer surface, which is
called as microarc formation; the phase after bigger arc spots
appear on the surface is called as partial arc discharge. Bigger
(a) 20min
(b) 40min
(c) 60min
Fig.2 The surface morphology of the coating (a) 20min (b)
40min (c) 60min
micropores are formed on the ceramic coating surface,
sometimes burning losses of film parts occur. The deposited
film formed at the initial stage of the microarc oxidation provides
necessary conditions for creating the microarc discharge. After
energizing anode and cathode, oxygenous metal anions are
made into a condensed film containing magnesium hydrate on
the magnesium/electrolyte solution interface due to effects of
anode voltage. As the voltage and anode current increase, the
condensed film becomes thicker, over-saturated and deposited
on the magnesium/solution interface, large joule heat produced
on the interface due to high voltage and large current makes the
deposited film condensed, dehydrated and rapidly cooled, and
changed into an oxidized film, so the oxidized film is formed
due to uneven deposition and physical/chemical changes of the
condensed film on the anode/electrolyte solution interface,
effects of high voltage and large current. Due to effects of the
electrical field, a barrier layer to block electrons is produced on
the condensed film, resulting in formation of high electrical
fields. As the potential increases, the electrical field becomes
big enough to breakdown voltage and create spark discharge
468
[8~9].
2.3 COMPOSITION OF THE COATING
Fig.3 shows the distribution of Mg and O elements in the
microarc oxidation ceramic coating. As shown in the figure, the
content of Mg element in the ceramic coating rapidly increases
within 0~10m, but it gradually increases after reaching 10m
in thickness, and stabilizes when hits the peak value after
reaching 30m, i.e. the substrate of magnesium alloy. The
distribution of O element shows a tendency from high to low. O
element is mainly contained within 5~20m of the ceramic
coating, reaches the max after 15m, and tends to zero after
30m. The distribution curve of Mg and O elements shows that
O element is mainly contained in the dense layer of the microarc
oxidation ceramic coating and combines with magnesium to
form MgO, which is verified in XRD examination.
Fig.3 Distribution curve of Mg and O elements
Fig.4 Distribution curve of Al and Si elements
Fig.4 shows distribution of Al and Si elements in the
microarc oxidation ceramic coating. As shown in the figure, the
content of Al and Si elements reduces gradually from surface to
internal part of the ceramic coating. Al element is mainly
contained in outer layer of the ceramic coating, reduced
evidently after reaching 10m in thickness and to zero after
reaching 20m. Si element is mainly contained in its outer layer
and reduced to zero after reaching 15m. The existence of Si
element indicates that Si ion contained in electrolyte engages in
chemical reactions in microarc oxidation area, which is verified
in XRD examination.
2.4 XRD PHASE ANALYSIS
The XRD pattern of the ceramic coating is shown in Fig.5.
The coating is mainly composed of cubic MgO, and MgAl2O4
spinels as well as little amount of MgSiO3, which differs from
 Friction and Wear of the Ceramic Coating Formed on Magnesium Alloy

amorphous film phase structure after the anodic oxidation of improvement in its tribological behavior.
magnesium alloy in principle. Microarc oxidation makes
oxidized amorphous MgO into cubic through high-temperature
and –pressure instant sintering. Such structure can make the
dense layer denser to increase the hardness of magnesium
alloy[10].

(a) Magnesium alloy substrate

Fig.5 The XRD pattern of the coating

2.5 TRIBOLOGICAL BEHAVIOR OF THE COATING

Fig.6 shows the relation curves on the friction coefficients
changing subject to the glide times when the basis magnesium
alloy and the microarc oxidation ceramic coating (the
processing parameter is 300V, 40minutes) rub against the (b) Microarc oxidation ceramic coating
SAE52100 steel on the condition of dry friction. It’s obvious Fig.7 Morphology of wear scars of magnesium alloy base and
that, during the initial running-in, the friction coefficients of microarc oxidation ceramic coating
both two testing samples rise abruptly as the glide distances
increases. The friction coefficients of the original magnesium 3. CONCLUSIONS
alloy reach a maximum of 0.622 and then decline to about 0.332
in the steady phase thereafter. The coefficients of the microarc 1) Through microarc oxidation, ceramic coating composed of
oxidation coating reach 0.417 in maximum and 0.219 in the loose layer, dense layer and contact layer is directly formed on
steady phase. It shows that magnesium alloy through miceoarc the surface of magnesium alloy.
oxidation has gained remarkable anti-friction ability. 2) Mg, O, Al and Si elements are mainly contained in the
ceramic coating.
0.7 3) The microarc oxidation ceramic coating of AZ31 magnesium
alloy in Na2SiO3 electrolyte is composed of cubic MgO,
1--- original substrate
0.6 MgAl2O4 spinel and MgSiO3 phase.
2--- MAO coating 1
friction coefficient

0.5
ACKNOWLEDGEMENTS
0.4 This work was supported by the Funding Project for
Excellent Talents Cultivation of Beijing Municipality
0.3 (20061D0500500151).
0.2
REFERENCES
0.1
2 [1] A.V. Apelfeld, O.V. Bespalova, A.M. Borisov, 2000,
“Application of the particle backscattering methods for the
0.0
0 2 4 6 8 10
study of new oxide protective coatings at the surface of Al
time / min
and Mg alloys”, Nuclear Instruments and Methods in
Physics Research B, 161-163, pp.553~557.
[2] Xue Wenbin, Deng Zhiwei, Lai Yongchun, 1998, “Analysis
Fig.6 Friction coefficient of magnesium substrate and microarc of phase distribution for ceramic coatings formed by
oxidation ceramic coating microarc oxidation on aluminum alloy”, Journal of
American Ceramic Socity, 81(5), pp.1365~1368.
Fig.7 shows the worn appearances of the two samples after [3] Xue Wenbin, Deng Zhiwei, 2000, “Growth regularity of
10 minutes glide. It can be seen that the grinding cracks on the ceramic coatings formed by microarc oxidation on
basis magnesium alloy are more obvious, mainly by furrowing Al-Cu-Mg alloy”, Thin Solid Films, 372, pp.114~117.
and sticking, while the grinding cracks on the microarc [4] L.Rama Krishna, K.R.C. Somaraju, 2003, “The tribological
oxidation ceramic coating are light, and the surface is less performance of ultra-hard ceramic composite coatings
affected by sticking and scraping. It can be concluded that both obtained through microarc oxidation”, Surface and
the anti-friction ability and anti-wear ability of magnesium alloy Coatings Technology, 163-164, pp. 484~490.
are improved after microarc oxidation. There’s notable

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
[5] Wang Y M, Jiang B L, Lei T Q, et al, 2006, “Fretting wear
behaviour of microarc oxidation coatings formed on
titanium alloy against steel in unlubrication and oil
lubrication”, Applied Surface Science, 252(23,30),
pp.8113~8120.
[6] M. Woydt, A. skopp, I. Dorfel, 1998, “Wear engineering
oxides/anti-wear oxides”, Wear, pp.218: 84~89.
[7] Wang Y M, Jiang B L, Lei T Q, 2006, “Microarc oxidation
coatings formed on Ti6Al4V in Na2SiO3 system solution:
Microstructure, mechanical and tribological properties “,
Surface and Coatings Technology, 210(1-2), pp.82~89.
470
[8] Yousef Al-Abdullat, Sadami,Tsutsumi, Naoki Nakajima,
2001, “Surface Modification of Magnesium by NaHCO3
and Corrosion Behavior in Hank’s Solution for New
Biomaterial Applications”, Materials Transactions, 42(8),
pp.1777-1780.
[9] S V Gnedenkov, O A Khrisanfova, A G Zavidnaya, 2000,
“Production of hard and heat-resistant coatings on
aluminum using plasma micro-discharge”, Surface and
Coatings Technology, 123, pp.24-28.
[10] Hideyuki Kuwahara,Yousef Al-Abdullat,Naoko Mazaki,
2001, “Precipitation of Magnesium Apatite on Pure
Magne-sium Surface during Immersing in Hank’s
Solution”, Materials Transactions, 42(7), pp.1317-1321.
 Thermal-Mechanical Couple Simulation of Solid Brake Disc in Repeated Braking Cycles

Thermal-Mechanical Couple Simulation of Solid Brake Disc in Repeated Braking Cycles

Pyung Hwang School of Mechanical Engineering, Yeungnam Uiversity, Gyongsan, Korea

Xuan Wu Department of Mechanical Engineering, Yeungnam Uiversity, Gyongsan, Korea
Young-Bae Jeon Department of Mechanical Engineering, Yeungnam Uiversity, Gyongsan, Korea
Qi-Cheng Peng Department of Mechanical Engineering, Yeungnam Uiversity, Gyongsan, Korea
Hee-Chang Seo Department of Mechanical Engineering, Yeungnam Uiversity, Gyongsan, Korea
(Extended Abstract)

ABSTRACT FORMULATION
The brake system is an important part of the automobile
safety system. This system consists of two parts: a rotating HEAT FLUX
axi-symmetrical disk; and stationary pads, with In the course of braking, the frictional heat is generated on
three-dimensional geometry. The braking operation is a the surface of brake disc and brake pads.
process that converts the kinetic energy and potential energy of 1 I (1)
Δ E = Δ E + Δ E = (V 2 − V 2 )( m +
t k p 1 2 )
the moving automobile in to the other energies. Most of the 2 r2
mechanical energy is transferred into the heat. The frictional The heat flux into the disc rotor in each step can be
heat, which is generated on the interface of the disc and pads, calculated by the following equation [6]
can cause high temperature during the braking process. The I
frictional heat source is moving on the disc and its location is a aγ (m + )[ 2 V 1 − a ( t1 + t 2 )]
q = r2 (2)
time function. In order to simulate the friction heat behavior
10 π ( R 02 − R i2 )
accurately in repeated braking, we applied a moving heat
source which is defined by time and space variable on the where t is the time, a is the deceleration or acceleration, m
frictional surface. The object of present work is to determine is the total vehicle mass, r is the tire radius, and is the relative
temperature distribution, thermal distortion and thermal stress braking energy, V1 is the initial velocity of vehicle.
in the solid disc by 3D modeling for the repeated braking. The
thermal fatigue will be discussed in the present paper also. HEAT TRANSFER COEFFICIENT
Keywords: Temperature field, Thermal stress, Brake Disc, The convective heat transfer coefficients of the solid disc
Repeated Braking, Thermal-structure brake are quoted from the experiential formulas by Rudolf
Limpert [6, 7]. For a solid brake disc, the convective heat
INTRODUCTION transfer coefficient associated with laminar flow can be
Disc brakes are widely used for reducing velocity due to approximated by
their characteristics of braking stability, controllability and hR = 0.70(ka D) Re0.55 (3)
ability to prove a wide-ranging brake torque. The disc-pad where, D is the outer diameter, Re is Reynolds number
brake consists of two parts: a rotating disk that is geometrically
axi-symmetric; and stationary pads having a three-dimensional
and ka is thermal conductivity of air.
geometry [Fig. 1].
THERMAL STRESS
The thermal strains at a given temperature T can be
assumed to be proportional to the temperature change, T.
ε = α (T − T0 ) = α (ΔT ) (4)
where T0 is a reference temperature where the strains are taken
to be zero, α is the thermal expansion coefficient.
The elastic deformation is satisfied by the Hook’s law. And
hence the thermal stress σ is described as
σ = Eα (ΔT ) = Eε (5)
Fig. 1 Scheme of disc brake
During braking, the kinetic and potential energies of a
moving vehicle are converted into thermal energy through
frictional heat generated between the brake disc and the pads.
95% of the mechanical energy is transformed into heat. Most
of the heat energy (99%) is dissipated through the brake disc
during this process. The high temperature gradient in the disc
could cause excessive thermal stresses. Particularly, the
temperature can exceed the critical value for a given material,
which leads to undesirable effects, such as the brake fade, Fig. 2 Heat flux, heat transfer coefficient and speed
premature wear and thermal cracks [1, 2].
Gao and Lin et al. analyzed the transient temperature field
and thermal fatigue fracture of solid brake disc in a 3D SIMULATION AND RESULT
thermo-mechanical coupling model [2, 3]. Lee and Valvano
used the computer modeling techniques to predict the brake SIMULATION
fluid temperature rise as well as other brake component The vehicle weight is 1900 kg, percent braking on the front
temperatures during both braking and heat soaking [4, 5].

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
brakes is 72%. During the repeated brake application, the
vehicle is decelerated from an initial velocity 100 kph, to an
ending speed 50 kph with 0.6g in 2.36 seconds, after which the
velocity is accelerated again to the initial speed within 9.44
seconds, and next braking cycle is carried out. In total
simulation process, the brake application is operated 4 times in
37.76 seconds. We consider that the disc is fixed and the heat
source is moving on the frictional surface on the disc, and the
heat flux is a function of the time and space variables. The
uniformity heat flux is inputted in the pads swept area. The
convective heat transfer coefficient is applied to the surface of
brake disc.
Heat flux
Convection
Fig. 3 Model of brake disc
TEMPERATURE FIELD
The Fig. 4 shows the temperature distribution in the disc
for the last cooling and brake application. At the t=25.96
second, the last cooling cycle is starting, the maximum
temperature is occurred around the outer circle of the contact
surface (black triangular mark). In the cooling process, the
maximum temperature position is moving on the work surface.
At the end of the last braking, the temperature distribution is
decided difference: the heat source (pads) moving on the
frictional surface that causes the temperature distribution is not
uniformity.
(a) t= 25.96 s (b) t= 37.76 s
Fig. 4 Temperature field of the brake disc
Fig. 5 Temperature in the brake disc (r=128, =0, z=16,)
As the Fig.5 shown, the temperature is occurred before the
end of the brake time, then cooling to lower temperature
THERMAL DEFORMATION
From the Fig. 6, we can find that the frictional heat effect
causes the disc to get coning: the maximum deformation
occurred at the outer circle of brake and vary with the
temperature.
472
(a) t= 25.96 s (b) t= 37.76 s
Fig. 6 Thermal deformation of brake disc
THERMAL STRESS
Fig. 7 Thermal stress of the node (r=128, =0, z=16,)
The thermal stress (the Fig.7) presents the coupled
characteristic with the temperature (the Fig.5).
CONCLUSIONS
The present study simulates the thermal-structure behavior
of repeated brake-cooling operation, through defined the
moving heat source on the work surface of brake disc. The
temperature distribution of the disc under repeated braking
presents a non-uniformity characteristic.
ACKNOWLEDGEMENTS
This research was financially supported by the Ministry of
Education, Science Technology (MEST) and Korea Industrial
Technology Foundation (KOTEF) through the Human
Resource Training Project for Regional Innovation.
REFERENCES
[1] Makin, T.J., et al., 2002, “Thermal Cracking in Disc
Brakes,” Engineering Failure Analysis, 9, pp.63-76.
[2] Gao, G.H., & Lin, X.Z., 2002, “Transient Temperature
Field Analysis of a Brake in a Non-axisymmetric
Three-dimensional Model,” Journal of Materials
Processing Technology, 129, pp.513-517.
[3] Gao, G.H., Huang, J.M., Lin, X.Z. & Tang, X.S., 2007,
“Stress Analysis of Thermal Fatigue Fracture of Brake
Discs Based on Thermomechanical Coupling,” Journal of
Tribology Transactions of the ASME, Vol. 129, No. 3, pp.
536-543.
[4] Lee, K.J., 1999, “Numerical Prediction of Brake Fluid
Temperature Rise during Braking and Heat soaking,”
Proceedings SAE 1999 World Congress, 1999-01-1483.
[5] Valvano, T., & Lee, K.J., 2000, “An Analytical Method to
Predict Thermal Distortion of a Brake Rotor,” Proc. SAE
2000 World Congress, 2000-1-0445.
[6] Arpaci, V. S., 1991, Conduction Heat Transfer, MA: Ginn
Press, Nedham Heights.
[7] Limpert, R., 1992, Brake Design and Safety, Science of
Automotive Engineers Inc, Warrendale, PA.
[8] Yevtushenko, A., & Ivanyk, E., 1995, “Determination of
heat and thermal distortion in braking systems,” Wear, 185,
pp.159-165.
 Preliminary Applications of King’s ART Technology in Industry
Preliminary Applications of King’s ART Technology in Industry
Ling Chen* Yayue Zhao
King’s ART Novel Materials R&D Co., Ltd, Beijing 100085, China
(Extended Abstract)
ABSTRACT
King’s ART Auto-Reconditioning Technology is based on
the physic-chemistry model and theory originated by State Key
Laboratory of Tribology, Tsinghua University and further
developed by King’s ART Novel Materials R&D Co., LTD. . It
is an advanced technology which takes advantage of energy
release and materials chemistry existing in the worn damaged
regions to in-situ auto-recondition worn parts by
mechanochemical reaction, meanwhile form a protective layer
with excellent tribological properties on the tribosurfaces. This
paper mainly discusses the feasibility of industrial application
of the technology. The results show that it could improve drive
property of automobile engine with fuel consumption reduced
by 5% and the exhaust emission decreased by 23%; it can
decrease the wear loss of air compressor, strengthen the gas
tightness, lower the machinery noise and save energy
consumption; it also has some positive effect on mechanical
devices such as rolling bearings and gear boxes by effectively
decreasing friction and wear loss.
Keywords: Protective layer, Auto-Reconditioning, Friction
and wear, Industrial applications
INTRODUCTION
Friction and wear reducing is an eternal topic of scientific
research field. A less friction loss results in a stronger
mechanical power and a higher efficiency. According to
incomplete statistics, about 1/3 to 1/2 of total energy is wasted
due to friction and some 80% of machine parts failure results
from wear. Therefore, application of new tribological
technique to lower energy consumption and save oil resource
is a matter of great urgent.
From the point of view of surface engineering there are
three approaches of reconditioning of worn tribosurfaces, i.e.,
1) preventive treatment such as heat treatment strengthening,
film-deposition technique and mechanical strengthening, 2)
after-failure treatment including thermal spraying, brush
plating and other surface finishing techniques, 3) in-situ
treatment [1]. The former two approaches belong to off-line
strengthening technique with some inherent defects such as
complex procedure, long processing time and high cost. The
last approach can in great extent overcome above-mentioned
shortcomings, and hence is the rising research focus in the
anti-wear restoration field.
King’s ART Co., Ltd develops an additive package of
reconditioning functionality for worn ferrous surfaces in light
of the physic-chemistry model and theory raised by Prof.
Yuansheng Jin. The package, i.e. King’s ART
auto-reconditioner, is formulated from a fine-powdery
multi-component mixture of Serpentine minerals, surfactants
and catalysts, which can dynamically rehabilitate the wear
surface, as been demonstrated many times in both laboratory
tribotestings and real-world scenarios. This paper focuses on
preliminary industrial applications of this technology.
1 FORMATION MECHANISM
Serpentine phyllosilicates (Mg6(Si4O10)(OH)8),the main
* Corresponding author. Rm A305, 12 Shangdi Information Rd,
Haidian District, Beijing 100085. E-mail: claytonchan@163.com
Tel: +86-10-62978227, Fax: +86-10-82790179
473
Yuansheng Jin
constituent of King’s ART auto-reconditioner, is structured by
interconnected six member rings of complex ion (SiO4)4-
tetrahedron that extends outward in infinite sheets. When Mg2+
cations in octahedron are bonded to the SiO4 sheets, they share
the apical oxygen atoms and the OH ions through weak
electrovalent bonding. Such structure makes serpentine
phyllosilicates easily cleavage fracture to release desired
dissociative oxygen and free water. When brought to wear
surfaces by lubricant, it undergoes a series of complex
mechanochemical reactions to in-situ form a protective layer
with nanocrystalline phase structure composed of three
elements of Fe, C and O on wear surfaces.
The entire process can be explained by 3-stage
physic-chemistry model [2]: Oxidative Mechanical Polishing,
Lubricant Carbonization & Graphitization, and Mechanical
Alloying. After the three consecutive stages, a nanocrystalline
layer gradually spreads on worn region of the tribosurfaces .
2 INDUSTRIAL APPLICATIONS
2.1 APPLICATION IN AUTOMOBILE ENGINE--CASE 1
We authorized Beijing Automobile Testing Center to
compare the fuel consumption and emission of a Jetta engine
before and after treated by King’s ART Technology in 2006.
Testing Process was as follows: King’s ART
auto-reconditioner was added in mass ratio of 0.5% to the
general-purpose engine oil with the high quality Shell gasoline
engine oil of SF level as comparison. The test car, equipped
with three-way catalyst, has 4 cylinders with displacement of
1.6L. The cylinder pressure was reduced to around 8.2 over
130,000 kilometer driving. The benchmark data about fuel
consumption and emission was got after the car loading with
Shell gasoline engine oil ran for 200km strictly in accordance
with test specification. Replacing Shell lubricant with
general-purpose one containing King’s ART auto-reconditioner,
relevant data was collected over 2000 km driving period with
other conditions remaining the same.
Those data showed that: 1) The cylinder pressure was
recovered to original level—12; 2) The overall fuel economy
rates were: 3.1% (urban district speed at 30-50km/h), 3.3%
(intercity speed at 70-90km/h) and 3.7% (express way speed at
around 110km/h); 3) emission was reduced as shown in table1.
Table 1 Emission Comparison
Shell gasoline engine oil containing King’s
engine oil ART auto-reconditioner
HC + NOx 0.180 0.138
CO 0.74 0.563
CASE 2
In December 2007, Yunnan Yuxi Bill Technology
Management Co., Ltd treated 10 vehicles of various brands
and conditions using King’s ART Technology. The
comparisons before and after treatment are shown in table 2:
It is obvious that treated by King’s ART technology, all
vehicles experienced reduction of fuel consumption at different
degree according to various conditions, the average fuel
economy rate was 5.23%, and the situations of emission were
significantly improved too.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Table 2 Automobile Parameters before and after Treated by King’s ART Technology
Car Engine Volume of Mileage˄Km˅ Emission Fuel Consumption (L/100km)
No. Type Lub. Tank Before After HC/CO2 (before) HC/CO2 (after) Before After
1 gasoline 3.3L 140,104 507 940/0.33 750/0.23 8 7.7
2 gasoline 3.3L 61,785 671 563/0.19 440/0.10 5.8 5.1
3 gasoline 3L 130,942 563 1566/0.59 1096/0.42 10 9
4 gasoline 4L 70,258 536 730/0.08 511/0.056 15 15
5 gasoline 3L 84,297 334 677/0.71 550/0.50 6 6
6 gasoline 3L 159,740 307 770/5.42 539/3.80 8 7.8
7 diesel 7L 40,945 408 Smoke 2.56 Smoke 2.30 10 10
8 diesel 14L 693,516 2175 Smoke 2.86 Smoke 2.50 28 27
9 diesel 14L 315,866 2200 Smoke 2.54 Smoke 2.20 23 22.5
10 diesel 5L 81,575 1456 Smoke 1.04 Smoke 0.94 7 6.8

2.2 APPLICATION IN TRANSMISSION SYSTEM Anti-adhesion property testing indicated that the seizure
In April 2008, King’s ART auto-reconditioner was resistance of the friction pairs with the layer is about 2.5 times
experimented on a 4L-20/8 type gas compressor of higher than that without the layer, as shown in Fig.2.
Shijiazhuang Zhengtuo Gas Co., Ltd. 0.8

King’s ART auto-reconditioner package was blended into 0.7

the crankcase oil at concentration of 0.04 g/L. After continuous 0.6 W ith layer
operation of 7 hours, frictional noise of the equipment was Pressure (MPa)
0.5
reduced from 88dB to 83dB. Then the crankcase oil was
intentionally empted and the equipment went on running for 0.4

another 25 hours without oil lubricating before it was stopped 0.3

W ithout layer
to inspect the mechanical status and visual appearance. 0.2

The result showed that there was no wear on the surface of 0.1

both slide rod and bearing, and original dimensions of other -5 0 5 10 15 20

Time (m in)
25 30 35 40

tribological parts were maintained. Refilled with ordinary lube
oil again, the compressor continued to operate normally.
The fulfillment of oilless lubrication in air compressor
indicated that due to generating nanocrystalline protective layer
on whole worn region, tribosurfaces was endowed with
excellent property of antifriction and wear resistance, and the
friction coefficient was greatly reduced to the extent that slide
rod and bearing could stably run at lubrication condition
without oil.
2.3 APPLICATION IN JOURNAL BEARING OF
HORIZONTAL SHAFT TYPE PUMP [3]
A horizontal shaft type pump with S45C steel shaft and
Babbit alloy journal bearing manufactured in Mitsubishi Heavy
Industries, Ltd was selected. SAE 5W-40 oil was used as base
lubricant in which King’s ART auto-reconditioner with 1wtă
concentration was blended. The lubricant was injected in oil
tank for immerging lubrication.
Anti-abrasion property testing indicated that more serious
plastic flow, plough, and more plastic crack-up exhibit on the
shaft surface without the protective layer than that with the
protective layer, as shown in Fig.1. In terms of the measuring
results of wear scar depth by a Talysurf Profilometer the
abrasive wear rate of the surface with protective layer is three
times lower than that without protective overcoat.
a) b)
Fig. 1 SEM Images of S45C Steel Surfaces without (a) and
with (b) Protective Layer after Abrasive Test
Fig. 2 Carrying Capacity Curves of Friction Pairs with and
without Protective Layer on S45C Steel Surface
3 CONCLUSION
Favorable results of preliminary application of King’s
ART Technology in industry justify the feasibility: it can
improve drive property of automobile engine with fuel
consumption reduced by 5% and the exhaust emission
decreased by 23%; it can decrease the wear loss of air
compressor, strengthen the gas tightness, lower the machinery
noise and save energy consumption; it also has some positive
effect on mechanical devices such as general bearings and gear
boxes by effectively decreasing friction and wear loss.
To date, the application validity and effectiveness of the
technology in some industries has been verified and relevant
data were collected. In light of wide existence of friction and
respective industry having specific requirement for
auto-reconditioner, data got at present are far from sufficiency
for promoting the technology. Further industrial application
testing is needed to establish the application database of King’s
ART auto-reconditioner.
REFERENCES
[1] Zeng S. W. 2002, “Discussion on Maintenance Strategy,
Policy and Corresponding Maintenance Systems In
Manufacturing,” European Journal of Operational
Research, 138, 3, 554-568.
[2] Jin Y., Yang H., et al, 2006, “The generation mechanism of
nanocrystalline protective layer on worn ferrous metal
surfaces in presence of Mg6Si4O10(OH)8,” Proceedings of
ASIATRIB 2006 KANAZAWA, JAPAN, Invited Speech, p837.
[3] Jin Yuansheng, Kazuhiko Yamashita, 2006, “Investigation
of Applying Mg6Si4O10(OH)8 Reconditioner to Journal
Bearing of Horizontal Shaft Type Pump,” Proceedings of
ASIATRIB, KANAZAWA, JAPAN 29

474
 Wear Properties of Potassium Titanate Whiskers Reinforced ZL109 Alloy Composites

Wear Properties of Potassium Titanate Whiskers Reinforced ZL109 Alloy Composites

Wei Zhongshan (Department of Materials Science and Engineering, Southeast University, Nanjing 210096)
Wu Shenqing (Department of Materials Science and Engineering, Southeast University, Nanjing 210096)

Extended Abstract

Table 1

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Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

476
Mineralogical Mechanochemical Agent Assisted Reconditioning Effects and Mechanism on Worn Ferrous Surfaces

Mineralogical Mechanochemical Agent Assisted Reconditioning Effects and

Mechanism on Worn Ferrous Surfaces

(Extended Abstract)

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Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Table 1

478
 Experiment Research on the Friction Performance of O-Ring with Different Oil Swelling Ratios
Experiment Research on the Friction Performance of O-Ring with Different Oil Swelling Ratios
Fu Suhong, Liu Jinli, Liu Nan, Ma Jingxuan
Beijing Petroleum & Oil Institute, Beijing 102300, China
(Extended Abstract)
ABSTRACT
In this paper, we studied the friction performance of
reciprocate sealing by O-ring for float controller. What’s
analyzed here is the impact of the swelling ratio and rigidity of
the O-ring dipped in gasoline, kerosene and diesel oil on the
static and kinetic friction aroused by swelling.
Based on the experiment results, we find that the rigidity of
the O-ring decreases with the oil swelling ratio increasing, and
the decreasing ratio of the O-ring dipped in gasoline is the
lowest. The static and kinetic friction aroused by swelling
increases with the increasing of precompression as a whole.
The experiment results also show that the friction is not
proportional to the compression. When the value of
compression is less than 0.45mm, the friction fluctuates; when
the value is in the range of 0.45mm to 0.6mm, the friction keep
invariable; when the value is more than 0.6mm, the higher the
compression is the higher the friction is.
Keywords: O-ring, Swelling Ratio, Friction
INTRODUCTION
The volume swelling ratio of the O-ring is in the range of
10 to 15 percent [1,2]. When the O-ring is used for kinematical
sealing, the start kinetic friction force is high. The oil and gas
separator for pipeline has a float controller sealing with O-ring.
For the float controller, the friction is requested to be the
lowest, but the sealing performance is still excellent. Therefore,
when designing the size of seal grooves we should take the
effect of bulk swelling into account.
In this paper, the effect of the swelling ratio and the rigidity
of the O-ring dipped in gasoline, kerosene and diesel oil on the
static and kinetic friction is investigated.
1 METHOD OF THE TEST
1.1 THE TEST CONTENT
(1) Measuring the swelling rule of the O-ring dipped into
the oils at normal temperature and normal pressure.
(2) Measuring the frictions variety of the O-ring dipped
into the oils at normal temperature and normal pressure.
1.2 THE TEST O-RING
The test O-rings are chosen from two plants with the same
material named group A and group B. Their parameters are as
following: internal diameter D=87.5mm, diameter of section
d=5.3mm.
1.3 THE TEST OILS
Gasoline, kerosene and diesel oil were tested. We
immersed the test O-rings into the test oils entirely for some
time.
1.4 THE TEST METHOD
We measure parameters of the O-ring including the section
diameter, internal diameter, mass in the air and mass in the
water. Through the parameters and the data of friction we can
analyze the relation between the swelling ratio and friction.
The 9 O-rings were dipped in the test oils separately. The
parameters of the O-rings should be measured every 24h and
two O-rings of each group should be installed on the float
controller. A pulling machine was used for reversing tension
479
and compression the piston rod and for recording the pull and
pressure force real time. The volume swelling ratio of the
O-rings can be calculated by the volume of the O-ring in the
air and in the water.
1.5 MEASURE AND CALCULATING OF THE MAIN
PARAMETERS
1.5.1 Measure of the sectional diameter of the O-ring
We drew a circle with the same diameter as the O-ring
internal diameter and trisecting the circle in advance. By
measuring the sectional diameter of the O-ring on the trisecting
line we used the three values to reduce measure errors.
1.5.2 Measure of the internal diameter of the O-ring
We drew a circle with the same diameter as the O-ring
internal diameter and trisecting the circle in advance. By
measuring the internal diameter of the O-ring on the trisecting
line we used the three values to reduce measure errors.
1.5.3 Measure of the mass of the O-ring in the water
According to the GB/T 1690-2006, the water adopted
should be the distilled water. To eliminate the air bubble
produced during the process of immersing the O-ring into the
water, we liberate or wipe the O-ring until the air bubble
disappear.
1.5.4 Calculating of the volume swelling ratio
We measured the mass of each sample in the air and in the
water and calculated the volume swelling ratio as formula (1)
for three samples separately. Then we used the three values to
reduce measure errors:
mi  mi , w
'V100 (  1) u 100 (1)
m0  m0, w
Where
mi : the mass of the sample in the air before the test, g;
mi , w : the mass of the sample in the air after the test, g;
m0 : the mass of the sample in the water before the test, g;
m0, w : the mass of the sample in the water after the test, g.
1.5.5 Confirming the static and kinetic friction
The static friction is the maximum friction before the
piston begins to move. On the pulling machine, the static
friction is the peak value of the pulling curve. The kinetic
friction is the friction when the piston is moving. For both
static and kinetic friction, we tested three times and then used
the three values as the static and kinetic friction results to
reduce measure errors.
2 METHOD OF THE DATA PROCESSING
2.1 VOLUME SWELLING RATIO OF O-RING DIPPED
INTO GASOLINE, KEROSENE AND DIESEL OIL
Fig. 1 and Fig.2 showed the relationship curves between
the volume swelling ratio of O-ring dipped in kerosene,
gasoline and diesel oil and the dipping time. The abscissa is
time, and the vertical coordinate is the swelling ratio. We can
see that at the beginning, the volume swelling ratio rises up
rapidly with the increase of dipping time. After 24 hours, the
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

variety of all the curves became gentle. Among the three oils, $
gasoline had the most significant effect on swelling ratio of the
O-ring.

K
Fig.4 Rigidity variety of O-ring in Group B

coordinate is rigidity. We can see that at the beginning, the

rigidity declines rapidly with the increase of the dipping time.
Fig.1 Volumetric swelling ratio of O-ring in Group A After 24 hours, the variety of all the curves became gentle.
Among the three oils, gasoline had the most significant effect
on the rigidity variety of the O-ring.
Before dipping the rigidity of the O-ring in group A was
78A. The rigidity of O-ring dipped for 72 hours in kerosene,
diesel oil and gasoline were 74A, 75A and 61A separately.
Before dipping the rigidity of the O-ring in group B was 79A.
The rigidity of the O-ring dipped for 72 hours in kerosene,
diesel oil and gasoline were 73A, 78A and 67A separately.
2.3 VARIETY OF STATIC AND KINETIC FRICTION
AROUSED BY SWELLING

kgf
K

Fig.2 Volumetric swelling ratio of O-ring in Group B

From the Fig.1 and Fig.2 we can also known that in despite
of the same material, the volume swelling ratio of the O-ring
was different for the products from different plants. The
swelling ratios of the O-ring dipped in kerosene, diesel oil and
gasoline for 72 hours are as following: the results of group A
were 7% and 15%, and the results of group B were 1%, 3% PP
and 16%.
2.2 RIGIDITY OF O-RING DIPPED INTO GASOLENE,
KEROSENE AND DIESEL OIL
Fig. 3 and Fig.4 showed the relationship curves between
the rigidity of O-ring dipped in kerosene, gasoline and diesel Fig.5 Variety of friction of O-ring aroused by swelling in group A
oil and the dipping time. The abscissa is time, and the vertical
NJI
$

K
PP

Fig.3 Rigidity variety of O-ring in Group A Fig.6 Variety of friction of O-ring aroused by swelling in group B

480
 Experiment Research on the Friction Performance of O-Ring with Different Oil Swelling Ratios
Fig. 5 and Fig. 6 showed the relationship curves between
the static and kinetic friction with the swelling ratio. The
abscissa was compression, and the vertical coordinate was
friction force. We can see that the relationship between the
friction force and the compression for the O-ring dipped in the
oils is not linear. The main reasons were that the rigidity of the
O-ring decrease and the piston and piston rod has filled
lubrication. All of these cause smaller friction force and result
in the friction variety. When the compression was smaller, in
the range of 0.35mm to 0.45mm, the larger the compression
was, the smaller the friction force was. When the compression
was in the range of 0.45mm to 0.6mm, the friction was almost
independent of the compression. When the compression was
larger than 0.6mm, the friction force increased sharply.
Due to the volume swelling, the static friction force of the
O-ring in Group A increased from 16.5kgf to 51kgf, and the
kinetic friction increased from 14kgf to 47kgf. The static
friction of the O-ring in Group B increased from 24.5kgf to
60kgf, and the kinetic friction increased from 19.5kgf to 52kgf.
The difference between the static friction and kinetic friction
was not obvious [3]. The reason was that the static friction
relates to time. The longer the time is, the larger the static
friction is. In this research, the friction was tested as soon as
the O-ring was installed into the controller. Therefore, we
confirm the relationship between the static and
kinetic friction needs more experiments.
481
3 THE CONCLUSIONS
By analyzing the friction performance of the O-ring dipped
into oils, we can draw three conclusions as follows:
(1) When the O-ring is used as kinetic oil seal we should
consider the effect of swelling ratio on the friction;
(2) After dipped into the gasoline, kerosene and diesel oil
the rigidity of O-ring decreases, and the O-ring dipped into the
gasoline has the lowest rigidity;
(3) The static and kinetic friction aroused by the swelling
ratio increases with the increasing of precompression as a
whole, and the friction is not proportional to the compression.
When the value of compression is less than 0.45mm, friction
fluctuates. When the value was in the range of 0.45mm to
0.6mm, the friction keep invariable; when the value was more
than 0.6mm, the higher the compression was the higher the
friction was.
REFERENCES
[1] Xu dexiao, 1979, Sealing of Hydraulic pressure and gas
drive equipmentΔMechanical Industry Press, pp.22-23
[2] Gu yongquan, 1996, Fluent kinematical seal, Petroleum
University Press, pp.324-327
[3] Shang shiyan, 2001, Calculation of frictional force of
O-type sealing ring in hydraulic vatΔTransaction of south
metallurgy, Vol.22 No.1, pp.18-20
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Friction Behaviors of Bushing in Rolling Contact with Shaft and Electroless

Ni-PTFE-P or Ni-Al2O3-P Coating
Dayong Liu1*, Yiwu Yan1, Kalun Lee2ˈJie Yu1

1. Department of materials science and engineering, Shenzhen Graduate School, Harbin Institute of Technology,
University Town, Xili, Shenzhen, 518055, PR China
2. Johnson Electric International Limitied, Shajing Town, BaoAn District, Shenzhen, 518125, PR China

ABSTRACT
In this paper, electroless Ni-PTFE-P and Ni-Al2O3-P
coating were successfully deposited on the surface of medium
carbon steel shaft. Scanning electron microscopy (SEM) and
EDX measurement were used to characterize the morphology
and chemical composition of the coatings. The results showed
that lubricating PTFE particles and hared alumina particles
have been uniformly incorporated into the Ni-PTFE-P coating
and Ni-Al2O3-P coating, respectively. Friction behavior and
wear resistance of the surface modification shafts in rolling
contact with bushing were mainly studied. The results showed
that shaft with Ni-Al2O3-P coating shows the best wear
resistance in rolling contact with the bushing owing to the high
wear resistance of alumina particle, whereas produces severe
grain abrasion on its friction partner (bushing). Ni-PTFE-P
coating deposited on the shaft plays an excellent role in
reducing the wear of the bushing.
Keywords: Electroless plating, Ni-PTFE-P coating, Ni-Al2O3-P
coating, Friction and wear.
1. INTRODUCTION
It is well known that shaft/ ball bearing joint is an
important connection in many machinery parts.To reduce the
cost, ball bearing was usually replaced by cylinder bushing in
some machinery parts due to bushing’s low price and simple
processing. However, the wear resistance of the bushing is
lower than that of ball bearing, and wear rate of the bushing is
relatively high, which inevitably reduces the duty life of the
machinery parts. Thereof, find a new method to increase the
wear resistance of bushing in rolling contact with shaft is a
significant job.
Electroless nickel has been used as a rersatile material to
protect from wear and corrosion because of their good
corrosion and wear resistance, lubricity, solderability and
bondability [1-3]. As a result, electroless nickel coatings have
been applied in the surface modification of mechanical parts in
many industries fields for many years.The mechanical and
tribology properties of electroless nickel coating can be further
improved by incorporation of particles, such as SiC, Al2O3,
BN, PTFE, MoS2, graphite, etc., into the Ni-P matrix [4-11].
Among these particles, alumina and PTFE are the most popular
reinforced particles in the composite nickel coatings. It was
found that electroless Ni-PTFE-P coating has many perfect
properties: such as non-stick, higher dry lubricity, lower
friction, whereas Ni-Al2O3-P coating shows a good wear
resistance and corrosion resistance. However, to the best of our
knowledge, most of the friction partner of composite coating
used in the wear experiments was steel, such as hard chromium
steel, 45# carbon steel, etc. [4, 11, 12]. Little attention was
paid on the wear behaviors between soft bushing and shaft
with electroless composite coatings.
*
Corresponding author. E-mail: liudayong1974@126.com
The present work aims to investigate the friction and wear
characteristics of soft bushing in rolling contacts with shaft
with electroless Ni-PTFE-P coating or Ni-Al2O3-P coating.
Friction behavior of the shaft with Ni-PTFE-P coating or
Ni-Al2O3-P coating was investigated. Meantime, wear
mechanism of the soft bushing was mainly discussed.
2. EXPERIMENTS
Ni-PTFE-P coating and Ni-Al2O3-P coating were
electroless deposited on the shafts. The shafts were made of
medium carbon steel with 2mm diameter and 10 mm length.
All the shafts were first mechanically polished with various
grades of sandpapers (up to 800 grits) and ultrasonically
degreased by immersion in 3% SK-18 metal cleaning solution.
After rinsing with de-ionized (DI) water, the shafts were
introduced into the plating baths. Acid baths were used for the
autocatalytic deposition process since it is popular method for
the electroless plating. The -Al2O3 particles (0.5m in size)
were ultrasonically dispersed in solution of surfactant for 15
minutes, then, mixed with plating solution. PTFE dispersed
solution (0.05-0. 2  m in size, 60 Wt%) was used in the
preparation of Ni-PTFE-P coating.The constituents of the
plating baths and electroless plating conditions were as shown
in table 1.
Table 1 Constituents of the electroless plating baths and plating
conditions
Surface morphology of the coatings was characterized by
scanning electron microscopy (JEOL, JSM-6330F) equipped
with EDX analysis, which was used to detect the content of
PTFE and alumina particles incorporation into the composite
coating. Wear tests between bushing (copper and iron power
metallurgy, Hv50=108.2) and surface modification shafts were
conducted at a normal 20N and a rolling speed of 4000 rpm
/min under lubrication at 80 °C. After 12 hour, the wear surface
of shaft and bushing was investigated by the SEM. A
roundness tester (SEIMITSU TOKYO) was applied to
characterize the inner hole of the wear tested bushing.

482
 Friction Behaviors of Bushing in Rolling Contact with Shaft and Electroless Ni-PTFE-P or Ni-Al2O3-P Coating

3. THE RESULTS AND DISCUSSION

3.1 MORPHOLOGY AND STRUCTURE OF THE COATINGS

Surface morphologies and cross-section of the Ni-PTFE-P

coating and Ni-Al2O3-P coating were shown in Fig.1 and Fig.2.
From Fig 1a and 2a, it can be seen that there were many PTFE
particles uniformly distributed throughout the coating.
Alumina particles were also well dispersed in the Ni-Al2O3-P
coating deposited on the shaft (Fig 1b and 2b). Fig.3 shows the
chemical composition of the composite coatings. According to
the F element content in the coating, the PTFE content in the
Ni-PTFE-P coating was calculated to be 3.4 Wt%. Alumina
content in the Ni-Al2O3-P coating is 4.99 Wt%, which was
calculated based on the Al element content in the coating. Both Fig.2 Cross-section optical micrographs of shafts: (a) with
morphology and EDX analyses illustrated that lubricating Ni-PTFE-P coating and (b) with Ni-Al2O3-P coating
PTFE particles and hard alumina particles have been uniformly
incorporated into the Ni-PTFE-P coating and Ni-Al2O3-P
coating respectively.

Fig.1 Surface morphology of shafts: (a) with Ni-PTFE-P

coating and (b) with Ni-Al2O3-P coating

Fig.3 Elemental composition of the coatings: (a) Ni-PTFE-P

coating; (b) Ni-Al2O3-P coating

3.2 FRICTION BEHAVIORS OF THE SHAFTS

Compared with the shaft without coatings, shaft with

Ni-PTFE-P coating and Ni-Al2O3-P coating were wear tested
by in rolling contact with the bushing. Fig. 4 presents the SEM
micrographs of the worn surface of the three wear tested shafts.
From Fig. 4a, it can be seen that there are some deep furrows
along the rolling direction on the worn surface of the shaft
without coating. Furrows and partial pits were also existed in
the worn surface of the shaft with Ni-PTFE-P coating. Wear

483
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
scan of the shaft with Ni-Al2O3-P coating was the lightest in
the three shafts (Fig. 4c), which illustrated that Ni-Al2O3-P
coating could greatly increase the wear resistance of the shaft.
Weight loss and hardness of the three shafts was shown in
Fig.5. The weight loss of the shafts without coating, with
Ni-PTFE-P coating and Ni-Al2O3-P coating were 0.32, 0.15,
0.11 mg/cm2, respectively. The hardness of the shafts without
coating, with Ni-PTFE-P coating and Ni-Al2O3-P coating were
418.6, 515.4, 634.1, respectively. It seems that increasing of
the hardness is beneficial to improve the wear resistance of the
shafts, which leads to the fact that operating wear mechanism
is created by grain abrasion [12].
Fig.4 SEM micrographs of the worn surface of the shaft:
(a) without coating; (b) with Ni-PTFE-P coating;
(c) with Ni-Al2O3-P coating
484
Fig.5 Weight loss and microhardness of the shafts: (a) without
coating; (b) with Ni-PTFE-P coating; (c) Ni-Al2O3-P coating
3.3 WEAR CHARACTERIZATION OF THE BUSHINGS
As a friction partner of the shaft, wear resistance and
roundness of the bushing play an important role in determining
the operation stability and duty life of the bushing /shaft joint.
Fig. 6 shows the optical micrograph of the wear tested
bushings. From Fig. 6b, it can be seen that the worn surface of
the bushing matched to Ni-PTFE-P coatings was very smooth,
whereas there were some surface cavities and convex points on
the inner surface of the bushing matched to the shaft without
coating or with Ni-Al2O3-P coating (Fig. 6a, 6c). Fig. 7 shows
the surface profile of the inner hole of the original bushing and
wear tested bushings. The roundness of inner hole of the
original bushing is rough 2.8m (Fig. 7a). After wear tests,
inner hole roundness of the bushing matched with the shaft
without coating, with Ni-PTFE-P coatings and Ni-Al2O3-P
coating are 8.3m, 11.7m, 5.6m, respectively (Fig. 7b, 7c,
7d). It is well known that elliptical change of the inner hole of
the worn bushing was easy to cause the vibration between the
shaft and bushing, which inevitably increase the contact noise
and wear of the machinery parts. Above results proved that
shaft with Ni-PTFE-P coatings cause a little change to the
inner hole of bushing, which is beneficial to the stable
operation of the bushing/shaft joint.
The wear behaviors of wear tested bushing were confirmed
by SEM images as shown in Fig.8. It can be seen that there are
some cavities on the worn surface of the bushing rolling with
the shaft without coatings (Fig. 8a). It is assumed that direct
metal contact between the shaft and bushing was easy to
intrigue adhesive wear, which leads to the brittle spalling. The
worn surface of the bushing match to Ni-PTFE-P coating was
very smooth and no obvious wear happen on the surface of
bushing (Fig. 8b). It was believed that PTFE served as the
lubricating agents between the bushing and the shaft plays a
key role in decreasing the wear of bushing. For the bushing
match to shaft with Ni-Al2O3-P coating, many deep furrows
were shown on the worn surface of the bushing (Fig. 8c).
Clearly, deep furrows were caused by the hard Al2O3 particles,
and the operating wear mechanism between bushing and shaft
with Ni-Al2O3-P coating was grain abrasion. All of the results
proved that Ni-PTFE-P coating play a key role in decreasing
the wear of the bushing.
 Friction Behaviors of Bushing in Rolling Contact with Shaft and Electroless Ni-PTFE-P or Ni-Al2O3-P Coating
Fig.6 Optical micrographs of the inner hole of the bushing
rolling contact with shaft: (a) without coating; (b) with
Ni-PTFE-P coating; (c) with Ni-Al2O3-P coating
Fig.7 Surface profile of inner hole of the (a) original bushing
and bushing in rolling contact with shafts: (b) without coating;
(c) with Ni-PTFE-P coating; (d)with Ni-Al2O3-P coating
485
Fig.8 SEM micrographs of the worn surface of the bushing
rolling with different shaft: (a) without coating; (b) with
Ni-PTFE-P coating; (c) with Ni-Al2O3-P coating
4. CONCLUSIONS
In summary, electroless Ni-PTFE-P and Ni-Al2O3-P
coating were successfully deposited on the surface of medium
carbon steel shaft. Compared with the shaft without coating or
with Ni-PTFE-P coating, shaft with Ni-Al2O3-P coating shows
the best wear resistance in rolling contact with the soft bushing,
but produces severe wear on the busing. Shaft with Ni-PTFE-P
coating plays a key role in reducing the wear of the bushing.
Moreover, roundness of inner hole of the bushing in rolling
contact with the shaft with Ni-PTFE-P coatings was the best,
which was important for increasing the operation stability and
duty life of the bushing/ shaft joint.
ACKNOWLEDGEMENTS
This research was financially supported by post-doctor
project of Johnson Electric International Limitied, Hong Kong.
REFERENCES
[1] Apachitei, I., Duszczyk, J., Katgerman, L., Overkamp, P. J.
B., 1998, “Electroless Ni-P composite coatings: the effect
of heat treatment on the microhardness of substrate and
coating,” Scripta Materialia, 38, 9, pp. 1347-1353.
[2] Ramalho, A., Miranda, J. C., 2005, “Friction and wear of
electroless NiP and NiP + PTFE coatings,” Wear, 259,pp.
828–834.
[3] Straffelini, G., Colombo, D., Molinari, A., 1999, “Surface
durability of electroless Ni–P composite deposits,” Wear,
236, pp. 179-188.
[4] Chen, L., Wang, L. P., Zeng, Z. X., Zhang, J. Y., 2006,
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
“Effect of surfactant on the electrodeposition and
wear resistance of Ni–Al2O3 composite coatings,”
Materials Science and Engineering A, 434, pp. 319-325.
[5] Shi, L., Sun, C. F., Gao, P., Zhou, F., Liu, W. M., 2006,
“Mechanical properties and wear and corrosion resistance
of electrodeposited Ni–Co/SiC nanocomposite coating,”
Applied Surface Science, 252, pp. 3591-3599.
[6] Shi, L., Sun, C. F., Zhou, F., Liu, W. M., 2005,
“Electrodeposited nickel -cobalt composite coating
containing nano-sized Si3N4,” Materials Science and
Engineering A, 397, pp. 190-194.
[7] Shi, L., Sun, C. F., Liu, W. M., 2008, “Electrodeposited
nickel-cobalt composite coating containing MoS2,” Applied
Surface Science, In press.
[8] Zhao, Q., Liu, Y., 2006, “Modification of stainless steel
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72, pp. 266–272.
486
[9] Han, Y. B., Ma, M. Z., Li, G., Yu, J. K., Liu, G. Y., Jing, Q.,
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composite film plated on bulk metallic glass,” Materials
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[10] Wu, Y. T., Lei, L., Shen, B., Hu, W. B., 2006,
“Investigation in electroless Ni–P–Cg(graphite) –SiC
composite coating,” Surface & Coatings Technology, 201,
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[11] Wu, Y. T., Liu, H. Z., Shen, B., Liu, L., Hu, W. B., 2006,
“The friction and wear of electroless Ni–P matrix with
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[12] Alirezaei, S., Monirvaghefi, S.M., Salehi, M., Saatchi, A.,
2007, “Wear behavior of Ni-P and Ni-P-Al2O3 electroless
coatings,” Wear, 262, pp. 978-985.
 Nano and Micro Indentation and Scratch Tests of Mechanical Properties of Thin Films

Nano and Micro Indentation and Scratch Tests of Mechanical Properties of Thin Films

Norm V. Gitis /CETR, Inc. (1715 Dell Ave. Campbell, Ilja Hermann /CETR, Inc. (1715 Dell Ave. Campbell,
CA 95008) CA 95008)
Suresh Kuiry /CETR, Inc. (1715 Dell Ave. Campbell, Jun Xiao /CETR, Inc. (1715 Dell Ave. Campbell, CA
CA 95008) 95008)
(Extended Abstract)

ABSTRACT capacitance sensor (Rockwell),

Experimental comparison of common nano and micro - instrumented micro-hardness tests per the ISO 14577-1/02
scales for hardness evaluation has been performed on metal (loads up to 1 kN) with the same Rockwell, Vickers, or
samples and discussed in details. Instrumented indentation was Knoop indenters, but in-situ monitoring of load and
found advantageous in both repeatability and a number of displacement and automatic calculations of both instrumented
measured parameters over classical hardness methods for hardness and Young’s modulus,
metals, while sclerometry was advantageous for ultra-thin - instrumented static nano-indentation tests per the ISO
films.Perform tests at various well-controlled sliding-to-rolling, 14577-1/02 (loads from 0.1 micro-N to 0.5 N) with Berkovich,
speed-to-load and temperature levels conical, cube-corner and other indenters, in-situ monitoring of
Keywords: Thin films, Hardness, Indentation, Scratch load and displacement and automatic calculations of both
instrumented hardness and Young’s modulus,
INTRODUCTION - instrumented dynamic Young’s modulus tests with spherical,
Berkovich, and other indenters, in-situ monitoring of the
Traditional macro-hardness tests of bulk materials are frequency change during surface contacts, and both
conducted at high loads of the order of kilo-Newtons with calculations and maps of Young’s modulus,
post-test indent analysis. Micro-hardness measurements of - micro-scratch-tests per the ASTM 448-82 (loads from
relatively-thick coatings and bulk materials are performed centi-N to hecto-N, sliding distances from a few microns to
under the medium loads of the order of deca-to-hecto-Newtons. many millimeters) with numerous indenters (spherical, conical,
As the industrial technology advanced, the mechanical micro-blades, etc.),
characterization went to nano levels, with the loads used for - nano-scratch-tests per the ASTM 448-82 (loads from 0.1
nano-indentation tests of thin films down to micro-N to hecto-N, sliding distances from 1 to 100 microns)
micro-to-milli-Newtons. A big step forward has been in-situ with numerous indenters (Berkovich, spherical, etc.) and
continuous force-depth monitoring during loading and AFM-like imaging of scratches with the same tip.
unloading parts of an indentation cycle [1], which allowed for
both instrumented-hardness and Young’s modulus evaluation The UNMT-1 allows for multi-scale measurements of the
using equations like that of Oliver-Pharr. same sample without its removal, just with an easy exchange
In all the indentation tests, pressure distribution is of the indenter moduleboth instrumented-hardness and Young’s
concentrated under (in the front of) the indenter and thus modulus evaluation using equations like that of Oliver-Pharr.
makes it vulnerable to substrate effects for ultra-thin films.
Thus, advantageous for thin films may be scratch-hardness RESULTS AND DISCUSSION
tests with the pressure distribution (still in the front of the The case study involved characterizing multiple samples
indenter) in the same surface layer where the indenter is sliding. in ambient conditions (next stage of tests will be done at both
As post-scratch detection of the shallow nano-scratches is high and low temperatures, available on the UNMT-1). Table 1
challenging, utilization of the same tip for both scratching and summarizes the samples and analysis done. The “+“ sign
nano-imaging may be the best way for nano-scratch-hardness shows that the technique was sufficient to measure the
testing of ultra-thin films. property of the sample, the “-“ sign indicates that the technique
This paper compares different techniques for micro and failed to measure the film properties without a substrate effect.
nano indentation and scratch tests on bulk and coated samples,
touches on the fundamental constraints of the current
Table 1 Summary of Tests done on the UNMT-1
techniques, and throws light on new technologies. It has been
done mostly on metals, but its techniques and conclusions are Traditional Instrumented Instrumented Instrumented Instrumented
applicable to various materials. micro- micro- nano-
Samples micro-scratch nano-scratch
indentation indentation indentation
EXPERIMENTAL Bulk steel,
brass and + + + + +
The indentation and scratch (sclerometry) techniques aluminum
were compared on the same samples on the same instrument.
20-micron
A novel Universal Nano+Micro Tester UNMT-1 by CETR metal film
- + + + +
has been utilized. It has several easily interchangeable modules
for precision hardness and Young’s modulus tests, including: 2-micron
- - + + +
metal film
- traditional micro-indentation (loads up to 1 kN), with
Rockwell (per the ASTM E18-05), Vickers (per the ASTM 4-nm DLC
thin film
- - - - +
E92-82), and Knoop (per the ASTM E384-99) indenters, with
post-test measurements of indent diagonals with an optical
microscope (Vickers and Knoop) and of indent depth with a Examples of actual test results are presented below.

489
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Table 2 shows average hardness and its deviation for the Table 4 shows hardness data for the same coatings with
same bulk metal samples with the same Vickers indenter, the same Berkovich indenter, obtained in 20 nano-indentation
obtained in 20 instrumented versus 20 traditional standard tests with a nano-indenter versus 20 nano-scratch tests with a
Vickers tests. The instrumented indentation produced the same nano-analyzer. Again, the nano-indenter showed good data for
hardness as the traditional Vickers method, but with much less micro-coatings, but a substrate effect for nano-coatings. Indeed,
data fluctuation between the individual tests. a stress distribution in the front of a moving indenter,
penetrating in the tested material hundreds of times more than
Table 2 Instrumented and Traditional Vickers Hardness the indenter itself, goes into the substrate in the
nano-indentation, but stay within the nano-coating in the
Vickers Hardness, HV Instrumented Hardness, MPa nano-scratch.
Material
(bulk) St. Deviation, St. Deviation,
Average Average
% %
Table 4 Nano-indentation and Nano-scratch Hardness
Aluminum 97 +-11 11 968 +-23 2
Brass 201 +-9 4 2004 +-19 1 Hardness Data, GPa
Coating on
Steel 519 +-20 4 5202 +-47 1 Silicon Nano-
Nano-Analyzer Comment
Indenter

Table 3 shows average Young’s modulus and its deviation Silicon 100 11.4+-1.2 11.6+-1.0 equal indent and scratch
for the same coatings with the same Berkovich indenter, 1-micron DLC 30.5 +-2.9 31.2 +-1.7 equal indent and scratch
obtained in 20 static tests with a nano-indenter versus 20 100-nm DLC 24.6 +-3.6 30.8 +-1.7 indent shows substrate effect
dynamic tests with a nano-analyzer. The nano-indenter showed
4-nm DLC 15.7 +-3.2 29.1 +-1.9 indent shows substrate effect
good data for bulk materials and micron-thick coatings, but a
substrate effect for nano-coatings; it’s results for a 4-nm film
reflected more the silicon-100 substrate than the film. The
dynamic Young’s modulus characterization with a CONCLUSIONS
Nano-analyzer module, based on a frequency response in a 1. In the micro-indentation and nano-indentation tests,
tapping mode, showed much less of the substrate effect, with the indents under 5-10% of the film thickness have produced
the data for the nano and micro films being almost the same. repeatable and apparently substrate-independent results.
2. In the micro-scratch and nano-scratch, the scratches
Table 3 Static (Nano-Indentor) and Dynamic under 30-35% of the film thickness have produced repeatable
(Nano-Analyzer) Young's Modulus Data substrate-independent results.
3. In the micro-indentation tests, traditional Rockwell
Young's Modulus Data, GPa and Vickers hardness tests produced more data variability than
Coating on
Nano-
the instrumented-hardness tests with the same indenters in the
Silicon Nano-Analyzer Comment same test setup, though the statistics requires more data.
Indenter
4. The UNMT-1 provides a platform for comparative
Silicon 100 164+-18 164+-14 equal static and dynamic
nano and micro indentation and scratch testing of thin films,
2-micron Ti 98 +-13 98 +-10 equal static and dynamic thick coatings and bulk materials.
2-micron DLC 381 +-24 382 +-19 equal static and dynamic
1-micron DLC 372 +-29 379 +-21 equal static and dynamic REFERENCES
100-nm DLC 314 +-32 370 +-25 static shows substrate effect [1] D. Tabor (1996). Indentation hardness: Fifty years on. -
4-nm DLC 195 +-39 361 +-27 static shows substrate effect Philosophical Magazine A, V. 74, No 5, pp. 1207-1212.

490
 Synthesis of Nano-MoS2 Particles and Its Role in the Self-Lubrication of Polyacetal-Based Composite

Synthesis of Nano-MoS2 Particles and Its Role in the Self-Lubrication

of Polyacetal-Based Composite

Xianguo Hu* Institute of Tribology, Hefei University of Kunhong Hu Institute of Tribology, Hefei University of
Technology, Hefei 230009, China Technology, Hefei 230009, China
Yufu Xu Institute of Tribology, Hefei University of Ralph Stengler Hochschule Darmstadt, University of
Technology, Hefei 230009, China Applied Sciences, D-64295 Darmstadt, Germany
(Extended Abstract)
ABSTRACT
Ball-like molybdenum disulfide nanoparticles were
synthesized from Na2MoO4. POM/MoS2 composites were a 3000

prepared by adding MoS2 nano-balls into polyoxymethylene 2500

002

2000

(POM). The results of tribological tests showed that the

CPS
1500
100

POM/nano-MoS2 presented better self-lubrication properties 1000

500
103 110

006 105

than the corresponding POM with micro-MoS2. When the 10 20 30 40 50 60

nano-MoS2 content in the POM/nano-MoS2 was not more than 2 θ/

o

1.5 wt%, the POM/nano-MoS2 presented lower friction
coefficients and smaller wear volume. However, higher
nano-MoS2 content over 1.5 wt% was very disadvantageous to
tribological performances of POM/nano-MoS2. DSC results
showed excessive nano-MoS2 affected the degree of POM’s
crystallinity and the self-lubrication was also influenced. SEM
confirmed that MoS2 nano-balls had better self-lubrication
TEM micrographs of worn debris proposed a wear mechanism
concerning the exfoliation and delivery of nano-sheets from
nano-balls.
Keywords: nano-MoS2,synthesis, self-lubrication polyacetal-
based composite
Fig.1 Results of XRD (a), TEM (b) and HRTEM (c) for the
obtained MoS2 nanoparticles
PREPARATION OF POM/MOS2 COMPOSITES
The so prepared MoS2 nanoparticles (nano-MoS2) were
added into POM. From the DSC curves shown in Fig.2, it can
be seen that crystallization degree of POM heightened with the
increasing content of nano-MoS2 from 0.5 wt% to 1.5 wt%.
The largest crystallization degree was observed in the POM
sample with 1.5 wt% nano-MoS2. When the content of
nano-MoS 2 reached 2.0 wt%, the crystallization degree of
POM represented an abrupt decline (Fig.2(b)).

Degree of crystallization/%
0
-2 a 64 b
INTRODUCTION -4 60
DSC/mW

-6
It has been well known that nanosized MS2 (M=W, Mo) -8 POM
56

usually has better tribological properties either in friction -10

POM+0.5% nano-MoS2 52
POM+1% nano-MoS2
reduction or wear resistance than microsized MS2 [1,2]. -12 POM+1.5% nano-MoS2 48 Crystalline degree

However, layered nano-MoS2 particles are easily oxidized in -14

POM+2% nano-MoS2
44

oxygen-rich and temperature-high environments, because the -16

140 145 150 155 160 165 170 175 180 0.0 0.5 1.0 1.5 2.0
Content of nano-MoS2 balls
rim atoms of 2H-MoS2 platelets with dangling bonds have high 7HPSHUDWXUHć
chemical activity. Some researches discovered MS2 with Fig.2 DSC curves (a) and their deduced results (b) for POM
closed structures such as fullerene-like nano-MS2 (M=W, Mo) and POM with nano-MoS2
had not only good chemical stability but also outstanding
lubrication properties [3,4]. Several methods have been PROPERTIES OF POLYACETAL-BASED COMPOSITES
reported to prepare fullerene-like nano-MS2 [5,6]. Recently, we As shown Fig.3a, the POM plastic layer with nano-MoS2
reported that ball-like nano-MoS2 with close layered structure represented better properties in friction reduction than that with
could be prepared conveniently by a very simple method [7]. micro-MoS2. When the nano-MoS2 content was not more than
Polyacetal (POM), an excellent engineering plastic 1.0 wt%, the average frictional coefficient of the
material, can be a substitute for metals in many occasions POM/nano-MoS2 plastic layer within 30 minutes sliding
because of its excellent mechanical properties and decreased with increasing nano-MoS2 content. However,
self-lubrication properties [8]. To enlarge the range of its higher nano-MoS2 contents over 1.0 wt% led to an increase in
application, some additives were selected to modify POM [9]. the average friction coefficient.
This paper reports our recent studies on the tribological 0.20 260
Pure POM with 30 min (Left) and 150 min (Right) sliding
b
Average friction coefficient

240
behaviors of polyacetal-based composite with MoS2 a Friction time: 30 min POM+nano-MoS2 within 30 min sliding
Average wear volume/mm

0.19
Load: 480N 220 POM+Micro-MoS2 within 30 min sliding
0.18 200 POM+nano-MoS2 within 150 min sliding
Speed: 0.8m/s
nano-balls. 0.17 180 POM+Micro-MoS2 within 150 min sliding
160
0.16 Load: 480N
140 Rotate speed: 0.8m/s
Pure POM

0.15 120

RESULT AND DISCUSSION 0.14

0.13
100
80
60
PREPARATION OF MOS2 NANO-BALLS 0.12
0.11
POM+nano-MoS2
POM+micro-MoS2
40
20

Ball-like molybdenum disulfide nanoparticles were 0.10

0.0 0.5 1.0 1.5 2.0
0
0.0 0.5 1.0 1.5 2.0

prepared from Na2MoO4, and CH3CSNH2 by a quick Content of MoS2 wt%

Content of MoS2 wt%

homogenous precipitation method reported in literature [7]. Fig.
1a shows the XRD pattern of the prepared nano-MoS2 particles,
which is corresponding to PDF#37-1492 and confirms the
presence of MoS2. TEM micrograph (Fig. 1(b)) confirms that
MoS2 nano-balls were prepared successfully. According to
HRTEM micrograph in Fig. 1(c), the brim of nano-MoS2 ball
presented obviously laminated structures.
*To whom all correspondence should be addressed.
491
Fig.3 Variation of the average friction coefficient (a) and wear
volume (b) with the increasing MoS2 content
According to Fig.3b, the influence of nano-MoS2 content
on the average wear volume of POM/nano-MoS2 samples was
almost correlative to the change in friction coefficient.
However, the POM sample with 1.5 wt% nano-MoS2 also
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

represented a very low wear volume. This can be ascribed to
the highest crystallization degree of the sample with 1.5%
nano-MoS2. The abrupt decrease in crystallization degree of
POM sample with 2.0 wt% nano-MoS2 suggested that
overmuch nano-MoS2 could destroy the structure of POM
crystal to a large extent.
Fig.4 shows friction curves for pure POM, POM with 0.5
wt% MoS2 and POM with 1.0 wt% MoS2. Friction reduction
for 1% nano-MoS2 showed a small advantage over these for
micro-MoS2 in the early friction. However, with long friction
time, the advantage of 1% nano-MoS2 balls was augmented.
0.24
0.22 Friction time: 150 min
Load: 480N
Ave friction coeff
were ascribed to its chemical inertness, rolling friction,
deformation, exfoliation and delivery of MoS2 sheets [3].
However, the TEM images (Fig.6) of worn debris only
represent part exfoliation of nano-balls. As a result, the
exfoliation of nano-sheets from MoS2 nano-balls in the contact
area became a main wear manner, which is described in Fig.7.
Debris
Exfoliated part
POM
POM+0.5% micro-MoS2 POM
POM+0.5% nano-MoS2

Rotate speed: 0.8m/s POM+1.0% micro-MoS2

0.20
POM+1.0% nano-MoS2
0.18
Fig.6 TEM image of debris with worn MoS2 nano-balls under
480 N at 0.8 m/s for 30 min
0.16
Steel a Steel b
0.14

0.12 POM
0 30 60 90 120 150 POM
Friction time / min
Micro-platelets Nano-balls Worn nano-balls

Fig.7 Schematic illustration of the lubrication mechanism of

Fig.4 Average friction coefficient versus time
micro-MoS2 (a) and prepared nano-MoS2 (b)
The SEM micrographs (Fig.5) for wear scars of further
confirm the better tribological properties of nano-MoS2. Both ACKNOWLEDGEMENTS
pure POM and POM/micro-MoS2 plastic layer represented a The authors wish to express their thanks to Professor G. C.
terribly worn surface with obvious melting marks (Fig.5a and Yuan, Mr. H. F. Jing and Mr. M. Tian for their assistance in the
c). Deep and broad gaps can not been seen in Fig.5b for the present work. The financial support by National Natural
cases of contacting with 1.5 wt% nano-MoS2. This confirms Science Foundation of China (Grant No. 50475071) and Anhui
that nano-balls have better self-lubrication. Provincial Natural Science Foundation (Grant No. 070414152)
are also acknowledged.
a b c
REFERENCES
[1] Hu X. G., Hu S. L., Zhao Y. S., 2005, “Synthesis of
nanometer molybdenum disulfide particles and
evaluation of friction and wear properties,” Lubri. Sci.,
Fig.5 SEM micrographs of worn surface for POM (a) 17, pp.295-308.
nano-MoS2 (b), micro-MoS2 (c) [2] Wo H. Z., Hu K. H., Hu X. G., 2004, “Tribological
properties of MoS2 nanoparticles as additive in a machine
The XPS quantitative results shown in Tab.1 revealed oil,” Tribology, 24, pp.33-37.
different oxidized extents between nano-MoS2 and [3] Rapoport L., Feldman Y., Homyonfer M., et al., 1999,
micro-MoS2. As shown in Tab.1a and Tab.1b, the quantity of “Inorganic fullerene-like material as additives to
Mo(VI) is 0.9 At% on the counterpart surface of the POM lubricants: structure–function relationship,” Wear,
layer with 1.0 wt.% nano-MoS2 while 0.4 At% on that with 1.0 225–229, pp.975–982.
wt% micro-MoS2. Generally, MS2 (M=Mo, W) with a close [4] Rapoport L., Bilik Yu., Feldman Y., et al, 1997, “Hollow
structure is more difficult to be oxidized than 2H-MS2. nanoparticles of WS2 as potential solid-state lubricants,”
However, the size is other important factor which affects the Nature, 387, pp.791–793.
chemical activity of MS2 particles [3]. 2H-MoS2 with average [5] Tenne R., Margulis L., Genut M., Hodes G., 1992,
size of about 30 μm used in our tests should have a better “Polyhedral and cylindrical structures of tungsten
chemical stability than MoS2 nano-balls. Luckily, the excessive disulfide,” Nature, 360, pp.444-446.
oxidization has not been found in the XPS result. [6] Margulis L., Salitra G., Tenne R., Talianker M., 1993,
Table 1 XPS quantitative results for the counterpart wear surface “Nested fullerene-like structures”, Nature, 365, pp. 113 –
for nano-MoS2 (a), micro-MoS2 (b). 114.
[7] Hu K. H., Wang Y. R., Hu X. G., Wo H. Z., 2007,
a Name Peak BE At% b Name Peak BE At% “Preparation and characterisation of ball-like MoS2
O1s 529.72 9.2 O1s 529.61 6.2 nanoparticles,” Mater. Sci. Technol., 23, pp. 242-246.
O1s 531.26 21.2 O1s 531.42 19.9 [8] Hu X. G., 1998, “Tribological behaviour of modified
Fe2p 710.31 7.2 polyacetal against MC nylon without lubrication,” Tribol.
Fe2p 710.88 7.4 Lett., 5 pp.313-317.
Mo3d 232.1 0.4
Mo3d 232.17 0.9 S2p 169.25 0.3 [9] Chen J. Y., Cao Y., Li H. L., 2006, “Investigation of the
C1s 284.62 61.3 C1s 284.63 66.1 friction and wear behaviors of polyoxymethylene/linear
low-density polyethylene/ethylene-acrylic-acid blends,”
The excellent tribological performances of IF-nanoparticle Wear, 260, pp.1342–1348.

492
 Analysis of a Three-Body Contacting Model with the Adhesive Effect

Analysis of a Three-Body Contacting Model with the Adhesive Effect

Jeng-Haur Horng, Chin-Chung Wei

Department of Power Mechanical Engineering & Center of MEMS Design and Application,
National Formosa University, Yunlin, 63208, Taiwan, China
(Extended Abstract)
ABSTRACT
Surface forces, including adhesion and friction of Bhushan et al.[1-2] and other research [3-5]. A new
forces, significantly affect the measurement and motion analysis model of three body wear was built by
at the nano scale region. In micro-electromechanical calculating the elastic (e), elastic-plastic (ep), and plastic
systems (MEMS), three-body wear often occurs at the (p) micro-contact deformation areas. The contact model
contact region of motion parts, with surface forces is considering the down surface is a rough surface with
dominating their movement. A new three body hemispherical asperities, and the up surface is a smooth
micro-contact model is established with adhesive and surface. The adhesive friction (fa), roughness peak
particle effects. When a three body micro-contact occurs deformation friction (fds), deformation friction of
between a flat plate and a rough surface, roughness has a particles (fdp), and ratchet friction (fr) at the contact
Gaussian distribution and the external force is applied at region.
the flat plate. The size of wear particles spreads at the
contact region with a Gaussian distribution. By Fftotal = Ffa ,e + Ffa ,p + Ffa ,ep + Ffds ,e + Ffds ,p + Ffds ,ep + Ffdp ,e
calculating the elastic, plastic, and plastic-elastic contact
areas, frictional coefficients, including adhesive friction, + Ffdp ,p + Ffdp ,ep + Ffr ,e + Ffr ,p + Ffr ,ep
roughness peak deformation friction, particle ⎡ ⎡ ⎛ δ −δ 3
⎞
deformation friction, and ratchet friction, are obtained. ⎢
= Ffp 0 + τ 0 πRδ ud + ( 2πRδ ud − πRδ ud ) × − 2 ⎢ ⎜ ud ud ,1
⎟
From the analytical results, the adhesive friction is lower ⎢ ⎢ ⎜⎝ δ ud , 2 − δ ud ,1 ⎟⎠
than other friction, but it affects the motion at the ⎣ ⎣
contact region until the two contact surfaces are ⎛ δ ud − δ ud ,1 ⎞ ⎤
2 d + δ ud ,1

separated by a long distance. The adhesive force and the + 3⎜ ⎟ ⎥ + Ffds ,e 0 πηd R d ⋅
∫d δ ud φ d (z )dz
⎜δ ⎟
adhesive friction force govern the contact behavior when ⎝ ud , 2 − δ ud ,1 ⎠ ⎥⎦
the dimensionless mean separation, d/σ, is higher than Z max
the value of 3.8.
Keywords: Adhesion, Three Body Wear, Micro-contact,
+ 2Ffdsp 0 πη R d ⋅ ∫δ
d + δ ud , 2
ud φ d ( z )dz + Ffds ,ep 0 πη d R d

Friction
INTRODUCTION ⎡
d + δ ud , 2
⎛ δud − δud ,1 ⎞
3
⎛ δud − δud ,1 ⎞ ⎤
2

Adhesion and friction are more important than

× ∫ pw ⎢ ⎜ δud,2 − δud,1 ⎟ ⎜ δud,2 − δud,1 ⎟ ⎥⎥φd (z)dz
δ ⎢1 − 2⎜ ⎟ + 3⎜ ⎟
d + δ ud ,1
⎣ ⎝ ⎠ ⎝ ⎠ ⎦
inertial force when the volume of a micro electron
mechanism system (MEMS) is decreased. Particles, ηa πFfdp , e 0 − 1 X max 2 πH d ηa Ffdp , p 0
+ ⋅ f1 ⋅ ∫ x ⋅ φa ( x )dx +
which come from wear or from dust in the environment, 2 X min Hd + Hu
usually exist at the contact surface within MEMS. These
particles cause adhesion, friction, and wear at the contact ⎡ 9π 2 ⎛ H 2 H 2 ⎞ d X max ⎤
×⎢ ⎜ 2u + 2d ⎟ ∫ x 2φa ( x)dx + ∫ x 2φa ( x)dx⎥
region. Bhushan et al.[1] built an analysis model that ⎜ ⎟
⎢⎣ 4 ⎝ Eau Eud ⎠d − h e d ⎥⎦
considers plow, adhesion, and deformation of the peaks
of micro roughness. They indicated that the friction was ⎧ ⎧ π X max
+ ⎨ τ Y 0 × ⎨ ηa A ud ⋅ ⋅ f1− 1 ⋅ ∫ x 2 ⋅ φa ( x )dx
due to adhesion, the deformation friction of micro ⎩ ⎩ 2 X min
roughness peaks during two body contact, and the
deformation friction produced from the plow at the three
⎧⎧ πH η A ⎡ 9π 2 ⎛ H 2 H 2 ⎞ d 2
body wear condition. Bhushan et al. added the scale ⎪⎪ ⎜ 2u + 2d ⎟ ∫ x φa ( x)dx
+ ⎨⎨ d a n ⎢ ⎜ ⎟
⎪⎩⎪⎩ Hd + Hu
effect into their model [2] in the analyses of the contact ⎢⎣ 4 ⎝ Eau Eud ⎠d − h e
deformation of two and three body friction. However,
⎤ ⎡ ⎤ ⎫⎪
the friction produced from the elastic-plastic X max
π − 1 X max 2
+ ∫d a φ ⎥ − ⎢ a ud 2 1 ∫X min
η ⋅ ⋅ ⋅ ⋅ φ
2
deformation of micro roughness peaks was not x ( x )dx A f x a ( x )dx ⎥⎬
considered in their study, although it dominates most ⎥⎦ ⎣ ⎦ ⎪⎭
micro contact behavior at a three body contact system. ⎡ ⎛ δ −δ ⎛ δ − δ ud ,1 ⎞ ⎤ ⎫⎪ ⎫⎪
3 2
ud ,1 ⎞
ANALYZING MODEL × ⎢ − 2⎜⎜ ud ⎟ + 3⎜ ud
⎟ ⎜δ
⎟ ⎥ ⎬ ⎬ + Ffr ,p 0
⎟
⎢⎣ ⎝ δ ud , 2 − δ ud , 2 ⎠ ⎝ ud , 2 − δ ud ,1 ⎠ ⎥⎦ ⎪⎭ ⎪⎭
Our friction analysis model is based on the analyses

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

⎡
+ τ 0 ⎢ πRδ ud + ( 2πRδ ud − πRδ ud )
⎣ Si,ψ=1.5, x=500,100,20nm, Δγ=0.1J/m2, Rq=100nm
External Force

⎡ ⎛ δ −δ ⎛ δ ud − δ ud ,1 ⎞ ⎤ ⎤
3 2 Adhesive Force, Fs, x=20nm
⎞ Adhesive Force, Fs, x=100nm
⎢
× −2⎜ ud ud ,1 ⎟
+3⎜ ⎟ ⎥⎥ Adhesive Force, Fs, x=500nm
⎢ ⎜⎝ δ ud , 2 − δ ud ,1 ⎟⎠ ⎜δ
⎝ − δ ⎟ ⎥⎥
⎠ ⎦⎦
⎣ ud , 2 ud , 1

1E-003
where τ 0 is the macro scale value of adhesive shear

Dimensionless Force
strength, φ(z ) is the Gaussian distribution function,
and δ is the contact deformation. The friction coefficient 1E-005

can be obtained from the friction force dividing the

external force.
1E-007
RESULTS AND DISCUSSION
Figure 1 shows the Total friction coefficient ( μ total )
1E-009
and adhesion friction coefficient ( μ a ) varied with the 0 1 2 3 4 5

dimensionless mean separation (d/σ) and various particle Dimensionless Mean Separation (d/σ)
size (x). The specimen for analyzing is silicon, plastic (a)
coefficient (ψ) is 1.5, surface energy (Δγ) is 0.1 J/m2, Si,ψ=1.5, x=500,100,20nm, Δγ=0.1J/m2, Rq=100nm
Total Friction Force, Fr_total, x=20nm
and the roughness of the down surface (Rq) is 100 nm.
Total Friction Force, Fr_total, x=100nm
From Fig.1, the adhesive friction coefficient does not Total Friction Force, Fr_total, x=500nm
vary with particle size and dimensionless mean Adhesive Friction Force, Fr_a, x=20nm
Adhesive Friction Force, Fr_a, x=100nm
separation (d/σ). The adhesive force and friction force Adhesive Friction Force, Fr_a, x=500nm

have the same behavior, as shown in Fig.2(a) and 2(b).

This means that the adhesive behavior does not vary 1E+001
with the geometric factor. From Fig.2(a), the adhesive
Friction Force (N)

force decreased with d/σ; the adhesive friction force also

has the same behavior as shown Fig.2(b). The adhesive 1E-002

force is higher than external force at d/σ of about 3.8.

The external force dominates the contact behavior when
the two contact surfaces cross. The external force 1E-005

decreases with the value of d/σ, but the adhesive force

does not decrease at the same rate. Thus the adhesive
1E-008
force governs the contact behavior when two surfaces 0 1 2 3 4 5
are separated. The adhesive friction force shows the Dimensionless Mean Separation (d/σ)
same trend. When the value of d/σ is higher than 3.8, the (b)
curve of the total friction force decreases with the Fig. 2 (a) Adhesive force and (b) adhesive friction
adhesive friction force. force and total friction force varying with particle size

Si,ψ=1.5, x=500,100,20nm, Δγ=0.1J/m2, Rq=100nm REFERENCES

Total Coefficient of Friction, μtotal, x=20nm
Total Coefficient of Friction, μtotal, x=100nm [1] B. Bhushan, and M. Nosonovsky, 2004,
Total Coefficient of Friction, μtotal, x=500nm
Adhesional Coefficient of Friction, μa, x=20nm
“Comprehensive Model for Scale Effects in Friction
Adhesional Coefficient of Friction, μa, x=100nm Due to Adhesion and Two- and Three-Body
Adhesional Coefficient of Friction, μa, x=500nm
1E+001 Deformation (Plowing),” Acta Mater., 52, pp.
2461-2474.
1E+000 [2] B. Bhushan, and M. Nosonovsky, 2005, “Scale
Friction Coefficient

Effect in Dry Friction During Multiple-Asperity

1E-001 Contact,” Acta Mater., 52, pp. 2461-2474.
[3] J. F. Archard, 1953, “Contact and Rubbing of Flat
1E-002 Surface,” Journal of Appiled Physics, Vol.
24 ,pp.981-988.
1E-003 [4] E. Rabinowicz, 1965, “Friction and Wear of
Materials,”Wiley, New York.
1E-004 [5] N. P.Suh, H. C. Sin, M. Tohkai and N. Saka, 1980,
0 1 2 3 4 5 “Surface Topography and Functional Requirements
Dimensionless Mean Separation (d/σ)
for Dry Sliding Surface,” CIRP Annals ,International
Fig. 1 Friction coefficients obtained from the total Institution for Production Engineering Research. ,
friction and adhesive friction varying with particle size Vol. 29, pp. 413-418.

494
 Analysis of Three-Body Contacting Model with Scale Effect

Analysis of Three-Body Contacting Model with Scale Effect

Chin-Chung Wei, Jeng-Haur Horng

Department of Power Mechanical Engineering & Center of MEMS Design and Application,
National Formosa University, Yunlin, 63208, Taiwan, China
(Extended Abstract)
ABSTRACT
In micro-electromechanical systems (MEMS) and of Bhushan et al.[1-2] and other researchs [3-5]. A new
precision machines, friction force becomes increasingly analysis model of three body wear was built by
important as the volume of components is reduced. calculating the elastic (e), elastic-plastic (ep), and plastic
Hence, the scale effects of surface roughness and (p) micro-contact deformation areas. The contact model
particle size are significant factors under a large surface is considering the down surface is a rough surface with
area-volume ratio. When three body micro-contact hemispherical asperities, and the up surface is a smooth
occurs between a flat plate and a rough surface, surface. The adhesive friction (fa), roughness peak
roughness has a Gaussian distribution and the external deformation friction (fds), deformation friction of
force is applied at the flat plate. The size of wear particles (fdp), and ratchet friction (fr), including the
particles spreads at the contact region with a Gaussian scale effect at the contact region, are also considered.
distribution. By calculating the elastic, plastic, and The real contact area(Are) and radius of the average
plastic-elastic contact areas, frictional coefficients with contact area can be defined by the characteristic
the scale effect, including roughness peak deformation roughness length (Llwl) as
friction, particle deformation friction, and ratchet
m−n
friction, are obtained in the analysis. The scale effects on ⎛ L ⎞
the friction characteristics of surface hardness, A re = A re 0 ⎜⎜ ⎟⎟ L < L lc (1)
dislocation length and roughness are established in the ⎝ L lwl ⎠
m
model. From the analytical results, the hardness of a ⎛ L ⎞
bulk material with uniform properties varies with the a = a 0 ⎜⎜ ⎟⎟ L < L lc (2)
measured length, and depend on the roughness ⎝ L lwl ⎠
measuring length. The dislocation length Ls, hardness where L is the contact length, and Are0 and a0 are the real
measuring length Llwl, and roughness measuring length contact area and radius of the average contact area with
Ld are the main factors in a micro contact model, and the no scale effect, respectively. The coefficients, m and n,
surface friction coefficient varied with these scale effects. are used to define the asperity of a rough surface. The
Keywords: Scale Effect, Three Body Wear, Hardness,
plastic real contact area can be defined as:
Roughness, Dislocation length
F
INTRODUCTION A rp = (3)
H
Adhesion and friction are more important than
inertial force when the volume of a micro electron where H is the hardness, and F is the normal force. From
mechanism system (MEMS) is decreased. Particles, the stress gradient plastic model [5], the shear stress (τY)
which come from wear or from dust in the environment, with the scale effect can be obtained as:
usually exist at the contact surface within MEMS. These τ Y = τ Y 0 l + (l d / a) (4)
particles cause adhesion, friction, and wear at the contact
region. Bhushan et al.[1] built an analysis model that where τY0 is a shear stress with no scale effect. From the
considers plow, adhesion, and deformation of the peaks Von Misesz rule, H=3 3 τY and the hardness with the
of micro roughness. They indicated that the friction was scale effect is:
due to adhesion, the deformation friction of micro (5)
H = H l + (l / a)
0 d
roughness peaks during two body contact, and the
deformation friction produced from the plow at the three where H0 is the hardness without the scale effect, and ld
body wear condition. Bhushan et al. added the scale is the characteristic length of hardness.
1m
effect into their model [2] in the analyses of the contact ⎛l ⎞
deformation of two and three body friction. However, L d = L lc ⎜⎜ d ⎟⎟ (6)
the friction produced from the elastic-plastic ⎝ a0 ⎠
The plastic real contact area with the scale effect can be
deformation of micro roughness peaks was not
obtained as:
considered in their study, although it dominates most
micro contact behavior at a three body contact system. W W
A rp = = (7)
ANALYZING MODEL H0 l + (l d / a) H 0 l + (L d / L )m
Our friction analysis model is based on the analyses

495
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

The hardness can also be affected by the dislocation, so Si,ψ=1.5, x=100nm, Δγ=0.1J/m2, Rq=100nm
Total Surface Coefficient of Friction, μs, Ls/L=10
the value of Ld can be changed to Ls as: Total Surface Coefficient of Friction, μs, Ls/L=20
1m Total Surface Coefficient of Friction, μs, Ls/L=30
⎛l ⎞ Total Surface Coefficient of Friction, μs, Ls/L=80
L S = L lc ⎜⎜ S ⎟⎟ (8) Total Particle Coefficient of Friction, μp, Ls/L=10

⎝ a0 ⎠ Total
Total
Particle Coefficient of Friction, μp, Ls/L=20
Particle Coefficient of Friction, μp, Ls/L=30
where Ls is the slip length of dislocation moving up, and Total Particle Coefficient of Friction, μp, Ls/L=80
1E+000
ls is the characteristic length of a dislocation. The friction
force can be obtained by integrating the shear force with 1E-001

respect to the contact area. Due to space limitations it is

Friction Coefficient
1E-002
not shown here.
1E-003
Ls/L=80
RESULTS AND DISCUSSION
1E-004
Figure 1(a) and (b) show the surface friction Ls/L=30

coefficient ( μs ) and particle friction coefficient ( μ p ) 1E-005 Ls/L=20

1E-006 Ls/L=10
varied with the dimensionless mean separation (d/σ),
hardness scale effect (L/Llwl), and dislocation scale effect 1E-007
0 2 4 6 8
(Ls/L). The specimen for analyzing is silicon, plastic Dimensionless Mean Separation (d/σ)
coefficient (ψ) is 1.5, surface energy (Δγ) is 0.1 J/m2, (b)
and the roughness of the down surface (Rq) is 100 nm. Si,ψ=1.5, x=100nm, Δγ=0.1J/m2 , Rq=100nm
Surface Coefficient of Friction, μs, Ld/Llwl=3
The scale effect produced from surface hardness only Total
Total Surface Coefficient of Friction, μs, Ld/Llwl=6
affects the surface friction coefficient. The surface Total Surface Coefficient of Friction, μs, Ld/Llwl=12
Total Surface Coefficient of Friction, μs, Ld/Llwl=24
friction coefficient increases with the value of L/Llwl Total Particle Coefficient of Friction, μp, Ld/Llwl=3
Total Particle Coefficient of Friction, μp, Ld/Llwl=6
increased. Particle friction coefficient is higher than the Total Particle Coefficient of Friction, μp, Ld/Llwl=12
surface friction coefficient when d/σ is lower than about Total Particle Coefficient of Friction, μp, Ld/Llwl=24
1E+000
2.2. Then, the particle friction coefficient keeps
decreasing until the value of d/σ is about 5, and almost 1E-001

become a constant. In the region, the particle friction

Friction Coefficient

1E-002

govern the contact behavior when the value of d/σ is 1E-003

lower than 2.2. Figure 1(b) shows that increasing the 1E-004
values of the slip length of a dislocation (Ls) increasing
1E-005
the surface friction coefficient, but the friction
coefficient of particle does not vary. The location of the 1E-006

cross point of the surface friction coefficient with the 1E-007

dislocation scale effect and the particle friction 0 2 4 6 8

coefficient decrease with increasing the value of Ls/L.
The scale effects of roughness and hardness both
considered by a factor, Ld/Llwl, the surface friction
coefficient does not vary, as shown in Fig.1(c). This
means that the scale effect of the roughness depends
with the hardness. The dislocation length Ls, hardness
measuring length Llwl, and roughness measuring length
Ld are the main factors in a micro contact model, and the
surface friction coefficient varied with these scale
effects.
Si, ψ=1.5, x=100nm, Δγ=0.1J/m2, Rq=100nm
Total Surface Coefficient of Friction, μs,
Total Surface Coefficient of Friction, μs,
Total Surface Coefficient of Friction, μs,
Total Surface Coefficient of Friction, μs,
Total Particle Coefficient of Friction, μp,
Total Particle Coefficient of Friction, μp,
Total Particle Coefficient of Friction, μp,
Total Particle Coefficient of Friction, μp,
1E+000
1E-001
FrictionCoefficient
Dimensionless Mean Separation (d/σ)
(c)
Fig. 1 Friction coefficients of surface and particles
varying with scale effect (a) hardness, (b)
dislocation ,and (c) roughness and hardness
REFERENCES
[1] B. Bhushan, and M. Nosonovsky, 2004,
“Comprehensive Model for Scale Effects in Friction Due
to Adhesion and Two- and Three-Body Deformation
L/Llwl=0.1 (Plowing), ” Acta Mater., 52, pp. 2461-2474.
L/Llwl=0.5
L/Llwl=1 [2] B. Bhushan, and M. Nosonovsky, 2005, “Scale
L/Llwl=10
L/Llwl=0.1 Effect in Dry Friction During Multiple-Asperity
L/Llwl=0.5
L/Llwl=1 Contact,” Acta Mater., 52, pp. 2461-2474.
L/Llwl=10
[3] J. F. Archard, 1953, “Contact and Rubbing of Flat
Surface,” Journal of Appiled Physics, Vol.

1E-002
24 ,pp.981-988.
1E-003
[4] E. Rabinowicz, 1965, “Friction and Wear of
L/Llwl=0.1
1E-004
L/Llwl=0.5
Materials,”Wiley, New York.
1E-005
L/Llwl=1 [5] N. P.Suh, H. C. Sin, M. Tohkai and N. Saka, 1980,
1E-006
L/Llwl=10 “Surface Topography and Functional Requirements for
1E-007
Dry Sliding Surface,” CIRP Annals ,International
0 2 4 6 8
Dimensionless Mean Separation (d/σ) Institution for Production Engineering Research. , Vol.
(a) 29, pp. 413-418.

496
 Adhesion, Friction and Wear Measurements at Microscale
Adhesion, Friction and Wear Measurements at Microscale
N. Myshkin * / Metal-Polymer Research Institute of
Belarus National Academy of Science, Gomel, Belarus,
nkmyshkin@mail.ru
A.Kovalev / Metal-Polymer Research Institute of Belarus
National Academy of Science, Gomel, Belarus
(Extended Abstract)
ABSTRACT
Modern trends in miniaturization of components cause the
necessity of evaluation of tribological characteristics at
conditions close to real operation. Existing methods and
equipment such as AFM cannot give the adequate data on
tribological performance of tiny tribounits, because the test
contact loads, sliding velocity, and contact areas are not similar
to real ones. The presentation describes the design and test data
when using laboratory equipment for measuring adhesion
forces and friction properties of micro systems. The set of
developed devices includes adhesion meter, rotary and
reciprocating microtribometers.
Keywords: microtribology, adhesion, friction, testing equipment
INTRODUCTION
Surface forces and adhesion are the dominant factors
affecting the tribological behavior at microscale. For example,
it is known that operation of micro-electro-mechanical systems
depends mainly on adhesion of parts in contact [1].
Much of research in microtribology is done with atomic
force microscope (AFM), lateral force microscope (LFM), and
surface force apparatus (SFA) [2, 3]. But these instruments
provide data, which cannot be directly applied to real
engineering systems. So, bridging the gap between macro and
microtribology call for use the adequate test equipment.
Figure 1 presents the chart of normal loads and friction
forces measured by the devices used in micro- and
nanotribology.
Fig. 1 The operating range map of devices: friction force
vs. normal load
EXPERIMENTAL EQUIPMENT
Usually the components of micro/nano systems operate
under light loads being comparable with the surface forces. In
order to simulate their operation efficiently we need to use the
same range of loads as well as possibility to use combinations
of contact geometry, materials and design of the test devices
close to real applications.
*To whom all correspondence should be addressed.
A.Grigoriev / Metal-Polymer Research Institute of
Belarus National Academy of Science, Gomel, Belarus
W. Scharff / IfU GmbH, Institute für Umweltanalysen,
Lichtenau, Germany
E. Kovalev / Institute of Metallurgy and Material
Sciences of Russian Academy of Science, Moscow,
Russia
Contact Adhesion Meter
The range of surface forces between the macroscopic
bodies can be compared with the sensitivity of an accurate
analytical balance. But the balance cannot be used to perform
adhesion measurements because the surface forces increase
rapidly with decreasing the distance between the test
specimens. Hence, the measurements should be carried out at a
very small speed impossible for common balance. Derjagin et
al. proposed to solve the problem [4] by applying the principle
of a feedback balance. For the contact adhesion meter we have
chosen the design of a vertical torsion balance with negative
feedback. This design eliminates the problems with balancing
and errors caused by friction in the balance support.
The contact adhesion meter allows us to measure
force-distance dependence between the test samples in the
range of the 0.01 to 10 mN on the distance 1 nm – 10 μm. The
dependence of adhesion forces vs. distance between the ball
probe and sample is measured at approach and pull-off of the
sample from the ball. The main distinction of the developed
device from an AFM is the possibility of measuring attractive
forces between surfaces as a function of the distance between
them [5, 6]. Basic characteristics of the apparatus are listed in
the Table 1.
Table 1 Characteristics of contact adhesion meter
Measured forces, mN 0.01– 10
Sample displacements, nm 10 – 10000
Sample size, mm 20×20×5
Probe size (ball type), mm 0.2 – 5
Reciprocating Precision Tribometer
A special tribometer with a precision reciprocating motion
has been developed in MPRI [7]. It operates in the range of
normal load from 1 mN to 1 N, velocity – from 0.1 to 10 mm/s
and allows us to measure friction force and acoustic emission.
The measurement system of the device is equipped with
precision electromechanical units raising stability and accuracy
of friction force measurement. Application of measuring
gauges with high mechanical rigidity and sensitivity provides
increasing stability of measurement of friction coefficient. A
brushless electromagnetic drive is used in the sphere-on-plane
module. The module providing realization of pin-on-disk
scheme is equipped by drive with precision bearing unit, that
allowing us to minimize internal friction and to increase the
control of movements.
Use of the contactless drive is minimizing the mechanical
noise and vibration that negatively affect the measurement of
low friction forces. The electromagnetic drive in combination
with the flexible guides makes possible to move specimens
within the required velocity range with a stroke length from
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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
0.1 to 10 mm. The normal load of the indenter on the specimen
is set and kept constant in testing by an electromagnetic unit
with the feedback. In addition, the electromagnetic drive is
helpful in realization of different modes of specimen
movement. Technical specification of the reciprocating
microtribometer is listed in the Table 2.
Table 2 Characteristics of reciprocating microtribometer
Load range, mN 1 – 1000
Length of stroke, mm 1 – 10
Velocity, mm/s 0.1 – 10
Diameter of indentor, mm 2–5
RESULTS AND DISCUSSION
Measurement of adhesion
Typical dependence of adhesion force during approaching
of various balls to the investigated samples obtained by contact
adhesion meter is shown on the Figure 2. It shows
experimental dependences of force on the distance obtained
with different probes and samples. They illustrate the kinetics
of force interaction between the contact surfaces.
Fig. 2 Experimental dependence force-distance. 1 – interaction
of silicon ball and Si/TiOx/ODPO4. 2 – interaction between
titanium ball and silicon plate
Pattern of experimental data shows that irrespective of the
nature and structure of contacting solids the force-distance
curves have similar shapes. Starting from some distance the
attraction force between solids monotonously grows up, then
the direction of the force reverses. At this stage attraction stops
to dominate and the repulsion occurs which grows much faster
in comparison with attraction.
Measurement of friction
The microtribometer was used in testing various thin films.
We can see the instability of data at lower load which is in the
range of the action of surface forces – adhesion, capillary
forces, and possible electrostatic and magnetic effects. Figure 3
shows the test results of the monomolecular coating SEBS
deposited to the silicon substrate. A ball 3 mm in diameter
made of steel 52100 (AISI) was used as a counterbody. A low
level of noise was noted in testing. The stability of
determination of the friction coefficient confirms the efficiency
of the normal load control unit.
Simultaneously with the recording of the friction force the
rate of counting AE pulses is recorded from the transducer
output that is located under the plate specimen. It is seen that
the rate of AE counting provides additional information on
friction behavior of the system.
498
E, 103, pulse/sec f
1.0 0.4
0.8
0.3
0.6
1 0.2
0.4
0.1
0.2 2
0 0
1 501 1001 1501 2001 N, cycles
Fig. 3 Friction coeffitient f (1) and AE counting rate E (2) vs.
number of test cycles N. Normal load P = 300 mN; sliding
velocity v = 4 mm/s, track length S = 3 mm
CONCLUSIONS
The progress in analytical tools as STM, AFM,
micro/nanohardhess testers is not adequate for solution of
engineering problems arising in microsystems because most of
the tools have contact geometry different of real components.
Some of these instruments operate in dynamic conditions and
this fact should be taken into account when interpreting the
data. The contact adhesion meter having a quasi-static design
can provide valuable data on force-distance behavior of solids
at nanoscale distances. These data can be efficiently used in
addition to AFM and SFA data. The investigation of friction
characteristics of miniature components, thin films and
coatings makes necessary some special testing conditions such
as light normal loads, low sliding velocity and high sensitivity
of friction force measuring systems.
ACKNOWLEDGEMENTS
The work was partially supported by the BRFBR-RFBR
grant No T08R062 and INTAS 05-7940.
REFERENCES
[1] Handbook of Micro/Nano Tribology. 1995, ed. Bhushan
Bh., CRC Press, New York.
[2] Israelachvili, J. N., 1991, “Adhesion, Friction and
Lubrication of Molecularly Smooth Surfaces”, In:
Fundamentals of Friction: Macroscopic and Microscopic
Process. ed. I.L. Singer, H.M. Pollock, Kluver Acad. Pub.,
London, pp.351-385.
[3] Israelachvili, J.N., 1991, Intermolecular and Surface
Forces, NY.
[4] Deryagin, B.V., Krotova, N.A., Smilga, V.P., 1973,
Adhesion of Solids. Nauka, Мoscow.
[5] Myshkin, N.K., Petrokovets, M.I., Kovalev, A.V., 2005,
“Tribology of polymers: friction, wear, and mass-transfer”,
Trib. Int. 38, pp.910-921.
[6] Myshkin, N., Kovalev, A., Scharff, W., Ignatiev, M., 2007,
“Adhesion contact in the nano range”, Proceedings of
International Conference VIENNANO’07, Vienna, Austria,
pp.229-238.
[7] Myshkin, N., Zozulya, A., Kudritsky, V., Kovalev, A.,
Grigoriev, A., Scharff, W., Kovalev, E. “The Precision
Modular Microtribometer”, 2008, Proceedings of 16th
International Colloquium Tribology, Esslingen, Germany,
p.74.
 Fabrication and Nano-Tribological Behaviors of PDDA/Ag NPs Composite Molecular Deposition Films
Fabrication and Nano-Tribological Behaviors of PDDA/Ag NPs Composite
Molecular Deposition Films
*
Xiao Yu-qi1, , Wang De-guo1, Zhang Si-wei1, Guo Yanbao1, Gao Mang-lai2
1
Faculty of Mechanical and Electronic Engineering, China University of Petroleum, Beijing 102249 China
2
Faculty of Chemical Science and Engineering, China University of Petroleum, Beijing 102249 China
ABSTRACT
Poly (diallyldimethylammonium chloride) / sodium
citrate-enwrapped silver nanoparticles (PDDA/Ag NPs)
composite molecular deposition films were prepared by
molecular deposition (MD) method. The uniform structure of
the films was characterized by ultraviolet-visible (UV-vis)
spectroscopy, and the nanotribological properties of the films
were analyzed by atomic force microscope (AFM). Silver
nanoparticles modified by sodium citrate were fabricated by
sodium citrate reduction of silver nitrate in ultrasonic field using
sodium borohydride as a catalyst. The surface plasmon
absorption of the silver colloidal solution centered at 399nm and
the average radius of the protected nanoparticles was about
1.8nm obtained by the laser granularity equipment. It has been
found that these films have a much smaller friction force than
their substrates. The effects of load and scan rate were examined,
and the wear behavior of the film against the tip of AFM was
investigated.
Keywords: PDDA/Ag NPs composite molecular deposition
film; silver nanoparticles protected by sodium citrate;
nano-tribological properties; wear behavior
INTRODUCTION
Molecular deposition (MD) film, also known as
polyelectrolyte multilayers (PEMs), is a kind of self-assembled
film in nano scale for tribological application. It has been found
that the film is possessed of lubrication effect and has the
advantages of simply fabricating, well orderliness, controllable
in thickness and being formed on any type of material with any
shape. The studies of the film have been extended for its unique
properties through the domestic and foreign researches in the
past years. It has been found that the MD film has potential
research values in physics [1], chemistry [2], biology [3],
especially in nanotribology[4]. Nowadays, many researchers
have put their attention on nanopartilces composite MD film,
which can exhibit better load-bearing property and wear
resistance than the MD films without nanoparticles [5, 6].
However, the friction force of the nanoparticles composite MD
film were higher than that of the pristine films or the clean
substrates [5, 7]. It is well known that for the smaller size of the
nanoparitlces, the lower the surface roughness is, the lower the
friction force would be. Therefore, it is important to find a good
dispersing agent to stabilize the nanopartilces. In this work,
sodium citrate was used to stabilize and enwrap the silver
nanoparticles, and the PDDA/Ag NPs composite MD film with
PDDA was assembled. The tribological properties of the film
and wear behavior between the film and the tip of AFM were
investigated by AFM.
EXPERIMENTAL
.1. M$7ERIALS for PDDA/Ag NPs COMPOSITE MD
FILMS
Poly (diallyldimethylammonium chloride, PDDA) solution
*To XiaoYu-qi all correspondence should be addressed.
499
(35wt.% in water) with very low molecular weight
(Mw<100,000) was supplied by Aldrich Chemical Co.. The
following analytical reagents including: silver nitrate, sodium
citrate, and sodium borohydride were provided by Beijing
Chemical Reagent Inc.. Glass and quartz were used as the
substrates. De-ionized water was used in experiments.
1.2. INSTRUMENTS
Absorption spectra were recorded by a Shimadzu 2201 UV
spectroscope. The tribological properties of the films were
investigated by using a Topometrix Explorer 2000 atomic force
microscope (AFM) with standard silicon nitride tips (force
constant of 0.05 N/m) in contact mode. The normal load is hard
to be measured precisely in the test, but it could be measured in
terms of corresponding current intensity as an alternative. The
average radius of nanoparticles was determined by Zetasizer
NanoZS, a laser granularity equipment from Malvern
Instrument Ltd.. The experimental temperature was 25±2ć and
the relative humidity was 20±2%.
1.3. SYNTHESIS of SODIUM CITRATE-PROTECTED
SILVER NANOPARTICLES
The silver nitrate solution of 0.163g  L was mixed
1
uniformly with the sodium citrate solution ( 2.48g  L ). Then a
1
small amount of sodium borohydride solution( 2.55g  L1 ) was
rapidly dropped into this solution in ultrasonic field until the
solution turned into wide red and continued with ultrasonic
stirring for 20min. The colloidal solution which had sodium
citrate-protected silver nanoparticles was centrifuged and
filtered to remove the big particles. After the treatment above,
the solution was obtained in pH 9.0 for molecular
self-assembling.
1.4. PREPARATION of PDDA/Ag NPs COMPOSITE MD
FILMS
All the glass and quartz substrates were hydroxylated using
the method mentioned in ref [8].These settled substrates were
immersed into 3.05g  L1 PDDA solution for 30min, and then
washed by water followed by dried in N2 stream so as to form a
PDDA coating. Afterwards, the PDDA-coated substrates were
immersed into Ag NPs colloid for 1 h followed by washed in
water and dried out in N2 stream to allow the formation of a
PDDA/Ag NPs composite MD film. Thus a monolayer
PDDA/Ag NPs composite MD film was prepared and different
layers from 2 to 4 of the MD films were obtained by repeating
the above steps. The schematic representation of the formation
of the bi-layer PDDA/Ag NPs composite MD film was shown
in Fig.1.
Fig.1 Schematic representation of the bi-layer PDDA/Ag
NPs composite MD film
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
RESULTS AND DISCUSSION
2.1. CHARACTERIZATION of SODIUM CITRATE-
PROTECTED SILVER NANOPARTICLES
The UV spectra of sodium citrate-protected silver
nanoparticles colloidal solution indicated that the surface
plasma absorption of silver nanopartilces was at 399nm (Fig.2).
It was found that the metal surface plasma was a function of the
geometry of the particles [9]. The surface plasma absorption of
silver nanopartilces and the surface morphology of the
PDDA/Ag NPs composite MD film indicated that the particles
were almost spherical. It was founded that the average radius of
these nanoparticles which has 99.72% in volume percent was
1.8nm (Fig.3). The result suggested that sodium citrate was a
good stabilizer for the silver nanoparticles and the particles
were uniform.
0.6
0.5
0.4
Absorbance
0.3
0.2
0.1
0.0
200 300 400 500 600 700
Wavelength / nm
Fig.2 UV-vis spectrum of sodium citrate-protected silver
nanoparticles
Fig.3 The radius distribution of sodium citrate-protected
silver nanoparticles
2.2. STRUCTURE CHARACTERIZATION of PDDA/Ag
NPs COMPOSITE MD FILMS
The formation of the PDDA/Ag NPs composite MD films
was also characterized by UV-vis spectroscopy, as shown in
Fig.4a. The absorption at 407nm was contributed to the plasma
resonance of the silver nanoparticles embedded in the MD film,
though the first layer peak’s shift to 420 nm, which was a little
red shift compared with that of the silver nanoparticles colloidal
solution. It was due to the enlargement of the silver
nanoparticles[10,11] and the changes of the interactions
between the sodium citrate-protected silver nanoparticles and
the polyelectrolyte PDDA [12]. The almost linear relationship
shown in Fig4b indicated a uniform deposition of each layer.
The absorption at 221nm was accounted to the sum absorption
of the pyrrole ring of PDDA and the carboxyl of sodium citrate.
2.3. EFFECTS of LOAD and SCAN RATE on the
TRIBOLOGICAL BEHAVIORS of PDDA/Ag NPs
COMPOSITE MD FILMS
The friction forces of the surface of the substrates modified
with the MD films from 1 layer to 4 layers were almost
proportional to the load whereas that of the clean glass
500
0.12
0.10
$EVRUEDQFH
0.08
0.06
0.04
0.02
0.00
200 300 400 500 600 700 800
:DYHOHQJWKQP
a
0.10
0.09
0.08
$EVRUEDQFH
0.07
0.06
0.05
0.04
1 2 3 4
1XPEHUVRI/D\HU
b
Fig.4 UV-vis absorption spectra of the PDDA/Ag NPs
composite MD films (from bottom to top, the layer number
is successively 1, 2, 3 and 4). Insert: the relationship
between the absorbance of the silver nanoparticles at
407nm and the layer number of the MD films
substrate increased conspicuously with the increase in the load
(as shown in Fig.5a). And the friction force of the films was
smaller than that of the clean glass at the same load. It revealed
that the load-bearing capacity of the substrates was enhanced
and the friction force was reduced when modified with the films,
which might be accounted for the bearing supports of the silver
nanoparticles and the flexible chains in the films. Moreover, the
friction force of the tri-layer film was the smallest in the same
load compared with that of the other films. The friction force of
the substrates might be attributed to the modification of the
films [13], and the surface roughness of the films [14]. The
modification was not good when the number of the film layers
was one or two because the film was not thick enough to cover
the rough surface of the substrate. And when the number of the
film layers was more, the number of silver nanoparticles
increased which would result in the increase of the effects of the
“ratchet effect” that would obviously affect the friction force of
the film [15].
All the substrates deposited with MD film were found with a
lower friction force than the clean substrate at different scan rate
with the normal load of 5nA as shown in Fig.5b. And with the
accent of the scan rate, the increasing amplitude of the friction
force of all the films was apparently less than that of the clean
substrate. It might be concluded that the films decrease the
adhesion force of the substrates. Also, the friction force of the
tri-layer film was the smallest. Surface roughness has a
pronounced influence on adhesion force [16] under the same
environmental conditions. In our experiments, the surface
roughness of the tri-layer MD film was the smallest among the
films. It might be one of the reasons of why the slope of the
friction force of the tri-layer film was the smallest when the scan
rate increased.
 Fabrication and Nano-Tribological Behaviors of PDDA/Ag NPs Composite Molecular Deposition Films

action of the reciprocating shear-force. However, the wear

3.2
3.0 0 mechanism was complicated and needed to be investigated
2.8
1 further.
2
2.6
Friction Force/nA

3
2.4
4
2.2
2.0
1.8
1.6
1.4
1.2
0 5 10 15 20 25 30
Load/nA

(a)
(a)
3.0
2.8 0
2.6 1
Friction Force/nA

2
2.4
3
2.2 4
2.0
1.8
1.6
1.4
0.0 2.5 5.0 7.5 10.0 12.5 15.0
Scan Rate/ m  s 1
(b)
(b)
Fig.5 Friction force vs. load with a sliding velocity of 2500nm/s
(a), Friction force vs. scan rate with a load of 5nA (b), with
scan area of 1000nm×1000nm on different surfaces: 0
hydroxylated glass substrate, 1 monolayer PDDA/Ag NPs
composite MD film, 2 bi-layer PDDA/Ag NPs composite
MD film, 3 tri-layer PDDA/Ag NPs composite MD film, 4
tetra-layer PDDA/Ag NPs composite MD film

2.4. WEAR BEHAVIORS of the PDDA/Ag NPs COMPOSITE

MD FILMS
The worn-surface images of the tetra-layer film after (c)
scanned by the tip under the normal load signal of 30nA and the
1
step-length of 15nm with the scan rate of 2.5m  s were
illustrated in Fig.6. The tip scanning forward and reverse over
the whole scan area oncewas termed one scan cycle. The average
surface roughness of the film before wear was 2.1630nm
(Fig.6(a)) and that of the worn surfaces was 19.5139 (Fig.6(b))
and 32.0126nm (Fig.6(c)) respectively. The PDDA/Ag NPs
Composite MD Films was composed of many small brighter
dots, and these dots corresponded to the modified Ag
nanoparticles and the grey regions were the state of the PDDA (d)
(Fig.6(a)). As shown in Fig.6(a), the nanoparticles were
embedded in the net–work of the chains of the PDDA. Fig.6 AFM images of the fourth-layer PDDA/Ag NPs
After 60 scan cycles, there was some abrasive dust on the composite MD film: (a) the topography of the film before
boundary of the wear mark and some particles in the worn area wear; (b) the worn-surface after 60 scan cycles; (c) the
were apparently bigger than that of the unworn area as shown in image of the film observed during the scanning; (d) the map
the white frame in Fig.6(b). The phenomena were observed of the film peeling off from the substrate under the action of
during the scanning illustrated in Fig.6c and Fig.6(d). With the the shearing force of the tip during the scan
increase of the scan cycles, the fine and compact surface texture
of the MD film deposited on the substrate exhibited some Figure 7 gave the dynamic variation of the friction force and
liquid-like state and became loose under the action of the the wear depth of the fourth-layer PDDA/Ag NPs composite
shearing force of the tip. And the nanoparticles enwrapped in MD film during the scan mentioned above. The wear depth was
the film tended to stake, which resulted in the increase of the the amount of the roughness of the unworn surface minus that of
surface roughness of the film (Fig.6(c)). Moreover, a small part the worn surface. During the scan time, the wear mark appeared
of the film peeling off from the substrate under the action of the when the scan time was 15. The wear depth increased slowly
shear force was observed during the scanning as shown in the before the scan time reached 100 times, and then increased
white frame in Fig.6(d). It might be contributed to the failure of sharply. The friction force increased with the increase of the
the interaction between the film and the substrate under the scan cycles.

501
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

6 [2] L. Shang, Y. Wang, L. Huang, S. Dong, 2007, “Preparation

of DNA-Silver Nanohybrids in Multilayer Nanoreactors by
5 in Situ Electrochemical Reduction, Characterization, and
Application”, Langmuir, 23, pp7738-7744
Friction Force/nA

4 [3]Lu O Y, Malaisamy R, Bruening M L, 2008, “Multilayer

polyelectrolyte films as nanofiltration membranes for
3
separating monovalent and divalent cations”, Journal of
2
Membrane Science, 310, pp76-84
[4] Zhang S W, Wang Q B, Gao M L, 2005, “Characterisation
1 and nano-friction behavior of molecular deposition films”,
0 20 40 60 80 100 120 140 Lubrication, 17, pp164-171
Scan Cycles/times [5]YANG Ling, LUO Yufei, JIA Xinru, HUANG Lan, JI Yan,
(a) WANG Bingbing, WEI Yan, 2004, “Microtribological
Property of Self-assembly Multilayer Films Based on
10 PAMAM Dendrimers, ” Acta Polymerica Sinica, 5,
8 pp.780-784
[6]Cheng Xianhua, Bai Tao, Wu Ju,Wang Liang, 2006,
Wear Depth/nm

6 “Characterization and tribological investigation of

4
2 [7]Guangbin Yang, Zhishen Wu and Pingyu Zhang, 2007,
0
0 20 40 60 80 100 120 140
Scan Cycles/times
(b)
Fig.7 Variation of the friction force (a) and the wear depth (b) of
the fourth-layer PDDA/Ag NPs composite MD film during the
scan cycles
CONCLUSIONS
(1) Silver nanoparticles can be stabilized by sodium citrate,
and uniform PDDA/Ag NPs composite MD films were
prepared.
(2) The effect of load on the friction force of the film was
less than that of scan rate. The load-bearing capacity of the
substrates modified with the films was enhanced. Both the
friction force and adhesive force were reduced.
(3) With the increase of the scan cycles, the fine and
compact surface texture of the MD film deposited on the
substrate exhibited some liquid-like state and became loose
under the action of the shearing force of the tip. The
nanoparticles enwrapped in the film tended to stake, which
resulted in the increase of the surface roughness of the film.
Moreover, under the action of the shear force, a small part of the
film peeling off from the substrate was observed during the
scanning.
ACKNOWLEDGEMENTS
The authors acknowledge the financial supports from the
National Natural Science Foundation of China (Grant No.
50575171), the National Basic Research Program of China
(Grant No. 2007CB607604) and the Open financial fund of the
State Key Laboratory of Tribology of Tsinghua University
(Grant No. SKLT05-02).
REFERENCES
[1] T. Fushimi, A. Oda, H. Ohkita, S. Ito, 2005, “Photocurrent
Generation in Heterostructured Ultrathin Films Fabricated
by Layer-by-Layer Deposition of Polyelectrolytes Bearing
Tris(2,2'-bipyridine)ruthenium(II) and Ferrocene Moieties”,
Langmuir, 21, pp1584-1589
self-assembled lanthanum-based thin films on glass
substrates”, Wear, 260, pp.745-750
“Study on the tribological behaviors of polyelectrolyte
multilayers containing copper hydroxide nanoparticles”,
Tribology Letters, 25, pp.55-60
[8] Wang D G, Gao M L and Zhang S W, 1999, “A study on
micro-friction properties of a molecular deposition film on
silica rock”, Tribology, 19, pp.28-32
[9]T. J. Norman, Jr., C. D. Grant, D. Magana, J. Z. Zhang, J. Liu,
D. Cao, F. Bridges, A. V. Buuren, 2002, “Near Infrared
Optical Absorption of Gold Nanoparticle Aggregates”, J.
Phys. Chem. B, 106, pp. 7005-7012
[10]Jia-Wen Hu, Guo-Bin Han, Bin Ren, Shi-Gang Sun,
Zhong-Qun Tian, 2004, “Theoretical Consideration on
Preparing Silver Particle Films by Adsorbing Nanoparticles
from Bulk Colloids to an Air-Water Interface”, Langmuir,
20, pp.8831-8838
[11]S. Zhao, K. Zhang, J. An, Y. Sun, C. Sun, 2006, “Synthesis
and layer-by-layer self-assembly of silver nanoparticles
capped by mercaptosulfonic acid”, Materials Letters, 60, pp.
1215-1218
[12]Jinhan Cho, Frank Caruso, 2005, “Investigation of the
Interactions between Ligand-Stabilized Gold Nanoparticles
and Polyelectrolyte Multilayer Films”, Chem. Mater., 17,
pp. 4547-4553
[13] De-guo Wang, Si-wei Zhang, Xue-xin Yu, 2006, “Effect of
molecular chain-length on nanotribological behavior of the
polymer molecular deposition films”, Proceedings of the
Third Asia International Conference on Tribology,
Kanazawa, Japan, October 16-19, 2006, p121
[14] S.-w. Zhang, D. Feng, D. Wang, 2005, “Tribological
behaviors of composite molecular deposition films”,
Tribology International, 38, pp.959-965
[15] J. Xu, S. Dai, G. Cheng, X. Jiang, X. Tao, P. Zhang ,Z. Du,
2006, “Structure and frictional properties of
Langmuir-Blodgett films of Cu nanoparticles modified by
dialkyldithiophosphate”, Applied Surface Science, 253,
pp1849-1855
[16] H.-J. Butt, B. Cappella, M. Kappl, 2005, “Force
measurements with the atomic force microscope: Technique,
interpretation and applications”, Surface Science Reports,
59, pp1-152

502
 Frequency Shift of Single Walled Carbon Nanotube under Axial Load
Frequency Shift of Single Walled Carbon Nanotube under Axial Load
Kan Biao / Center of Micro/ Nano Science and
Technology, Jiangsu University, Zhenjiang 212013,
China
Cheng Guanggui / Center of Micro/ Nano Science and
Technology, Jiangsu University, Zhenjiang 212013,
China
Fan Zhen / Center of Micro/ Nano Science and
Technology, Jiangsu University, Zhenjiang 212013,
China
(Extended Abstract)
ABSTRACT
An atomic finite element model based on virtual spring
model for armchair and zigzag single walled carbon nanotubes
is employed to reveal the relation between axial load and
frequency shift. Tersoff-Brenner potential is introduced to
define the interactions between the atoms as well as the
mechanical properties of the springs in the model. The
fundamental frequency shifts of transverse and radial vibration
modes of strained single walled carbon nanotubes are obtained
by applying finite element theory and techniques. It is found
that the fundamental frequencies of the two modes are
typically as high as hundreds of GHz, and they decrease
linearly with the increase of the stretching load, whereas grow
linearly with the increase of the compression load. The
frequency sensitivities of nanotubes with different diameters,
chiralities and lengths are also studied. With the increase of
length and diameter, both the frequency sensitivities for
transverse and radial vibration modes decrease. However,
exception is found in nanotubes with small diameter, and it is
attributed to the small-diameter effect and the affect of
boundary condition.
Keywords: Carbon nanotube, Frequency, Vibration mode, Strain
INTRODUCTION
Carbon nanotube is one of the most promising structures in
nanotechnology. Owing to its high modulus and structural
stability, carbon nanotube based nanooscillators, nanosensors
and nanoactuators with excellent performances can be devised.
Since the mass of a single carbon nanotube is extremely small,
its mechanical resonance frequency is usually very high [1,2].
This property on one side allows carbon nanotubes work as
high frequency resonant parts in nano-electric-mechanical
systems, and on the other side, it indicates high sensitivities of
carbon nanotubes for strains, defects, masses that attach on
them [3] and other physical changes that will affect their
resonance frequencies. Therefore, it is necessary to understand
the frequency shift of nanotubes caused by these factors. In
this paper, we focus on the fundamental resonance frequency
shift of carbon nanotubes caused by axial load.
COMPUTATIONAL TECHNIQUE
An atomic scale finite element model is constructed for
single walled carbon nanotubes, in which all the carbon atoms
are chosen as the nodes, and the atoms are related with each
other by two types of virtual springs (line springs and torsion
springs). The mechanical properties of the springs are
determined by Tersoff-Brenner potential, which is considered
effective in molecular dynamic simulations of a variety of
small hydrocarbon molecules as well as graphite and diamond
*To whom all correspondence should be addressed.
dingjn@jpu.edu.cn
503
Ding Jianning* / Jiangsu Polytechnic University,
Changzhou 213016, China
Wang Xiuqin / Jiangsu Polytechnic University,
Changzhou 213016, China
Ling Zhiyong / Center of Micro/ Nano Science and
Technology, Jiangsu University, Zhenjiang 212013,
China
lattices. To simulate the deformation of nanotubes under strains,
the nanotubes are clamped at both ends, then are compressed
and stretched in their axial directions, respectively. The tensile
and compression deformations of Zigzag and Armchair single
walled carbon nanotubes are simulated and the fundamental
frequency shifts of transverse and radial vibration modes are
obtained by applying finite element theory and techniques.
RESULTS AND DISCUSSION
Figure 1 shows the radial and transverse vibration
frequency shift of (5,5) and (9,0) nanotubes, both of which
have 40 atom layers in axial direction. The radial and
transverse vibration modes are also illustrated (Figure 1(A) and
(B), respectively). The results show the frequencies of single
walled carbon nanotubes keep in well linear relation with the
change of strain. They decline with the increase of the axial
strain whereas grow with the decrease of it. This is in
disagreement with results from Cao [4], however, confirms the
results from Li [5]. Since we use Tersoff-Brenner potential to
approximate the interactions between atoms, we give the
explanation for the results from the view of atomic empirical
potential. The curve of Tersoff-Brenner potential is plotted in
Figure 2. The stiffness of a virtue line spring between two C
atoms is the second order differential to the distance between
them. From Figure 2, it deceases as the distance increases even
after the distance is over the balance value (about 1.42 nm for
C-C bond). This means if we do work to a vibrating nanotube
by pulling it from its two ends, the interaction between C
atoms will become weak, and the work will make the
amplitude rather than the frequency increase. Therefore, the
decrease in frequency of a stretched nanotube is reasonable.
The results also indicate that carbon nanotube will not behave
like a strained guitar string, whose stiffness can be treated as a
constant.
Fig. 1 Frequency shift of strained single walled carbon
nanotubes and illustration of radial (A) and transverse (B)
vibration mode shapes
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Fig. 2 Tersoff-Brenner potential and stiffness of virtual line
spring of C-C bond vs. the C-C distance
A variety of single walled carbon nanotubes with different
diameters, chiralities and lengths are chosen to further
investigate the frequency shifts of strained single walled
carbon nanotubes. Similar relations between frequency and
strain are found. However, the frequency sensitivities of the
nanotubes vary with the diameters, chiralities and lengths.
Here, the frequency sensitivity is defined as the ratio of the
change of frequency to that of strain. Figure 3 show the results.
With the increase of length, both frequency sensitivities of
radial and transverse vibration modes decrease. However, the
sensitivity of radial vibration mode changes little when the
nanotube is over 4 nm. The results indicate the frequency
sensitivity of radial vibration mode should be independent on
the nanotube length as far as the nanotube is long enough.
(A) (B)
(C) (D)
Fig. 3 Frequency sensitivities of two basic modes vs.
diameter and length. (A) and (C), RV (radial vibration) mode;
(B) and (D), TV (transverse vibration) mode. All of the
nanotubes in (C) and (D) have 30 atom layers in axial
direction
With the increase of diameter, the frequency sensitivities of the
two basic modes change differently (Figure 3(C) and (D)). As
to radial mode, it decreases as the diameter enlarges, and it is
attributed to the increase in total mass of the nanotube.
However, as the diameter enlarges, the frequency sensitivity of
transverse mode increases before it drops down. We attribute
this to the small-diameter effect. Since single walled carbon
nanotubes with small diameters are not as mechanically stable
as those with large diameters, they are more sensitive in
504
frequency than the others. In addition, the boundary condition
of nanotubes is another important reason.
CONCLUSION
The deformation of a variety of single walled carbon
nanotubes with different diameters, chiralities and lengths
under axial load are simulated by applying an atomic finite
element model, in which Tersoff-Brenner potential is
employed to describe the interactions between the atoms. The
fundamental frequency shift of transverse and radial vibration
modes are studied by using finite element theory and
techniques. The fundamental frequencies of the two modes
decrease linearly with the increase of the stretching load,
whereas grow linearly with the increase of the compression
load. The change in interactions between the atoms caused by
strain is considered to be responsible for this phenomenon. The
frequency sensitivities of nanotubes are also studied. With the
increase of length and diameter, both the frequency
sensitivities for transverse and radial vibration modes decrease.
However, the frequency sensitivities of transverse vibration
mode of nanotubes with small diameter are higher than those
of nanotubes with large diameter because of the small-diameter
effect and the affect of boundary condition. All the findings in
this paper are believed to be useful to the development of
carbon nanotube-based nano-strain-sensors, as well as
broadening the understanding about nanomechanics.
ACKNOWLEDGEMENTS
This work was supported by the National Science
Foundation(50775101) and the Excellent Young Teachers New
Century Excellent Talents in University (NCET-04-0515)
REFERENCES
[1] H. B. Peng, C.W. Chang, S. Aloni, T. D. Yuzvinsky, and A.
Zettl, 2006, “Ultrahigh Frequency Nanotube Resonators,”
Phys. Rev. Lett., 97, pp.087203.
[2] D. Garcia-Sanchez, A. San Paulo, M. J. Esplandiu, F.
Perez-Murano, L. Forro, A. Aguasca, and A. Bachtold,
2007, “Mechanical Detection of Carbon Nanotube
Resonator Vibrations,” Phys. Rev. Lett., 99, pp.085501.
[3] Philippe Poncharal, Z. L. Wang, Daniel Ugarte, Walt A. de
Heer, 1999, “Electrostatic Deflections and
Electromechanical Resonances of Carbon Nanotubes,”
Science, 283, pp.1513-1516.
[4] Guoxin Cao, Xi Chen and Jeffrey W. Kysar, 2005, “Strain
sensing of carbon nanotubes: Numerical analysis of the
vibrational frequency of deformed single-wall carbon
nanotubes,” Phys. Rev. B, 72, pp.195412.
[5] Chun-Yu Li and Tsu-Wei Chou, 2004, “Strain and pressure
sensing using single-walled carbon nanotubes,”
Nanotechnology, 15, pp.1493-1496.
 Effect of Heat Treatment on the Nano-Tribological Properties of Ionic Liquid Films
Effect of Heat Treatment on the Nano-Tribological Properties of Ionic Liquid Films
Wenjie Zhaoa,b , Deming Huang a,b, Jibing Pu a,b, Mingwu Baia, *
a
State Key Laboratory of Solid Lubrication, Lanzhou Institute of Chemical Physics, Chinese Academy of Sciences,
Lanzhou 730000, China
b
Graduate School of Chinese Academy of Sciences, Beijing 100039, China
Extended Abstract
Room temperature ionic liquids (RTILs) have some
unique characteristics which meet the requirement of industry
as high performance lubricants. In this work, molecularly thin
and well ordered films of 1, 3-dihydroxyethyl-imidazolium
hexafluorophosphate were prepared on silicon substrates.
Thermal stability of the RTILs was evaluated using Mettler
thermal gravity analysis in a nitrogen atmosphere. Chemical
compositions of the films were characterized with a
multi-functional X-ray Photoelectron Spectrometer. The
morphology, nano-friction and nano-adhesion behaviors of
RTILs films with different heat treatment were experimentally
investigated at the nanoscale using Atomic force microscopy
/friction force microscopy (AFM/FFM). Results show that 1,
3-dihydroxyethyl-imidazolium hexafluorophosphate films
exhibited different nano-tribological properties under different
heat treatment. The corresponding friction-reduction and
anti-adhesion mechanism of the tested ultra-thin RTILs films
under the test condition were proposed based on the
experimental observation. The investigation revealed that heat
treatment significantly affected their nano-friction and
adhesion properties of the RTILs films. For the friction at
nanoscale, the ordered arrangement, chemical bonding ratio
and surface energy of the lubricant played significant role.
Keywords: Nano-friction; Adhesion; Ionic liquids; Heat
treament; AFM
1. INTRODUCTION
With the advent of micro/nanostructures and the
subsequent miniaturization of moving components in many
technological devices, such as magnetic storage devices and
micro/nanoelectromechanical systems (MEMS/NEMS),
tribological properties at nanoscale between two sliding solid
surfaces have drawn much attention as they significantly affect
the performance of microdevices. [1,2] The surfaces in
MEMS/ NEMS are generally separated by couple of
nanometers [3,4], accordingly, adhesion, friction and stiction
in nanoscales become critical and can be detrimental to the
efficiency, power output and reliability of MEMS/NEMS
devices [5,6]. An ultra-thin organic film as a boundary
lubricant is important to many modern technologies including
magnetic storage devices and MEMS/NEMS [2,7].
Perfluoropolyethers (PFPEs) have many intrinsic
properties such as very low vapor pressure, good chemical and
thermal stability, low surface tension and high contact angle.
Hence PFPEs have been widely applied in nuclear, precision
instrument, and aerospace industries as lubricating oils. They
have been also commonly used as lubricating films in
MEMS/NEMS and magnetic disk drive industry to reduce the
friction and wear of the interface [8-10]. However, PFPEs are
catalytically degraded by strong nucleophilic agents and strong
electropositive metals, which together with the high cost of
PFPEs, limiting their application of in some fields [11-13] and
providing the motivation for developing new alternatives for
PFPEs.
Room temperature ionic liquids (RTILs) have received
much attention due to their unique chemical and physical
properties, such as negligible vapor pressures, nonflammability,
∗ the surface, it can rotate with the tip sliding direction easily, so
Corresponding author. Tel: +86 931 4968080; Fax: +86 931 8277088.
E-mail address: mwbai@LZB.ac.cn
505
high thermal stability, low melting point, broad liquid range, a
highly solvating capacity, for both polar and nonpolar
compounds. Their strong electrostatic bonding compared to
covalently bonded fluids, leads to very desirable lubrication
properties. Thus they are considered as lubricants for
MEMS/NEMS. So far, only macroscale friction and wear tests
have been conducted on these materials. Ye found that RTILs
can be used as a novel versatile lubricant and exhibited
excellent friction-reduction, anti-wear performance and high
load-carrying capacity [14], Liu and co-workers reported some
tribological properties of RTILs [15-19].
Adhesion and friction properties at the macroscale are
different from the micro/nanoscale [20]. Now the
nano-tribological properties of RTILs applied as ultra-thin film
(about 2 nm) on a polished silicon or DLC surface, which is a
crucial step to understand how these novel materials can
efficiently lubricate MEMS/NEMS devices, are receiving
more and more attention by scientists [21-24]. In our previous
work, we have investigated effect of the anion and cation on
the nano- tribological properties of several kinds of RTILs
nano-films. However, the study of heat treatment in view of
their influence on nano-tribological behavior of RTILs films is
much lacking. In this paper, we prepared 2 nm RTILs films
and systematically studied the effect of heat treatment on their
nano-tribological properties.
2. 2. EXPERIMENTAL SETION
2.1. Materials
2.2. Pretreatment of silicon wafers
2.3. Film preparation
2.4. Characterization of films
2.5.Measurement of Nano-friction and nano-adhesion
characteristics
3. RESULTS AND DISCUSSION
3.1. Thermal behavior IL-OH
3.2. Measurement of RTILs films’ contact angle
3.3. Composition and morphology
3.4. Adhesive force measurements under ambient conditions
3.5. Nano-tribological properties
4. CONCLUSION
In summary, four kinds of films (using the same RTIL but
with different heat treatments) including IL-OH, IL-OH-60,
IL-OH-120, and IL-OH-120-clean were prepared and
characterized successfully; the adhesion, nano-tribological
properties of these films were investigated. There is an
interesting relationship between adhesive force and ultra-pure
water contact angle: higher contact angle, lower adhesive force.
IL-OH-60 films on silicon surface showed excellent
reduction-friction properties. The different friction-reduction
and anti-adhesion performance of the four kinds of films were
dependent on different heat treatment. From the results
obtained from the experiment, it is concluded that RTILs films
with enough heat treatment tended to form densely packed,
highly ordered film, which greatly affected the surface energy
of film; at the same time, the mobile lubricant fraction present
in the partially bonded samples facilitates sliding of the tip on
it shows the best nano-tribological performance.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
ACKNOWLEDGEMENTS
The authors thank the National Natural Science Foundation
of China (NSFC 50675217), National 973 Program
(2007CB607601), and ‘‘100 Talents’’ Program of Chinese
Academy of Sciences for the financial support of this work.
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[7]Choi, J., Morishita, H., Kato, T., 2004, “Frictional
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characterization of molecularly thick lubricant films for
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pp.321-340.
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“Wear durability studies of ultra-thin perfluoropolyether
lubricant on magnetic hard disks,” Tribol. Int, 36, pp.217-225.
[10]Kato, T., Kawaguchi, M., Sajjad, M. M., Choi, J., 2004,
“Friction and durability characteristics of ultrathin
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mobile molecular layers on diamond-like carbon surfaces,”
Wear, 257, pp.909-915.
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lubricants,” J. Synth. Lubr, 6, pp.133-149.
[12]Mori, S., Morales, W., 1989, “Tribological reactions of
perfluoroalkylpolyether oils with stainless steel under ultrahigh
vacuum conditions at room temperature,” Wear, 132,
pp.111-121.
[13]Mivake, S., Wang, M., Ninomiya, S., 2006,
“Nanotribological properties of perfluoropolyether-coated
magnetic disk evaluated by vertical and lateral vibration wear
tests,” Surf. Coat. Technol. 200, pp.6137-6154.
[14]Ye, C.F., Liu, W.M., Chen, Y.X., Yu, L.G., 2001,
“Room-temperature ionic liquids: a novel versatile lubricant,”
Chem. Commun. 21, pp.2244-2245.
[15] Xia, Y.Q., Wang, S.J., Zhou, F., Wang, H.Z., Lin, Y.M.,
Xu, T, 2006, “Tribological properties of plasma nitrided
stainless steel against SAE52100 steel under ionic liquid
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[16] Liu, X.Q., Zhou, F., Liang, Y.M., Liu, W.M., 2006,
“Tribological performance of phosphonium based ionic liquids
for an aluminum-on-steel system and opinions on lubrication
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Perry, S.S., 2000, “The Influence of packing densities and
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self-assembled monolayers (SAMs) on gold: a comparison of
SAMs derived from normal and spiroalkanedithiols,”
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“Nanotribology and MEMS,” Nanotady, 2, pp.22-29.
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(The whole paper will be supplied by the authors if the reader
needs it.)
 Analysis on Wafer Tilt Effects in CMP Process

Analysis on Wafer Tilt Effects in CMP Process

Chao-hui Zhang *, Zi-cheng Wang, Yan Wang

School of Mechanical, Electronic and Control Engineering, Beijing Jiaotong University, Beijing 100044, China

Extended Abstract and the pad is elastic (even though there is usually plastic
A preliminary one-dimensional model taking the wafer tilt deformation in practical CMP process). The deformation of the
into consideration is put forward in an attempt to facilitate the bulk pad substrate is computed with classical semi-infinite
analysis of contact stress and flow features of chemical formula[11].
mechanical polishing (CMP) process, which is mainly based x−s
up ( x ) = cp ∫ ps ( s ) ln
a
on the contact theories and tribology principles. The model ds +
provides an explanation for counter intuitive experimental −a
x0 − s
results, i.e., the existence of negative fluid pressure
(subambient pressure), and predictions of the pad substrate
deformation, contact stress, and fluid pressure, etc. In CMP
cq( ∫ q ( s) ds −∫ q ( s) ds) +
x

−a
a

x
(1)

c ( −∫ q ( s ) ds +∫ q ( s ) ds )
process, contact pressure will result in a divergence area in the 0 a
leading part and a converging area in the trailing part, by q −a 0
which the larger subambient area than the positive one is
formed, due to the minor tilt of the wafer resulted from an
moments due to the fluid pressure. The prediction accords with cq =
(1 − 2v )(1 + v )
, cp =
(
2 1− v
2
)
experiment results very well, which validates the model. 2E πE
Keywords: chemical mechanical polishing, contact stress, where  is the Poisson ratio of the pad, E the elastic modulus of
polishing pad, fluid pressure the pad, a the half-length of the wafer, ps the solid contact
pressure, and q the shear stress, respectively. The slurry flow
INTRODUCTION direction is taken as x direction and the original is set to the
center of the wafer. Parameter x0 is the position on the bulk pad
Chemical mechanical polishing / planarization (CMP) has
substrate with zero deformation in the absence of shear stress.
been an essential technique widely applied for manufacturing
The surface shear stress is assumed to be uniformly distributed
components, such as silicon wafer and hard disks, in modern
over the whole contact surface, which is taken as -q0. It may
integrated circuit (IC) and information technology (IT)
lead to some false prediction on occasion that a real uneven
industry. Due to the complexity mechanism that CMP involves,
normal contact stress will result in uneven shear stress.
its possible future usage is strongly limited[1].
During CMP process, the geometry relation reads,
It is commonly acknowledged that, CMP is a routine of
mechanical removal accelerated by chemical one, which thus x−s
δ + 2cq q0 x − x tan (α ) = −cp ∫ ps ( x ) ln
a

involves complex tribological behaviors [2]. The polishing pad ds (2)

is a key component of CMP technique, and it has important
contributions to both the mechanical and chemical aspects
[3,4]. By and large, a harder pad is conducive to planarity
promotion, while a softer polishing pad will improve global
planarization and formation of defect-free wafer surface[5].
The slurry is another key factor in CMP, which has drawn
broaden concerns [6]. Most commercial slurries contain
Si-based solid particles of nano scale, whose inner motions
make contribution to the final polishing quality so that flow
theories for the fluid with microstructure were adopted to
−a
x0 − s
where¥ is the rigid displacement of the rigid wafer, and α the
tilt angle of the wafer, respectively. This equation is an
integral-differential equation for the unknown function ps(x),
which can be solved by iteration methods.
Assuming the contact is of elastic Hertzian, the fluid film
clearance between the wafer and pad surfaces can be deduced
as eq. (3), with the help of Greenwood-Williamson (GW)
model for rough contact [12].
4E 3 2

( x) = ∫ ( z − h ) ϕ ( z ) dz
∞
model their influences on the flow properties [7]. ps ηR
1 2
(3)
It is of great importance to understand the slurry flow (
3 1− v
2

) h

features and the contact mechanics between the pad and the
where η is the pad asperity density, R the asperity tip radius of
wafer. Levert et al. pointed out that there usually existed a
the pad, h the equivalent slurry clearance (the distance between
negative pressure (suction pressure) region in the system
the wafer surface and the central line of the pad asperities), and
consisted of the wafer, slurry and pad[8]. Tichy et al. put
z the pad asperity height, respectively. Function ϕ(z) is the pad
forward a preliminary one-dimensional model to give an
asperity height distribution function and can be treated as
explanation [9,10], where the tilt of the wafer is neglected in
Gaussian distribution in nature.
their analysis. It is the holy grail of the present paper to give a
The fluid (i.e., the slurry used) is assumed to behave in a
more feasible model to account for the formation of the suction
Newtonian manner. One-dimensional flow equation for the
pressure and the relatively larger area of negative pressure.
incompressible fluid and isotropic roughness reads as follows,
1. MODEL DESCRIPTION d ⎛ 3 dpf ⎞ dh
⎜ φx h ⎟ = 6 μU (4)
For simplicity, only one-dimensional flow is considered in dx ⎝ dx ⎠ dx
this physical model to snatch the essential physics. In CMP where μ is the slurry viscosity, U the velocity, and pf the slurry
process, the wafer will have a displacement downwards, and pressure, respectively, and

( )
undergo a minor tilt under the effect of the moment due to the
h
fluid pressure. In present model, the wafer is treated as rigid φ x = 1 − 0.9 exp −0.56 (5)
s
*To whom all correspondence should be addressed. zhhzhang@bjtu.edu.cn

507
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

where s denotes the root-mean-square (RMS) of the pad
surface roughness.
The mean normal load relation and moment balance
equation are listed as eqs. (6) and (7),
∫ (p
2a
The simulated fluid pressure is shown in Fig. 2. It can be
seen that the pressure of about two thirds of the leading
region is negative (which means a suction pressure area)
and the remaining one third positive, which can be
attributed to the larger diverging leading area over the
+ pf ) dx

s converging trailing one due to the tilt of the rigid wafer. The
−a
= papp (6) computed maximum suction pressure is about -4.5kPa,
2a mean fluid pressure about -1.656kPa, and the maximum

∫ (p + pf ) xdx
2a
s
−a
=0
2a
where papp is the exerted load.
2. SIMULATION RESULTS
Parameters used in computation procedure are adopted as
follows: E = 35 MPa,  = 0.4, a = 0.05m, papp = 8.4kPa, s q0 =
4.2 kPa (which means a typical friction index of 0.5), μ =
0.0015 Pa⋅s, U = 1.0 m/s, s = 6 μm, η = 400/mm2, R = 0.1mm.
The computed mean contact pressure is about 10kPa.
Then we get Ǭ = 60μm, and α = 1.05E-4 rad (The tilt of the
wafer is very small, but it make the contact pressure counteract
with the moment due to the fluid pressure, which contributes
greatly to the analysis procedure). The larger contact stress in
the leading edge is conducive to counteracting with the effect
of the moment resulted from the fluid pressure.
Computed slurry film thickness is plotted in Fig. 1. In
accordance with the contact pressure distribution, an inverse
bowl shape of the film thickness is formed: a divergence
region in the leading part and a convergence region in the
trailing part. Due to the larger contact pressure in the leading
region, the divergence part of the film thickness is larger than
the convergence one. This “net” divergence will consequently
result in a negative summation of the fluid pressure.
60
55
Film thickness / μm
positive fluid pressure about 1.78kPa. The analysis results
(7) are in very good agreement with the experimental outcomes
published in literature[10], which validates the model.
3. SUMMARY
A simple contact model is proposed to account for the
contact pressure and fluid pressure in CMP process. In this
model, the contact stress is obtained from solid contact theory,
and as a result, a diverging region and a converging region will
be respectively formed in leading part and trailing part due to
the bowl-shape contact stress profile. In accordance with the
contact stress profile, the negative fluid pressure (a suction
slurry pressure) will occur in the leading part whilst a positive
one will usually appear in the trailing part. The wafer will
undergo a very small tilt because of the moment exerted by the
slurry pressure, which will be couterbalanced by the shifted
contact pressure. The slurry film thickness is computed with
the help of GW contact theory. The contact stress, slurry film
thickness, and the fluid pressure profile predicted based on the
proposed model, agree well with the experimental results
published in literature. Thus the essential physics of the contact
pressure is captured. The solution can be further coupled into
the mass transport model for material removal prediction.
ACKNOWLEDGEMENTS
This work was supported by National Natural Science
Foundation of China and Beijing Natural Science Foundation.
REFERENCES

50
[1] Xu J., Luo J.B., Lu X.C., et al., 2004, “Progress in material removal
mechanisms of surface polishing with ultra precision,” Chinese Sci.
Bulletin., 49, pp.1687-1693.
45 [2] Borst C.L, Gill W.N, Gutmann R.J., 2002, Chemical-mechanical
polishing of low dielectric constant polymers and organosilicate
glasses: fundamental mechanisms and application to IC interconnect
40
technology, Kluwer Academic Publishers, London.
[3] Hooper B.J., Byrne G., Galligan S., 2002, “Pad conditioning in chemical
35
mechanical polishing,” J. Materials Processing Techn., 123, pp.107-113.
-0.05 -0.03 -0.01 0.01 0.03 0.05 [4] Zhang C.H., Luo J.B., 2007, “Contribution of porous pad to chemical
Location x / m mechanical polishing,” Solid State Phenomena, 121-123, pp.1133-1137.
[5] Li W.D., Shin D.W., Tomozawa M., Murarka S.P., 1995, “The effect of
Fig. 1 Simulated film thickness the polishing pad treatments on the chemical-mechanical polishing of
SiO2 films,” Thin Solid Films, 270, pp. 601-606.
[6] Nanz G., Camilletti L.E., 1995, “Modeling of chemical-mechanical
2 polishing: a review,” IEEE Trans. Semicon. Manuf., 8, pp. 382-389.
[7] Zhang C.H., Luo J.B., Wen S.Z., 2005, “Effects of nano-scale particles
1
in chemical mechanical polishing process,” Acta Physica Sinica, 54,
pp.2123-2127 (in Chinese).
Fluid pressure / kPa

0
[8] Levert J.A., Mess F.M., Salant R.F., 1998, “Mechanisms of
-1 chemical-mechanical polishing of SiO2 dielectric on integrated
circuits,” Tribol. Trans., 41, pp.593-599.
-2 [9] Tichy J., Levert J.A., Shan L., Danyluk S., 1999, “Contact mechanics
and lubrication hydrodynamics of chemical mechanical polishing,” J.
-3 Electrochem. Soc., 146, pp.1523-1528.
[10] Shan L, Levert J., Meade L., Tichy J., Danyluk S., 2000, “Interfacial
-4
fluid mechanics and pressure prediction in chemical mechanical
-5
polishing,” ASME, J. Tribol., 122, pp.539-543.
-0.05 -0.03 -0.01 0.01 0.03 0.05 [11] Johnson K.L., 1985, Contact mechanics. Cambridge University Press,
Location x / m Cambridge, U.K.
[12] Greenwood J.A., Williamson J.B.P., 1966, “Contact of nominally flat
Fig. 2 Simulated fluid pressure rough surfaces,” Proc. R. Soc. London Ser. A., 295, pp. 300-319.

508
 Size Effects on Friction of C3602 in Cylinder Compression
Size Effects on Friction of C3602 in Cylinder Compression
Bin Guo/School of Materials Science and Engineering,
Harbin institute of Technology, Harbin150001, China
Chunju Wang/School of Materials Science and
Engineering, Harbin institute of Technology,
Harbin150001, China
Extended Abstract
Micro parts are more difficult to be formed than the macro
parts because of the flow stress and friction size effects.
Friction size effects were studied in this paper. Cylinder
compressions have been carried out with the lubricants of talc
powder, vaseline, vegetable oil and without lubricant. The
specimen material was copper alloy C3602 which was
thermally treated at 350ć, 450ć, 550ć and 650ć for 1 hour
in nitrogen atmosphere, respectively. The specimens were
manufactured in a instrument lathe and the initial diameters of
the specimen were 6mm, 4mm, 2mm and 1mm with a ratio of
height to diameter h0/D0 =1.5. The experiments were
performed at room temperature on a universal testing machine
Instron 5569 with a strain rate ε =0.0025/sec. The results
showed that the friction size effects occurred obviously in the
case of lubrication with vegetable oil with the miniaturization
of the specimen. The friction factor increase distinctly with
decreasing the specimen size. But the friction size effects did
not found in the case of other lubrication. This phenomenon
can be explained by a mechanical-rheological model ‘Open
and closed lubricant pockets’.
Keywords: Microforming, Size effects, Friction Factor,
Cylinder compression, Copper alloy C3602
INTRODUCTION
The rapid development of electronic industry and precision
machinery promoted the development of microforming [1].
But micro parts are more difficult to be formed than macro
parts because of flow stress size effects and tribology size
effects. Flow stress size effects, especially the flow stress size
effects on sheet metal have been widely studied and well
understood. But for tribology size effects, the research is
limited [2].
Some esearchers studied tribology size effects by extrusion
and deep drawing experiments scaled down according to
similarity theory [3-5]. Compared to other metal forming
process, cylinder compression is a simple and effective method
to determine the friction factor in macro forming. Scaled down
cylinder compression were carried out in this paper to study
the tribology size effects in microforming.
EXPERIMENTAL
Copper alloy C3602 rods with a diameter of 9mm were
used in the cylinder compression experiment. To get the same
material composition and microstructure, the materials were
first annealed at 350ć, 450ć, 550ć and 650ć for 1 hour in
nitrogen atmosphere and then turned in an instrument lathe.
Grain images were captured by a scanning electronic
microscope, as shown in Figure 1. It is clear that the grain sizes
increase with the annealed temperature. Geometrically similar
specimens of an initial diameter of 6mm, 4mm, 2mm and 1mm
with a ratio of height to diameter h0/D0 =1.5 were used for
studying the tribology size effects in cylinder compression.
*Corresponding author. E-mail: gongfeng186@163.com
509
Feng Gong*/School of Materials Science and
Engineering, Harbin institute of Technology,
Harbin150001, China
Debin Shan/School of Materials Science and
Engineering, Harbin institute of Technology,
Harbin150001, China
Fig. 1 Grain images of specimens after annealing
The cylinder compression experiment was carried out at
room temperature in a universal testing machine Instron 5569
with a strain rate ε =0.0025/s. The compression ratio is 50%.
In order to study the influence of the lubricants to the tribology
size effects, a number of lubricants including talc powder,
vaseline, vegetable oil and without lubricant were used.
RESULTS AND DISCUSSION
The friction factor can be calculated by the following
equation based on the upper bound theorem [6].
( R / H )b
m= (1)
(4 / 3 ) − (2b / 3 3 )
Where R is the average radius of cylinder after deformation,
H is height of cylinder after deformation, and b is the barrel
parameter. The computed friction factors of specimens
annealed at different temperature with various lubricants can
be seen form figure 2.
It is clear from figure 2 that with miniaturization, the
friction factors have the trend to increase for the specimens
annealed at different temperature in the case of lubrication
with vegetable oil. Take the specimens annealed at 450ć for
example. The friction factors are 0.11333, 0.09576, 0.14116
and 0.31152 for 6mm, 4mm, 2mm and 1mm specimen. The
friction factors distinctly increased with miniaturization.
Except the lubrication with vegetable oil, the friction
factors did not seem to change so much. Also take the
specimens annealed at 450ć for example. The friction factors
are 0.31957, 0.24727, 0.29466 and 0.25167 for talc powder,
0.21895, 0.26403, 0.26454 and 0.23502 for without lubricant,
0.14669, 0.13044, 0.17439 and 0.1133 for vaseline.
The friction factor size effects can be explained by the
mechanical-rheological model ‘Open and closed lubricant
pockets’ [7] (Figure 3). When a forming load applied to the
surface of the lubricated workpiece, the asperities start to
generate plasticity deformation, thus the pressure of the
lubricant increased, which will result in the lubricant trapped in
the asperities or overflow. Open lubricant pockets which have
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

a connection to the edge of the surface cannot keep the 0.35

lubricant. With the increase of the normal pressure, the

0.30
lubricant escapes and can not able to transmit the forming load.
The forming load can only apply on the asperities which 0.25

results in a higher contact stress, a higher fraction of real

Friction factor
0.20
contact area and higher friction. On the contrary, closed
lubricant pockets do not have a connection to the edge of the 0.15
surface. The lubricant gets trapped in those pockets and
transmits part of the forming loads during forming, thus 0.10
talc powder
reducing the normal pressure on the asperities which result in a without lubrication
0.05
lower contact stress, a lower fraction of real contact area and vaseline
vegetable oil
lower friction. 0.00
1 2 3 4 5 6
Because the width of the open lubricant pockets is constant,
Diameter(mm)
with miniaturization, the fraction of the open lubricant pockets
increases, which results in higher friction. Because the (d) 650ć
lubricant is difficult to flow from the surface or there is no Fig. 2 Friction factors of specimens annealed at different
lubricant, the ratio of open lubricant pockets don not affect the temperature under different lubricant
friction condition, thus the friction factor size effects have not
found in the in the case of lubrication with talc powder,
vaseline and without lubricant.

0.35

0.30

0.25
Friction factor

0.20
Fig. 3 Open and closed lubricant pockets model
0.15
CONCLUSIONS
0.10
talc powder According to the scaled down cylinder compression
0.05
without lubrication experiment, the following results can be concluded:
vaseline
vegetable oil 1. Cylinder compression is a simple method to determine the
0.00
1 2 3 4 5 6
friction factor and it is also suitable for microforming.
Diameter(mm) 2. Tribology size effects occurred in the lubrication with
vegetable oil, but did not find in other lubrication.
(a) 350ć
0.35 ACKNOWLEDGEMENTS
0.30
The authors gratefully acknowledge the financial support
of the National High-Tech Research and Development
0.25 Program (2006AA04Z316) and Heilongjiang Natural Science
Funds for Distinguished Young Scholar (JC-05-11).
Friction factor

0.20

0.15
REFERENCES
[1] Geiger, M., Kleiner, M., Eckstein, R. et al., 2001,
0.10
talc powder “Microforming,”Annals of the CIRP, 52, pp.445-462.
0.05
without lubrication [2] Engel, U., 2006, “Tribology in microforming,” Wear, 260,
vaseline
vegetable oil pp.265-273.
0.00
1 2 3 4 5 6
[3] Tiesler, N., Engel, U., Geiger, M., 1999, “Forming of
Diameter(mm) microparts-effects of miniaturization on friction,”
(b) 450ć Proceedings of the 6th ICTP, Nuremberg, pp.889-894.
[4] Krishnan, N., Cao, J., Dohda, K., 2007, “Study of the size
0.35
effects on friction conditions in microextrusion-part 1:
0.30
microextrusion experiments and analysis,” Journal of
Manufacturing Science and Engineering, 129, pp.669-676.
0.25 [5] Hu, Z., Vollertsen, F., 2006, “Tribology size effects in sheet
metal forming measured by a strip drawing test,” Annals of
Friction factor

0.20
the CIRP, 55, pp.291-294.
0.15 [6] Ebrahimi, R., Najafizadeh, A., 2004, “A new method for
evaluation of friction in bulk metal forming,” Journal of
0.10
talc powder
Materials Processing Technology, 152, pp.136-143.
0.05
without lubrication [7] Sobis, T., Engel, U., Geiger, M., 1992, “A theoretical study
vaseline of wear simulation in metal forming process,” Journal of
vegetable oil
0.00
1 2 3 4 5 6
Materials Processing Technology, 34, pp.233-240.
Diameter(mm) (The whole paper will be supplied by the authors if the reader
(c) 550ć needs it.)

510
 Investigation on the Tribological Characteristics of Nano/Micro Solid Anti-Wear Additives in Engine Lubricants

Investigation on the Tribological Characteristics of Nano/Micro Solid Anti-Wear

Additives in Engine Lubricants

Zhang KejinˈWang DanˈPan YanchunˈLu YunˈHan Zhiyong

China FAW Group Corporation R&D Center (No 3013 Heping Street Changchun City)

ABSTRACT are different anti-wear additives blended in 15W-40 CF-4

We have investigated the friction and wear properties of 4 engine oil.
types nano/micro solid anti-wear additives including 0.2wt%
graphite (less than 100 nm in diameter), 0.5wt% graphite˄less Table 1 Test Conditions of Cylinder-Piston Ring against Plate
than 10m in diameter˅, 0.5wt% MoS2 (less than 10m in Topic Parameter of Parameter of
diameter) and 0.5wt% nanometer Cu (less than 100nm in running in formal test
diameter), which are all blended in 15W-40 CF-4 engine oil. Test time/min 5 120
15W-40 CF-4 engine oil is tested as reference oil for Temperature /ć 180 180
comparison. The friction and wear properties are evaluated by Average 0.24 0.24
the variation in the friction coefficients with a multi-function Velocity/(m/s)
wear tester. We have also investigated the rubbing surface using Frequency /Hz 15 15
scanning electron microscopy (SEM) and energy dispersive Stroke/m 8 8
X-ray (EDX). The wearing volume is calculated from the shape Load /N 2×9.8 10×9.8
of wearing surface detected by microroughness meter. As a lubricant/ml 0.15 0.15
result, the influences of different kinds of anti-wear additives Plate CrNiMoCu CrNiMoCu
and sizes of anti-wear particles on anti-wear properties and load Piston Ring Cr Film Cr Film
carrying capacities are determined.
Keywords: Tribology, Nano/micro additives, Anti-wear Table 2 Description of samples
Stability /At
Anti-wear additives an ambient
temperature
1. INTRODUCTION Sample 1 üü üü
Recently, many researches have been carried out on the Sample 2 0.2%wt graphite (less Steady in
anti-wear additives, such as Mo compound additives and Cu than 100 nm in diameter) 100days
compound additives [1,2]. In this paper, the friction coefficient, Sample 3 0.5wt% graphite˄about Layered
EDX, SEM and wear volume are used to evaluate the 10m in diameter˅ after 2 hours
characteristics of 4 types different anti-wear additives. Sample 4 0.5wt% MoS2 (about Layered
10m in diameter) after 2 hours
2. BRIEF DESCRIPTON OF TESTS AND SAMPLES Sample 5 0.5wt% nanometer Cu Layered
The rubbing surface is analyzed by SEM and EDX. And (less than 100nm in diameter) after 2 hours
the surface is gained by the multi-function wear tester.
3. EXPERIMENTS AND RESULTS
In the following section, we compared the tested samples
in terms of friction coefficient obtained by multi-function wear
tester, wear volume measured by microroughness meter and
the surface status analyzed by SEM.

3.1 RESULTS OF MULTI-FUNCTION WEAR TESTS

The relationship between Fig.2, 3, 4, 5 and Fig.6 describe
how friction coefficient varies with time for 5 samples.

Fig.1 Schematic Diagram of Multi-Function Wear Tester

The multi-function wear tester, as shown in Fig.1, is used in
the tests. Generally speaking, this test is more effective and
economical than the bench test. And the parameters such as
load, velocity, temperature and testing time, as shown in table
1, are input and controlled by computer. There are two steps in
each experiment: 5 minute running-in and the test. The plate is
cleaned using acetone at room temperature. Table2 gives the
components and status details of 5 samples. Sample 1 is
15W-40 CF-4 engine oil, as reference oil. The rest 4 samples 
Corresponding author e-mail: wangdan@rdc.faw.com.cn Fig.2 Friction Coefficient Curve of Sample1

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

high values, while the friction coefficient of sample 2 drops

sharply from 0.13 to 0.03 in 200 seconds and then keeps a
constant. The friction coefficient of sample 5 fluctuates with
time and always keeps a high level. So it can be concluded that
the anti-wear characteristic property of sample2 is better than
others.

3.2 RESULT OF EDX

The EDX curves results of 5 samples are shown in
Fig.7~Fig.11.


Fig.3 Friction Coefficient Curve of Sample2


Fig.7 EDX Curve of Sample1

Fig.4 Friction Coefficient Curve of Sample3

 
Fig.5 Friction Coefficient Curve of Sample4 Fig.8 EDX Curve of Sample2


Fig.6 Friction Coefficient Curve of Sample5 Fig.9 EDX Curve of Sample3

Generally, at the beginning, friction coefficients of 5 As shown in Fig.7, a protective film on the plate with
samples is about 0.14~0.15. After the running-in, the friction active SǃPǃCaǃZn is formed by sample 1, while the protective
coefficients of sample 3ǃ4 and 5 always almost keep remain at film formed by sample 2 consists of not only active SǃPǃCaǃ

512
 Investigation on the Tribological Characteristics of Nano/Micro Solid Anti-Wear Additives in Engine Lubricants

was added into the lubricant reference oil. As shown in Fig.11,

the peak of Cu is so weak that Cu did not formed a stable
protective film on plot, just the same as which might explain
the friction coefficient curves shown in Fig.6. Nanometer Cu
added into the lubricant has no robust positive effect on
friction and wear.
From the discussion results of friction coefficient curves
and EDX tests presented above, sample 2 shows the best
anti-wear and friction properties.

3.3 WEAR VOLUME MEASUREMENT

In this section, wear scar volume is measured to evaluate
the characteristics of wear. The shape of wear scar obtained by
 vertical cut surface was measured by microroughness meter,
Fig.10 EDX Curve of Sample4 which is shown in Fig.12. In the first place, the area of closed
curve shown in Fig.12 is calculated in order to know the wear
scar volume.

Fig. 12 Data Collection of Wear Scar Surface


Fig.11 EDX Curve of Sample5 The method is as following:
Firstly, take the closed curve in paper (the area is S1) as the
Zn elements but also element C. The protective film is almost measurement area, and then quantify it as Q1. Secondly, cut a
totally tightly covered with graphite, and the peak of element square in the same paper supposed the area is S2, and then
Fe is much shorter than that of element C as which is shown in quantify it as Q2.
Fig.8. As well known, there is a complex adsorption S1= S2hQ1/ Q2
competition between graphite with less than 100 nm in The wear length is 8mm, so the wear volume is:
diameter and polar lubricant additives. At last, in a short V=8 S2hQ1/ Q2
competitive time, nanometer graphite has a stronger adsorption We know the length of square by meter and the number of
than polar lubricant additive and thus covers the surface tightly. Q1, Q2 by the balance, so we calculate the volume of wear scar
So nano-graphite has more contribution to the formation of listed in table3.
anti-wear film than the other lubricant additives. As a result,
nanometer graphite has perfect anti-wear characteristics. Table 3 The Wear Volume of 5 Samples
Fig.9 shows the protective film formed by sample 3 with
active SǃPǃCaǃZn elements and micro graphite from lubricant Wear
Anti-wear additives
additives. But the micro graphite covered on the sample is not Volume/mm3
as tight as that on sample2 as shown in Fig.8, because the peak Sample 1 üü 2.20
of ferrous is higher than that of carbon. The size of 0.5wt% 0.2%wt graphite (less than 100
Sample 2 1.25
graphite added is less than 10­m in diameter, which is much nm in diameter)
bigger than the thickness of film about 3~5­m. Compared 0.5wt% graphite˄about 10m
Sample 3 1.47
with Fig.9, therefore we can draw a conclusion that the in diameter˅
graphite with bigger size is hard to form a stable protective 0.5wt% MoS2 (about 10m in
Sample 4 2.24
film and smaller size of graphite provides a rolling friction diameter)
benefits which condition so as to decrease wear and friction. 0.5wt% nanometer Cu (less
Sample 5 1.43
As shown in Fig.10, the peak of Mo element is low and than 100nm in diameter)
there is no tight MoS2 film formed on plate, while active SǃPǃ
CaǃZn elements from the lubricant additives do. As we have From the data listed in Table3ˈcomparing with sample1,
known, MoS2 has a better stronger polarity than that of we found that the wear volume of sample 2 decreases 43%.
graphite, and so it is easy for MoS2 to adsorb on the surface, And the wear volume of sample 3 decreases 33%. The wear
The reason is that MoS2 is hard to form a stable protective film volume of sample 5 decreases 35%. But the wear volume of
like as stable as the one formed by sample 2. It is very popular sample 4 increases a little compared with the blank lubricant
to study the effect of nanometer Cu [3] on the friction and wear. 15W/40 CF-4. So MoS2 has a worst impact on anti-wear
In this test, 0.5wt% nanometer Cu less than 100nm in diameter characteristics.

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

3.4 RESULT OF SEM The effects of the tests on samples surface are shown in
Fig.13 by using SEM technique. The blank one is the plate
before test. From the pictures above, it is hard to say, the
sample 2 is better than any other else.

4 CONCLUSION
Some results are found the conclusions can be drawn from
the experiments we have done. That is:
The size of graphite has a remarkable influence on the
characteristics of wear and friction. Graphite in big size is hard
to form a stable protective film. Only when the size of
anti-wear additives is smaller than the thickness of lubricant
film, are the good properties of wear and friction presented.
(a)Blank (b) Sample 1
REFERENCES
[1] Gupta Bhushan.K, 1994, “Fullerene particles as an additive
to liquid lubricants and greases for low friction and wear,”
Lubrication Engineering, 50, 07, pp.524-528.
[2] Xu TˈZhao J Z, Xu K, Xue Q, 1997, “Study on the
tribological properties of ultra-dispered diamond
containing soot as an oil Additive,” Tribology Transaction,
40(1), pp.178-182.
[3] S.F.Moustafa, S.A.EI-Badry, A.M.Sanad and B.Kieback.
2002,ĀFriction and wear of copper-graphite composites
made with Cu-coated and uncoated graphite powdersā,
Wear, 253,pp. 699-710.
(c)Sample 2 (d) Sample 3

(e) Sample 4 (f) Sample 5

Fig.13 SEM Pictures

514
 The Influence of Carbon Nanotubes on the Tribological Behavior and Wear Resistance of a Polyamide Nanocomposite

The Influence of Carbon Nanotubes on the Tribological Behavior and Wear

Resistance of a Polyamide Nanocomposite

Extended Abstract

515
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Experimental Investigation of the Frictional Behaviors at Particle-Surface Interfaces

in CMP Application Using an Atomic Force Microscope

In-Ha Sung*, Hung-Gu Han#, Hosung Kong#

*Dept. of Mechanical Engineering, Hannam University, 133 Ojeong-dong, Daedeok-gu, Daejeon 306-791, Korea
#
Energy Mechanics Research Center, Korea Institute of Science and Technology, 39-1 Hawolkok-dong, Wolsong- gil 5,
Seoul 136-791, Korea
(Extended Abstract)

ABSTRACT home-built micro-manipulator. Fig. 1 presents scanning

In order to obtain a fundamental understanding of the electron microscope (SEM) image of a colloidal probe.
tribological characteristics at chemical-mechanical polishing
(CMP) process for wafer planarization, an experimental
investigation of the frictional behavior between nano/micro-
scale tips and various surfaces were performed using atomic
force microscope (AFM) cantilevers with different stiffnesses
and tips. In this paper, frictional behaviors according to
load/pressure and materials were obtained by using various
semiconductor material surfaces. Contact stiffnesses were
observed in various tip-surface contact situations. Based on the
experimental results, the relationship between the frictional
behaviors observed, contact stiffness, and particle-surface
material was carefully investigated.
Keywords: Atomic Force Microscope(AFM), Colloidal Probe, G
Chemical Mechanical Polishing(CMP), Friction Fig. 1 A colloidal probe with a silica sphere of 5 μm diameter

INTRODUCTION Lateral force calibration and the measurements of normal

Chemical-mechanical polishing (CMP) takes place where and lateral stiffnesses of the cantilevers were performed using
the surface of the wafer to be polished is pressed and forced the established methods[2-6]. As for rectangular cantilevers,
against a polishing pad. The polishing pad is covered with a the stiffnesses of the cantilevers were obtained using the
liquid slurry which contains abrasive particles. The wafer is methods developed by Sader et al.[2,3], in which the normal
moved relative to the slurry-covered pad, and the rate at which and torsional stiffnesses could be determined by measuring the
material is removed from the wafer is often described by the normal and torsional resonant frequencies of the cantilevers in
heuristic equation called Preston’s law[1]. Strong interest in ambient air. Also, the geometrical dimensions of a cantilever
this research arises from the fact that the mechanical properties for the stiffness calculation, i.e., length, width and tip height,
of nano-sized particles used in CMP process such as hardness were measured using SEM or optical microscope. Friction
and elastic modulus as well as frictional characteristics at the force was calibrated using the wedge calibration method
contact interface between slurry particle and polished surface proposed by Ogletree et al[6].
are still unknown. The primary objective of this research is to
determine how the tribological properties at the particle- RESULTS & DISCUSSIONS
surface interface during CMP process depend on the Table 1 shows the calibrated data such as normal stiffness
mechanical and material properties of the system. and sensitivity of some probes used in the experiments.
For the purpose of this work, experiments on atomic force
microscope (AFM) are performed to obtain frictional
Table 1 Calibrated data of some silicon probes
behaviors and friction maps according to load/pressure and
various semiconductor material surfaces such as copper, Normal Normal Lateral Lateral
pull-off
aluminum, poly-silicon and P-TEOS that are currently used in stiffness sensitivity stiffness sensitivity
(nN)
real CMP process. To get the particle-surface contact interface, (N/m) (nm/V) (N/m) (non-dim.)
the colloidal probes that have micro/nano-particles of silica or 0.101 146.1 16.97 8.626 11.2
ceria attached in place of the tip are used in the experiments.
0.112 144.6 12.96 4.134 5.34
EXPERIMENTAL DETAILS
0.234 109.7 15.4 8.575 9.8
A commercial AFM (Nanoscope III, Digital Instruments
Co.) was used for this study. All of the experiments were 0.22 161.7 28.46 13.364 11.46
performed under ambient atmosphere at room temperature and
the humidity level of 35~50% RH. Using the probes, the frictional force was observed at the
As for the cantilever, two different types of cantilevers, probe-copper sliding contact according to the applied normal
which have bare (uncoated) tips and colloidal particles load. Fig. 2 illustrates the relationship between the frictional
attached in place of the tip were used. Each of these cantilevers force and the applied normal load was obtained at the
has different dimensions and thus, different normal and lateral probe-copper sliding contact. The result shows that significant
stiffnesses. As for the colloidal probe, silica microspheres were variation in the frictional force doesn’t occur even under
each attached. The colloidal probes were made using a relatively high normal load due to low contact stiffness
*To whom all correspondence should be addressed. between the probe and the surface.

516
Experimental Investigation of the Frictional Behaviors at Particle-Surface Interfaces in CMP Application Using an Atomic Force Microscope

ACKNOWLEDGEMENTS
This work was supported by the Korea Research
Foundation Grant funded by the Korean Government
(MOEHRD) (KRF-2007-331-D00036).

REFERENCES
[1] Oliver, M. R.(Ed.), Chemical-Mechanical Planarization of
Semiconductor Materials, Springer-Verlag, Berlin.
[2] Sader, J. E., Chon, J. W. M., Mulvaney, P., 1999,
“Calibration of rectangular atomic force microscope
cantilevers,” Rev. Sci. Instrum., 70, pp.3967-3969.
[3] Green, C. P. et al., 1995, “Normal and torsional spring
constants of atomic force microscope cantilevers,” Rev. Sci.
Instrum., 75, pp.1988-1996.
[4] Sader, J. E., 1995, “Parallel beam approximation for
V-shaped atomic force microscope cantilevers,” Rev. Sci.
Instrum., 66, pp.4583-4587.
[5] Cleveland, J. P., Manne, S., Bocek, D., Hansma, P. K., 1994,
“A nondestructive method for determining the spring
constant of cantilevers for scanning force microscopy,” Rev.
Sci. Instrum., 64, pp.403-405.
[6] Ogletree, D. F., Carpick, R. W., Salmeron, M., 1996,
“Calibration of frictional forces in atomic force
microscopy,” Rev. Sci. Instrum., 67, pp.3298-3306.

(The whole paper will be supplied by the authors if the reader

needs it.)

Fig. 2 Relationship between friction and applied load

(probe : top - Si cantilever, bottom - colloidal probe)

517
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Finite Element Simulation and Analysis of Nano-Scale Adhesive Contacts

Liu Yuan, Zhang Xiangjun*

State Key Laboratory of Tribology, Tsinghua University, Beijing, 100084
(Extended Abstract)

ABSTRACT process of adhesive contact is studied with the hope to control

A finite element method for analysis of adhesive contact is the adhesive contact behaviors through surface modification
developed to model adhesive contact of an elastic hemisphere in nano-scale.
with a rigid plane, in which the adhesive pressure is derived
from the interatomic interaction Lennard-Jones 12-6 potential. FE MODEL OF ADHESIVE CONTACT
Contact forces during retraction and the pull-off force are MODELING OF ADHESIVE FORCE
analyzed and compared with the analytical results of JKR and
DMT models. Adhesive contact models with different 25
geometrical shape in the contact zone are also set up. It has
been revealed that pull-off force increases while pull-off 20
distance decreases when the contact zone is patterned by hole. 15

p (GPa)
The method of equivalent radius only applies for Hertz contact
10
and does not apply for adhesive contact. Higher pull-off
strength is get from smaller radius of contact tip, as predicted 5
by experiment. Also, the tip geometry plays an important role 0
in pull-off strength. It is anticipated that this numerical method
-5
can be applied in surface profile design for MEMS to reduce
adhesion and tip design for the sticky feet in bionics to increase 0.2 0.4 0.6 0.8 1.0
adhesion. h (nm)
Keywords: Nano-scale, Adhesive contact, FEA, MEMS, Fig.1 Dependence of the interaction pressure of two half-spaces
Sticky feet on the vertical separation between corresponding surface points
INTRODUCTION
Adhesive force has great influence on the performance of
components which range in micro or nano scale because its
significance in comparison with gravitational force increases
with reduction in body size and contact load[1]. It is essential
to have tribological design to reduce adhesion during the
development of MEMS (Micro Electromechanical Systems) [2],
and to maximize adhesion during the design of the sticky feet
in bionics[3].
The approach and separation of a sphere and a plane
represents a fundamental contact problem. A theory for elastic
deformation of smooth surfaces under external load was
derived by Hertz in 1881[4], describing the relationship
between deformation and externally applied load. The first Fig.2 FE model of adhesive contact
adhesive contact model is the widely accepted JKR model by
Johnson et al. [5] The JKR model is an analytical model, which COMPARISON WITH ANALYTICAL CONTACT
is followed by other adhesive models, most prominently the MODELS
DMT model by Derjaguin et al. [6] and M-D model[7] which
gains JKR-DMT transition. The JKR model is suitable for large
compliant spheres with strong adhesion, whereas the DMT P
model is suitable for small hard spheres with weak adhesion. [1]
3 Hertz
All these elastic continuum adhesive contact models have been JKR
recognized to be useful because pull-off force, contact force DMT
2
and contact area can be estimate, but they are restrictively used FEA(approach)
in designing surface topography to control adhesion. 1 FEA(separation)
The current contact model is limited in the study of contact
behaviors in nano-scale. In this regard the finite element 0 
method (FEM) can be a powerful tool if the influence of -2 -1 0 1
adhesion force is included in the finite element (FM) model. In -1
the paper, a technique of finite element method is applied to
simulate the adhesive contact in nano-scale based on the -2
surface force law described by Lennard-Jones 12-6 potential.
Analysis results of the FE model are compared with those of
the classical analytical results. FEM has no restriction to Fig.3 Load-displacement curves for the Hertz, JKR, DMT and
geometrical shape, so the effect of contact geometry on the FE models
* E-mail: xjzhang@mail.tsinghua.edu.cn
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 Finite Element Simulation and Analysis of Nano-Scale Adhesive Contacts

EFFECT OF CONTACT GEOMETRY ON THE

ADHESIVE CONTACT BEHAVIORS 0.40 Spherical (a)
Surface topography design is an efficient way to control the Flat punch (b)
influence of adhesive forces, while JKR, DMT and M-D 0.35 Mushroom (c)

f nN/mm2
models are restricted used in surface topography design. In this 0.30
regard the finite element method is a good choice for surface
topography design. Based on the proposed FE adhesive contact 0.25
model, FE models with different contact geometry are 0.20
developed to model adhesive contact, where the surface
interaction is also derived from the interatomic interaction 0.15
Lennard-Jones 12-6 potential. 8 10 12 14 16
R (nm)

EFFECT OF SURFACE PATTERN ON THE CONTACT Fig.6 A comparison of simulated pull-off strength
BEHAVIORS
300 P(nN)

f  P / A0 versus tip radius between three different kinds of
250 plane contact tip: (a) Spherical, (b) Flat punch, (c) Mushroom
hole (a)
200
hole (b) ACKNOWLEDGEMENT
150 The authors would like to thank the NSFC for their
hole (c)
financial support under grant numbers of 50575123 and
100 hole (d) 50730007, as well as the financial support from the National
50 Basic Research Program of China (973 Program) under grant
QP  number of 2003CB716205.
0
-0.08 -0.06 -0.04 -0.02 0.00 0.02 0.04 0.06 0.08
-50 REFERENCES
-100
[1] Sung-San Cho, Seungho Park. Finite element
modeling of adhesive contact using molecular
-150 potential. Tribology International. 2004, 37:763-769.
Fig.4 The load-displacement curves with different size of the [2] Patton S T, Cowan W D, Zabinski J S. Performance
hole patterned in the contact zone compared to that without and Reliability of a New MEMS Electrostatic Lateral
surface pattern, d is the diameter of the hole. (a) d  2 nm , Output Motor. IEEE International Reliability Physics
(b) d  3nm , (c) d  4nm , (d) d  5 nm Proceedings, San Diego, CA.. 1999, 179-188.
P(nN) P(nN)
[3] Autumn K, Liang Y, Hsieh T. Adhesive force of a
600 80 single gecko foot hair, Nature. 2000, 405:681-685.
R=10 (a) R=10 (a)
500 [4] Johnson KL. Contact Mechanics.
R=11 (b) 40 R=11 (b)
R=12 (c)
Cambridge:Cambridge University Press, 1985.
400 R=12 (c)
[5] Johnson KL, Kendall K, Roberts AD. Surface energy
300 0 and the contact of elastic solids. Proc. R. Soc. Load. A.
-0.08 -0.04 0.00 0.04 0.08
200 QP 1971, 324(1558):301-313.
-40
[6] Derjaguin BV, Muller VM, Toporov YP. Effect of
100 contact deformation on the adhesion of particles. J.
-80
0 Colloid Interface Sci. 1975, 53(2):314-320.
QP -120 [7] Maugis D. Adhesion of spheres: the JKR-DMT
-1.0 -0.8 -0.6 -0.4 -0.2 0.0
transition using a Dugdale model. Journal of Colloid
Fig.5 FEM results of Hertz contact and adhesive contact of and Interface Science. 1992, 150:243-269.
three kinds of contact pairs with the same equivalent [8] Ning Yu, Andreas A. Polycarpou. Adhesive contact
radius R  10 nm .(a) R  10 nm R  ˈ (b) R  11nm based on the Lennard-Jones potential: a correction to
1 2 1
the value of the equilibrium distance as used in the
R  110 nm ˈ(c) R  12 nm R  60 nm potential. Journal of Colloid and Interface Science.
2 1 2
2004, 278:428-435.
[9] Jeffrey L. Streator. Dynamic contact of a rigid sphere
EFFECT OF CONTACT TIP ON THE CONTACT
with an elastic half-space: a numerical simulation.
BEHAVIORS
Journal of Tribology. 2003, 125:25-32.
[10] Jacob N. Israelachvili. Intermolecular and surface
forces. ACADEMIC PRESS, Harcourt Brace
Jovanovich Publishers, Second Edition, 1991.
[11] Huajian Gao, Haimin Yao. Shape insensitive optimal
adhesion of nano-scale  fibrillar structures. PNAS
2006, vol. 101, no. 21:7851-7856.
[12] Edwin P. Chan, Christian Greiner, Eduard Arzt, Alfred
J. Crosby. Designing model systems for enhanced
adhesion. MRS Bulletin. 2007, 32:496-503

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Nano/Micro-Tribological Properties of Ultrathin Functionalized Imidazolium
Ionic Liquid Films on Silicon Wafer
Yufei Moa,b, Mingwu Baia, *
a
State Key Laboratory of Solid Lubrication, Lanzhou Institute of Chemical Physics, Chinese Academy of
Sciences, Lanzhou, China
b
Graduate School of Chinese Academy of Sciences, Beijing, China
Extended Abstract
Ionic liquids (ILs) are considered as a new kind of lubricant
for micro/nanoelectromechanical system (M/NEMS) due to
their excellent thermal and electrical conductivity. However,
so far, only few reports have investigated the tribological
behavior of molecular thin films of various ILs. Evaluating the
nanoscale tribological performance of ILs when applied as a
few nanometers-thick films on a substrate is a critical step for
their application in MEMS/NEMS devices. To this end, four
kinds of ionic liquid carrying methyl, hydroxyl, nitrile, and
carboxyl group were synthesized and these molecular thin
films were prepared on single crystal silicon wafer by
dip-coating method. Film thickness was determined by
ellipsometric method. The chemical composition and
morphology were characterized by the means of
multi-technique X-ray photoelectron spectrometric analysis,
and atomic force microscopic (AFM) analysis, respectively.
The nano and micro tribological properties of the ionic liquid
films were investigated. The morphologies of wear tracks of IL
films were examined using a 3D non-contact interferometric
microscope. The influence of temperature on friction and
adhesion behavior at nano scale, and the effect of sliding
frequency and load on friction coefficient, load bearing
capacity and anti-wear durability at micro scale were studied.
Corresponding tribological mechanisms of IL films were
investigated by AFM and ball-on-plane micro-tribotester.
Friction reduction, adhesion resistance and durability of IL
films were dependent on their cation chemical structures,
wettability and ambient environment.
Keywords: Ionic liquid; Lubricant; Thin film; Friction; Wear
1. INTRODUCTION
Ionic liquids are considered as potential lubricants. Their
strong electrostatic bonding compared to covalently bonded
fluids, leads to very desirable lubrication properties. They also
prossess desirable properties such as negligible volatility,
nonflammability, high thermal stability or high decomposition
temperature, efficient heat transfer properties, low melting
points, as well as compatibility with lubricant additives [1].
Unlike conventional lubricants that are electrically insulating,
ionic liquids can minimize the contact resistance between
sliding surfaces because they are conducting, and conducting
lubricants are need for various electrical applications [2]. In
addition, ILs have high thermal conductivity which helps to
dissipate heat during sliding. The use of ionic liquids instead
of hydrocarbon base oil has potential to dramatically reduce
air emissions.
In this study, AFM-based adhesion, friction measurements
are presented for silicon substrate coated with the ionic liquids
of interest. A friction force microscopy (FFM) was employed
to investigate the interfacial structure and tribological
properties of thin IL films. A glass sphere probe was used
instead of normal silicon nitride probes to reduce the contact
pressures produced by sharper silicon nitride tips.
Conventional ball-on-flat data is used in conjunction with
AFM experiments in order to compare friction and wear
properties at micro and nano scale.
* Corresponding author. Tel: +86-931-4968080
Email address: mwbai@lzb.ac.cn
520
2. EXPERIMENTAL
Silicon wafers (100 P-doped) were treated in fleshly
prepared Piranha solution (volume ratio 7:3 of 98% H2SO4 and
30% H2O2) at 90 °C for 30 min to get a hydroxyl-terminated
surface. The ionic liquids used in this study are
1-propyl-3-methylimidazolium chloride,
1-ethanol-3-methylimidazolium chloride,
1-propionitrilel-3-methylimidazolium chloride and 1-propionic
acid-3-methylimidazolium chloride abbreviated as
MIMCH-CL, MIMOH-CL, MIMCN-CL and MIMCOOH-CL,
respectively. The lubricants were applied on single crystal
silicon using dip-coating technique and then dried at 90 °C for
10 min. The thicknesses of the films after dip-coating were
measured by the ellipsometric method.
Adhesion and friction force measurements were carried out
using a commercial CSPM 4000 AFM/FFM microscopy in
ambient conditions (20 °C, 15%RH). A colloidal probe was
prepared by gluing glass sphere with a radius of 37.5 μm onto
a tipless cantilever (normal force constant 2 N/m). The
colloidal probe was cleaned by ethanol and acetone in turn
before use. For all experiments the same cantilever was used in
this comparative study. Furthermore, to avoid influence of
molecules which may transfer to tip on the FFM experiments,
the colloidal probe was scanned on cleaved mica surface to
remove physical adsorb molecules.
Friction coefficient and durability at microscale were
evaluated using a pin-on–plate tribometer in
reciprocating mode. A Si3N4 ball moved horizontally
with respect to the sample surface with sliding frequency
between 1 to 4Hz and applied normal load between 60
and 400 mN. The friction coefficient and sliding times
were recorded automatically by computer. All
measurements were conducted at room temperature and
a relative humidity of 15 %.
3. RESULTS AND DISCUSSION
3.1 NANOTRIBOLOGICAL BEHAVIOR
Si substrate data are provided for comparison. Strong
adhesive force was observed on the hydroxylated Si surface at
humidity of 15%, on which the adhesive force was about 184
nN. After the ILs were coated, the adhesive forces were
decreased to 121, 152, 136 and 138 nN, respectively. The
adhesive force has been observed to decrease in the following
order: MIMOH-CL > MIMCOOH-CL > MIMCN-CL >
MIMCH-CL. The hydrophilic property of cationic end groups
in IL films facilitated the formation of a meniscus, which
increases the tip-sample adhesion. The adhesive force is lowest
in MIMCH-CL since it has greatest amount of relative
hydrophobic end groups among the four IL samples.
Base on the FFM experimental data, the MIMCH-CL and
MIMCN-CL exhibited lowest friction. The results imply that
the hydrophilic property of cationic end group samples
facilitated sliding on the spherical tip on the surface. However,
values of friction for MIMCOOH-CL and MIMOH-CL are
higher than the data for MIMCH-CL and MIMCN-CL. Due to
 Nano/Micro-Tribological Properties of Ultrathin Functionalized Imidazolium Ionic Liquid Films on Silicon Wafer
water and lubricant molecules are more likely to form a
meniscus as the spherical tip approaches the surface. This
provides greater resistance to tip sliding and leading to higher
values of friction.
3.2 MICROTRIBOLOGICAL BEHAVIOR
Tribological performance was evaluated for hydroxylated
Si substrate and ionic liquid coated surfaces with film
thickness of about 2 nm. Without the protection of ionic liquid
films, the coefficient of hydroxylated Si substrate increased
sharply and was stable to a constant value of about 0.65.
In order to compare friction and wear properties,
conventional ball-on-plat tribometer experiments were
conducted on the same samples. Fig. 1a-d contain plots of the
coefficient of friction as a function of the number of sliding
cycles at normal loads range from 60 to 400 mN. As shown in
Fig. 1a, the friction coefficients of MIMCH-CL were 0.12 and
0.09 at normal loads of 60 and 100 mN, respectively. When the
normal load rose to 200mN, the friction coefficient rose
sharply over 0.6 before reaching 450 cycles, implying that the
lubricant film failed. The friction coefficients of MIMOH-CL
were averaged at 0.14, 0.10, 0.11 and 0.06 at normal loads of
60, 100, 200 and 300mN, respectively. As shown in Fig. 1b,
the MIMOH film was failed at normal load of 400 mN. As
shown in Fig.1c and d, the friction coefficient of MIMCN-CL
and MIMCOOH-CL were averaged at 0.13 and 0.11 at all
loads. Only a small rise in the coefficient of friction was
observed for both MIMOH-CL and MIMCOOH-CL surface,
indicating low surface wear. However, both MIMOH-CL and
MIMCOOH-CL samples exhibited gradually change in value
of friction coefficient. This is attributed to the transfer of
lubricant molecules to the Si3N4 ball and the interaction of the
transferred molecules with the lubricant still attached on the Si
surface, which will increase the friction force.
Fig. 1 Plot of friction coefficients as function of sliding cycles
for MIMCH-CL (a), MIMOH-CL (b), MIMCN-CL (c) and
MIMCOOH-CL (d) film on silicon
Fig. 2a-d showed the effect of sliding frequencies on
coefficient of friction for all IL film at normal load of 60 mN.
As shown in Fig. 2a, the friction coefficient of MIMCH-CL
was averaged about 0.15 at relative mild condition (below 2
Hz). When the sliding frequency rose to 3 Hz, its friction
coefficient sharply increased over 0.6 in several minutes,
which indicated that the IL films failed completely under
higher frequency reciprocating movement. At the same time,
the MIMOH-CL, MIMCN-CL and MIMCOOH still
maintained low friction coefficient of 0.13, 0.11 and 0.14
521
under high frequency of 4 Hz, as shown in Fig. 2b-d.
According this result, it is seen that the MIMOH-CL,
MIMCN-CL and MIMCOOH exhibit longer anti-wear
durability under high frequency reciprocating slide, compared
with the MIMCH-CL.
Fig.2 Plot of friction coefficients as function of sliding
frequency for MIMCH-CL (a), MIMOH-CL (b), MIMCN-CL
(c) and MIMCOOH-CL (d) films at a normal load of 60 mN
4. CONCLUSIONS
This study has demonstrated that four kinds of ionic liquid
films with thickness ranging from approximate 2 to 60 nm
were prepared as uniform coatings by dip-coating method.
Adhesion and friction experiments at nanoscale were carried
out using a colloidal probe. Base on topography adhesion and
friction data, all IL films are prone to attach to the silicon
substrate surface, leading to more uniform coatings and
lowered adhesion and friction. The MIMCN-CL and
MIMCH-CL show favorable lubrication, as seen from the
adhesion and friction being less than that of MIMOH-CL,
MIMCOOH-CL and uncoated silicon in all cases. The
microscale friction and wear of the four ionic liquid films were
evaluated at load range of 60-400 mN and the sliding
frequency range of 1-4 Hz. All ionic liquids show favorable
friction reduction and durability. MIMCN-CL and
MIMCOOH-CL exhibited low friction coefficient and long
durability even at a normal load of 400 mN. The MIMOH-CL,
MIMCN-CL and MIMCOOH-CL exhibited lower friction and
better anti-wear durability at high frequency sliding (4 Hz)
compared with MIMCH-CL in micro scale. Thus, from a
tribological point of view, the ionic liquids show strong
potential as lubricant for MEMS because they have desirable
thermal and tribological properties.
ACKNOWLEDGEMENTS
This work was funded by National Natural Science Foundation
of China (NSFC) under Grant Number 50675217, NSFC
20773148, and National 973 Program: 2007CB607601.
REFERENCES
[1] Ye. C.F et al, 2001, “Room temperature ionic liquids: a
kind of novel versatile lubricant,” Chem Commum, 1,
pp.2244-2245.
[2] Bhushan. B et al, 2008, “AFM-based nanotribological and
electrical characterization of ultrathin wear-resistant ionic
liquid films,” J. Colloid and Interface Sci. 317,
pp.275-287.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Micro Asperity Type Induced in Electrostatic Resistance of MEMS
*
Xuejin Shen , Licheng Hou, Xiaoyang Chen
Department of Mechanical Automation, Shanghai University, Shanghai, 200072, China
ABSTRACT
Friction force is present in most microelectromechanical
systems (MEMS), since they have a large ratio of surface area
to their volume. The understanding of friction is necessary to
improving the performance and reliability of MEMS’s devices.
In this paper, the models of the electrostatic tangential forces
for smooth and three kinds roughness plates, which have
separately square and frustum and spheroid asperities, are
established based on the energy balance method. The factors of
microscale, roughness shape coefficient, applied voltage are
considered in the analysis of electrostatic tangential resistance
between two charged moving plates with respect to each other.
It is found the electrostatic tangential resistance will be
increased with the rate of the plate width over the gap of two
plates or the roughness shape coefficient or the applied voltage
increasing. The roughness shape coefficient is directly
proportional to the rate of all micro asperities projective area
over the whole plate area, and nonlinear increases along with
the increase of the relative surface roughness.
Keywords: Microresonator, Microtribology, Electrostatic
resistance, Surface roughness
INTRODUCTION
Microelectromechanical systems (MEMS) developed
rapidly during past two decades, which is the technology that
uses principally silicon-based materials to manufacture micro-
scale mechatronic structures. Surface IC-compatible microfa-
brication process is one of them. As the micro miniature of the
geometry of MEMS elements, the kinetic performance of them
affected by the force connected with the lower power of the
structure scale, such as surface adhesion, surface force and
friction force, is very obviously. All these forces are more
important in microstructures than for macroscopic moving
parts since they have a large ratio of surface area to their
volume.
KOMVOPOULOS [1] provided a fractal description of the
surface topography and a theoretical background on surface
forces and associated mechanisms responsible for micromachine
stiction, and illustrated how microscale friction and wear testing
can be performed under controlled conditions by electrostatically
resonating specially designed microstructures. It was shown that
the surface engineering and modification of surface chemical
properties by various surface passivation treatments, deposition
of hydrophobic coatings and lubrication with low surface energy
self-assembled monolayers are effective methods for enhancing
and rotary electrostatic motors.
Research about electrostatic force has been focused on
adhere problems between two surfaces [3, 4]. And electrostatic
tangential resistance between two moving plates has been
paid little attention. The electrostatic force is one of
long-distance force. Because of the surface falling charge, any
surface can produce charge and then produce the electrostatic
field and formed a resistance to prevent the move between two
parallels and charged flat mechanical elements.
In this paper, the model of electrostatic tangential resistance
for moving plates is introduced based on the energy conser-
vation method. The factors of microscale, roughness shape
coefficient and applied voltage are considered for the calculation
of electrostatic resistance.
ELECTROSTATIC TANGENTIAL RESISTANCE
MODEL OF ELECTROSTATIC RESISTANCE FOR
SMOOTH PLATES
Many new MEMS devices were developed in recent [5],
which make use of the principle of micromechanical variable
capacitor, and they could be simplified with the micro-gap
model for the smooth moving plate shown in Fig. 1. The
overlapped area of two parallel plates is lx×lz, where lx is the
length of the moving plate, and lz is the width, d is the separation
between two plates.
Fig. 1 Model of electrostatic field for smooth plates
This analytic model is actually a capacitor with a capacitance
[6] given by
 0 r l x l z (1)
C
d
where o=8.854×10-12 C2N-1m-2 is the free space permittivity, and
r is the relative permittivity. The relative permittivity of air is
used in this paper, so r=1.
When input charge, the potential energy collected on the
parallel plates forms electrostatic field. Using the parallel plate
capacitor assumption to calculate the potential energy in the field
Q q Q2 d
the fabrication and tribological performance of MEMS, but it was
not concern with the effect of electrostatic tangential force in the
MEMS devices.
For MEMS, electrostatic forces appear more attractive and
promising. TRIMMER and GABRIEL[2] explored the design of
electrostatic motors utilizing the advances in silicon technology.
The aligning electrostatic force parallel to the plates, when two
plates of a parallel capacitor are designed a slightly displace with
respect to each other, could be used to drive the rotator in linear
x in
*Corresponding Author˖Xue Jin SHEN, Associate Professor,
x, make the overlapped
Shanghai University, email: shenxj@shu.edu.cn.
522
We   dWe   dq   Q2 (2)
0 C 2C 2 0 r l x l z
where Q is the charge collected on the parallel plates.
When Q remains stationary, the change of the overlapped area
and the separated distance will make the potential energy of
electrostatic field variations. Reduction of the overlapped area lx×
lz or enlargement of the separated distance d will make the
potential energy up. That means the out force makes a work to
overcome the electrostatic resistance in the field and lets the
potential energy larger than before.
When the moving plate is moved for a micro displace
the x direction, the overlap length lx’=lx-
 Micro Asperity Type Induced in Electrostatic Resistance of MEMS

area decreased. So the potential energy stored in the overlapping are distributed evenly on the bottom of the moving plate.
parallel plate region increases to Firstly, some square surface micro asperities are assumed to
Q2 d (3) be distributed evenly on the bottom of the moving plate. As
We  
'
Q2
2C 2 0 r l x 'l z shown in Fig. 4the distance between the surface of micro
And the increased quantity of the potential energy is asperity and the ground plate is d-, d is the relative surface
d x roughness, and the other geometrical parameters of two parallel
We  We  We 
'
Q2 (4) plates are same as the model of electrostatic field for smooth
2 0 r l z l xl x
'
plates. The moving plate is divided equally as some square units
Because the x is far smaller than the lx, that is lx’lx. Thus the which geometrical parameters are shown in Fig. 4. k = a2/u2 is the
above equation can be written as area ratio of a square asperity’s projection area on the moving
d x (5) plate to a unit area.
We  Q2 2
2 0 r l z lx
In the process of overcoming the electrostatic resistance, the
work done by out force is F x, and according to the principle of
energy conservation, there is
d x (6)
F x  We  Q2 2
2 0 r l z lx
If a voltage U is applied across these two plates, because
Q=CU, the electrostatic tangential resistance for the laterally
smooth moving plate could be deduced from Eq. (6).
d ll 1 l (7)
fe  F  ( 0 r x z U ) 2   0 r z U 2
2 0 r l z l x
2
d 2 d
Eq. (7) suggests that if two plates of a parallel capacitor are
slightly displaced by out force with respect to each other, a force
parallel to the plates is developed, tending to resist the plate
moving.

MODEL OF ELECTROSTATIC RESISTANCE FOR

SQUARE ASPERITIES

Fig. 4 Parallel plate capacitor including square asperities

Based on Eq. (1), the capacitance of the unit capacitor,
which is formed between the unit on the moving plate and
ground plate, could be deduced.
 
 0 r (u 2  a 2 )  0 r a 2  0 r u 2  1  (8)
Cusq    (1  k )  k
Fig. 2 SEM of silicon micro-structure surfaces d d  d  
 1
bump
 d
Several unit capacitors are connected in parallel to form the
whole parallel board capacitor with square asperities, and the
total capacitance is
silicon substrate
 
Fig. 3 silicon micro-structure with micro asperities l xl z  0 r l x l z  1  (9)
C sq  2 Cus  (1  k )  k
u d  
Usually the micro-structure surface could not be smooth for  1 
several reasons. As shown in Fig. 2, the rough surface is clearly  d
seen on both surface of active structure and silicon substrate in From Eq. (2), Eq. (9) and Q=CsqU, it could be got
the submicro grade, which is caused by the precision of its  
fabrication, and it can't be ignored relativing to the 1  0 r l x l zU 2  1  (10)
Wesq  (1  k )  k
micro-structure. On the other hand, the bumps, shown in Fig. 3, 2 d  
are often designed in the MEMS device for suspended  1 
 d
platforms and long cantilever beams in order to prevent When the moving plate is moved for a micro displace x in
adherence between two moving surface. The characteristic
the x direction, the overlapped area of two plates will be decrea-
sizes of the bumps are same order with the micro interval value.
sed, and the increased quantity of the potential energy is
These factors will change the distribution of electrostatic field
 
1  0 r l z x 2  1 
within the micro interval, and lead to varieties of the
electrostatic tangential resistance, which will influence the force Wesq  U (1  k )  k (11)
2 d  
and movement transmission of MEMS. To simplify analyzing,  1 
the ground plate is assumed to be smooth, and micro asperities  d

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

In the same way, the electrostatic tangential resistance for the

laterally moving plate with square asperities could be deduced
from Eq. (6).
 
1  0 r l zU 2  1  (12)
f esq  F2  (1  k )  k
2 d  
 1  
 d

MODEL OF ELECTROSTATIC RESISTANCE FOR

FRUSTUM ASPERITIES
Another type of surface micro asperities is assumed to be the
pyramidal frustum asperities and distributed evenly on the
bottom of the moving plate. As shown in Fig. 5the distance (a) The enlarged view of the dashed line frame in Fig. 5
between the surface of the micro asperity and ground plate is d-,
d is the relative surface roughness, and the other geometrical
parameters of two parallel plates are same as the model of
electrostatic field for smooth plates. The moving plate is divided
equally as some square units which geometrical parameters are
shown in Fig. 5. k = a2/u2 is the area ratio of a pyramidal
frustum asperity’s projection area on the moving plate to a unit
area.

(b) A-A view

Fig. 6 Partial enlarged view of pyramidal frustum asperity
The separation between the infinitesimal and ground plate is
d-y. So the capacitance of the infinitesimal parallel board
capacitor could be deduced from Eq. (1).
 0 r S fr
C S fr 
di

 0 r
2 ( d  y )
2
a(a  b)  (a  b) y  y
2 (16)

Then the capacitance of the unit capacitor, which is formed

between the unit on the moving plate and ground plate, is
given as

Cufr 
 0 r (u 2  a 2 )
d

 0 r b 2   0 r
d   0 22 (d  y )
4  
a(a  b)  (a  b) 2 y dy
2
 0 r u 2 k b 2k  b 
 (1  k )     1  
d  1   / d  a   / d 2  a 

  b    b      
  1    1    ln1   
  a  d  a d   d  
Fig. 5 Plate capacitor with pyramidal frustum asperities
(17)
Four sides of the pyramidal frustum asperity are not parallel The whole parallel board capacitor with pyramidal frustum
to the ground plate, the non-parallel board capacitor will be asperities could be summed to the total unit capacitors, and its
formed between the moving plate and ground plate after setting capacitance is
up an electric circuit, as shown in Fig. 5. Drawing an 2
 0 r l x l z k b 2k  b 
infinitesimal on the side, as Fig. 6 shows, the infinitesimal C fr  (1  k )     1  
parallel board capacitor will be formed between the d  1  / d a  / d 2  a  (18)!
infinitesimal projection face paralleling the moving plate and   b    b      
ground plate [7].   1    1    ln1   
  a  d  a d   d  
As shown in Fig. 6(b), the infinitesimal area is assumed to
If the moving plate have a displacement or the moving
be Sfr, then
tendency along x direction under external force function, the
y ˈ b Gx a  (a  b) y (13)
G E x   E ˈD  F  overlaid area among the moving plate and ground plate changes,
 F b Ex  and the electric potential energy of the capacitor also varies.
  y  y ˈ  G  x a  (a  b) y  (a  b) y (14) Based on the rule of energy conservation and Eq. (2) ~ (6), Eq.
G  E D  F  (18) and Q=CfrU, the electrostatic tangential resistance for the
 E  x 
moving plate with pyramidal frustum asperities can be derived
S fr 
1
4
1
 
 ( D 2  D2 )  2 a (a  b)  (a  b)2 y y
2
(15) as

524
 Micro Asperity Type Induced in Electrostatic Resistance of MEMS


 0  r l z U 2 
2
k b
f efr  (1  k )   
2d   a
 1
 d

 (19)
2k  b   b    b       
  1  
  1     1    ln  1    
    a   a  d 
2
a d   d   
  
d  

MODEL OF ELECTROSTATIC RESISTANCE FOR

(a) The enlarged view of the dashed line frame in Fig. 7
SPHEROID ASPERITIES
The spheroid asperity is assumed to be the third type of
surface micro asperities. The electrostatic tangential resistance
model is shown in Fig. 7, where lx is the length of the moving
plate, and lz is the width, d is the separation between two plates.
The moving plate is divided equally as some square units which
geometrical parameters are shown in Fig. 7. Every spheroid
asperity is all located at the center of the unit. The radius and
height of the spheroid asperity are separately R and " k =
#(2R-)/u2 is area ratio of a spheroid asperity’s projection
area on the moving plate to a unit area.
(b) A-A view
Fig. 8 Partial enlarged view about spherical surface of the
spheroid asperity
capacitor could be deduced from Eq. (1).
 0 r S sp 2 0 r# ( R    y ) (23)
C S sp   y
di dy
Then the capacitance of the unit capacitor, which is formed
between the unit on the moving plate and ground plate, is
given as

 0 r u 2  # (2 R   )   2 0 r# ( R    y )
Cusp 
d 0 (d  y )
dy
(24)
  R      
  1   ln1    
 0 r u 2
(1  k )  2k 
d   d d 

d   2R   
 
 d d 
Then summing all unit capacitors, the whole capacitance of
parallel board capacitor with spheroid asperities is
  R      
  1   ln1    
 0 r l xl z   d   d d  (25)
Csp  (1  k )  2k
d   2R   
 
Fig. 7 Parallel plate capacitor with spheroid asperities  d d 
The spherical surface of the spheroid asperity is not parallel So as above method, the electrostatic tangential resistance
to the ground plate, so non-parallel board capacitor will be for moving plate with spheroid asperities can be derived as
formed between the moving plate and ground plate after setting   R    
  1   ln1    
up an electric circuit. Drawing an infinitesimal on the spherical   l U2   d   d d 
surface, as Fig. 8 shows, the infinitesimal parallel board f esp  0 r z  (1  k )  2k  (26)
2d  2R  
capacitor will be formed between the infinitesimal projection  
 d d 
face paralleling the moving plate and ground plate.
As shown in Fig. 8(b), the infinitesimal area is assumed to
be Ssp, then INFLUENCE FACTORS ON THE ELECTROSTATIC
RESISTANCE
r 2  R 2  (R    y)2 (20)
The electrostatic tangential resistance for moving plates
r2  R 2  ( R    y  y ) 2 (21) could be integrated in the following expression from Eq. (7, 12,
19, and 26)
S sp  #r 2  #r  2  2# ( R    y ) y (22) 1 l
f e   0 r $ z U 2 (27)
The separation between the infinitesimal and ground plate is 2 d
d-y. So the capacitance of the infinitesimal parallel board where $ is the roughness shape coefficient.

525
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Obviously, there are three influence factors on electrostatic
tangential resistance for moving plates in Eq. 27, which is
applied voltage U, micro feature parameter lz/d and roughness
shape coefficient $.
For U=100V, figure 11 shows the relationship of the fe
with lz/d at different $.
For $ =1, figure 12 shows the relationship of the fe with lz/d
at different U.

INFLUENCE OF APPLIED VOLTAGE

For lz/d = 50, figure 9 shows the relationship of the fe with
U at different $.

Fig. 12 The relation chart between fe and lz/d at different U

Fig. 9 fe versus U curve at different!$
For $ =1, figure 10 shows the relationship of the fe with U
at different lz/d.
From Fig. 11 and Fig. 12, the electrostatic tangential
resistance fe for moving plates increases in linear direct ratio
with micro feature parameter lz/d. As the roughness shape
coefficient $ increasing or applied voltage U increasing, the
electrostatic tangential resistance fe will increase accordingly at
same micro feature parameter lz/d .

INFLUENCE OF ROUGHNESS SHAPE COEFFICIENT

Table 1 gives out expressions of roughness shape
coefficient!$ for above four model of electrostatic resistance
from Eq. (7, 12, 19, and 26).
From table 1, it could be found that the area ratio k and
relative surface roughness d have influence on roughness
shape coefficient!$.
Table 1 Roughness shape coefficient!$ for different micro-gap
model
Type The roughness shape coefficient $

smooth
1
Fig. 10 The relationship between fe and U at different lz/d plates

From Fig. 9 and Fig. 10, the electrostatic tangential resist- square 
1  k  k /(1  )
ance fe for moving plates is directly proportional to the square asperity d
of applied voltage U. As the roughness shape coefficient $ incr- 2
k b 2k  b 
easing or micro feature parameter lz/d increasing, the electros- (1  k )     2 
1 

tatic tangential resistance fe will be increased accordingly at pyramid’s 1  a    a
 
frustum d d 
same applied voltage U.
asperity
 b    b     
  1    1    ln1   
INFLUENCE OF MICRO FEATURE PARAMETER  a  d  a d   d 
2
spheroid      (when R=)
1  k  2k  ln1     /  
asperity   d d d 

(1) Influence of the area ratio k on roughness shape coefficient

$!and electrostatic tangential resistance fe
From table 1 and Eq. (12, 19, 26), the roughness shape
coefficient!$ and electrostatic tangential resistance fe are all
directly proportional to the area ratio k, as shown in Fig. 13.
Here lz/d = 50, d = 0.5, and U=100 V. For same area ratio k
and height !of micro asperity, $ and fe of pyramid’s frustum
asperity model are smallest, and the two parameters of square
Fig. 11 The relationship between fe and lz/d at different!$ asperity model are largest.

526
 Micro Asperity Type Induced in Electrostatic Resistance of MEMS
Fig. 13 Relationship of!$, fe and k for different asperity types
(2) Influence of relative surface roughness d on roughness
shape coefficient!$ and electrostatic tangential resistance fe
The relative surface roughness d is another important
influence factor for the electrostatic tangential resistance fe.
Making lz/d = 50, k =0.25 and U=100 V, the relation between!$,
fe and d is shown in Fig. 14 from table 1 and Eq. (12, 19, 26).
For above three asperity model, it could be found that
increasing of the roughness shape coefficient!$ and electrostatic
tangential resistance fe is gently when d is smaller than 0.7,
but increasing of the roughness shape coefficient!$ and
electrostatic tangential resistance fe is obvious when d is
larger than 0.7 from Fig. 14. When =0, $ will be one for the
three asperity models. So the model of electrostatic resistance
for smooth plates is typical case of models of electrostatic
resistance for plates with asperities.
Fig. 14 The relation chart between!$, fe and d
at different roughness shape
(3) Influence of b/a in model of electrostatic resistance for
pyramidal frustum asperities on roughness shape
coefficient!$ and electrostatic tangential resistance fe
Fig. 15 The relation chart between!$, fe and b/a
at different d
527
Making lz/d = 50, k = 0.25 and U =100V, the relation chart
between!$, fe and b/a is shown in Fig. 15 from table 1 and Eq.
(19). It could be found that the roughness shape coefficient!$
and electrostatic tangential resistance fe increase with
increasing of b/a. When d is smaller than 0.7, the variation of
b/a has a little effect on the roughness shape coefficient!$ and
electrostatic tangential resistance fe.
CONCLUSIONS
The models of electrostatic tangential force for smooth and
three kinds roughness plates, which are square, frustum and
spheroid asperities, are established based on parallel plate
capacitors and the energy conservation method. The factors of the
microscale, applied voltage and roughness shape are primarily
considered to examine the electrostatic resistance between two
charged moving elements. And the following conclusions could
be obtained:
(1) The electrostatic tangential resistance fe for moving
plates is directly proportional to the square of applied voltage U.
(2) The electrostatic tangential resistance fe for moving
plates increases in linear direct ratio with micro feature
parameter lz /d.
(3) As the roughness shape coefficient $ increasing, the
electrostatic tangential resistance fe will be increased accordingly.
And the roughness shape coefficient!$ is directly proportional
to the area ratio k, which is the rate of all micro asperities
projective area on the moving plate to the plate area, and
nonlinear increases along with the increase of the relative
surface roughness d.
ACKNOWLEDGEMENTS
This work was supported by the Natural Science Foun-
dation of China project under Grant No. 50135040.
REFERENCES
[1] Komvopoulos, K., 1996, “Surface engineering and micro-
tribology for microelectromechanical systems,” Wear,
200(1-2), pp.305-327.
[2] Trimmer W.S.N., Gabriel K.J., 1987, “Design considera-
tions for a practical electrostatic micro-motor,” Sensor and
Actuators, 11(2), pp.189-206.
[3] James, A.K., Marten, P.D.B., 2002, “Mechanics of
microcantilever beams subject to combined electrostatic
and adhesive forces,” Journal of Microelectromechanical
Systems, 11(6), pp.754-762.
[4] Youngjoo, Y., Myoungkyu, P., Kukjin, C., 1998, “Sticking
model of suspended polysilicon microstructure including
residual stress gradient and postrelease temperature,”
Journal of Microelectromechanical Systems, 7(3), pp.339-
344.
[5] Riehl, P.S., Scott, K.L., Muller, R.S., et al, 2003,
“Electrostatic charge and field sensors based on
micromechanical resonators,” Journal of Microelectrome-
chanical Systems, 12(5), pp.577-589.
[6] Wang, J. G., 2002, The study of the microtribology
mechanism based on the movable shuttle in the electro-
static driven comb microresonator, Shanghai, Shanghai
University.
[7] Ge, S.H., 2004, “Another method to calculate the electric
field and the capacitance for a non-parallel plate capacitor,”
College Physics, 23(11), pp.40-41.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Experimental Analysis and Numerical Simulation of the Recess Slider in Magnetic

Recording System with Ultra-Thin Spacing

Rongjun Niu1, Hongbin Liu1, Ping Huang2

1
Henan University of Science and Technology, Luoyang 471003
2
South China University of Technology, Guangzhou 510640

ABSTRACT The tester used in the present study is a dynamic flying height
In the present paper, the attitudes of a magnetic head tester (DFHT) produced by Phase Metric Inc.[3]. The
working under nanometer scale are measured with a phase measurement principle is based on the light interference as
metric dynamic flying height tester. The influences of recess sketched in Fig.1; actually, the light is vertically projected and
on flying attitudes and air film characteristic are investigated reflected. Three monochromatic beams with different
using experimental analysis and numerical simulation in detail. wavelength are used and the intensity of the interference fringe
The experimental results show that the recess of ABS has pattern at arbitrary gray levels is obtained during measurement.
significant influence on the flying attitudes of slider. The The flying height can be determined for interpolating the
numerical simulation results demonstrate the main reason of intensity between the peaks and valleys of the intensity
recess effect by mechanical equilibrium analysis. In the end, distribution. The main structure of DFHT consists of eight parts
some important features are found, which will be helpful for as shown in Fig.1. The main operation process is as follows:
the design of ultra-high density magnetic recording. set the initial parameters such as characteristic flying height,
Keywords: Nanotechnology, Magnetic head/disk, Measurement, pitch angle, roll angle and preload firstly; then set the rotational
Numerical simulation velocity of glass disk and drive the disk rotate by motor; finally,
sense light intensity by optical path devices to gain necessary
INTRODUCTION data with some transition method.
The capacities achieved for magnetic recording disk storage,
which have an important role in direct access storage devices
in computer systems, have grown at a tremendous rate.
Recently, in particular, down-sizing in magnetic recording disk
storage is very marked and recording density increases very
rapidly, for both small-diameter disks and smaller slider
masses help improve the head-disk interface (HDI) reliability,
owing to reduced impact energy. To realize ultra-high
recording densities, great efforts have been done to the study
of HDI problems. One of the most important parameters to
achieve high recording density is the gap between the
recording elements and magnetic medium, which is called
flying height (FH). In recent years, the FH has been decreasing
at a tremendous rate and is estimated to reach near 10 nm or
less. The air bearing surface (ABS) of magnetic head has
important influences on flying attitudes (flying height, pitch
angle and roll angle). Many optimization methods have been
adopted for air bearing slider designs to attain the goal of good
flying stability and high recording density [1].
In the present paper, the recess effects of ABS are
investigated. Two steps are carried out. The first step is to test 1. sensor 2.optical source 3.preload device 4.arm
and gain the flying attitude data with different recess of ABS 5.magnitc head 6. bearing 7.glass disk 8. optical path
using a dynamic flying height tester (DFHT)[2]. The second Fig.1 The main components of the experimental setup
step is to calculate the gas film performance under the same
condition using numerical simulation method. In the end, the RESULTS AND DISCUSSIONS
influences of recess on flying attitudes and air film
characteristic are analyzed by integrating experimental with 1. The recess effect of ABS on the flying attitudes
numerical simulation results in detail.

EXPERIMENTAL APPARATUS AND PRINCIPLES

Since the slider, as a main part of the air bearing, tends to get
smaller, more precise and more complex, it is very difficult to
test the air flow directly in the nanometer spacing. As an
alternative, interference technique is developed and used in
testing FH of a slider, which can testify the lubrication theory
and its algorithm for the slider is working at the balance of the
film pressure and the suspension force (including moments). Fig.2 3-D sketch of the experiment head

528
 Experimental Analysis and Numerical Simulation of the Recess Slider in Magnetic Recording System with Ultra-Thin Spacing

The rotational speed, the radius and skew angle have 18

significant effect on the gas film performance between disk and 16

slider. Furthermore, the recess of ABS influences the gas film 14

performance obviously. So the depth or height of each region on

Min flying height (nm)

12

the ABS must be considered carefully in the magnetic head 10

design, especially working in nanometer scale environment. 8

Three important attitude parameters, the flying height, the pitch 6

angle and the roll angle, are obtained by calculations based 4

Zone-1
Zone-2

on the direct measurement. The effect of recess on flying 2 Zone-3

attitudes can be investigated from experimental data. 0

0.00 0.05 0.10 0.15

The structure parameters of experimental magnetic head are Shallow recess m

shown in Fig.2. The structural parameters and working 250

condition are listed in TABLE 1. The structure parameters of

ABS, the main recess and the shallow recess, are changed 200

during the experiments.

Pitch angle rad

150

Table 1 the structure parameters and working condition 100

Parameter Values (unit)

Zone-1
Slider Length 1.24×10-3 (m) 50 Zone-2
Zone-3

Slider Width 0.80×10-3 (m) 0

0.00 0.05 0.10 0.15

Slider Thickness 0.23×10-3 (m) Shallow recess m

Main recess 1275̚2475(nm) Fig.3 The effect of shallow recesses on flying characteristics
Shallow recess 25̚140 (nm) 14

Static pitch 1.7(degree) 12

Rotational speed 20(m/s)

Min flying height (nm)
10

Static roll 0(degree) 8

Load gram 1.5(g) 6

4
Zone-1
In the experiments, the velocity of flow is not always aligned 2 Zone-2
Zone-3
with the orientation of the head (direction along X). Therefore, 0
1.2 1.4 1.6 1.8 2.0 2.2 2.4 2.6
additional to the rotational speed and the radius, the skew angle Main recess m

must be used to indicate the direction of the flow. The sign of 160

skew angle is defined as in the figure. Table 2 gives the radius 150
and skew angle in the outer diameter zone(OD) ˈ middle
140
diameter zone (MD)ˈinner diameter zone (ID), respectively.
Pitch angle rad

130

120

Table 2 the radius and skew angle 110

Radius(mm) Skew angle(deg) 100 Zone-1

Zone-2
90 Zone-3
Zone-1(OD) 29.808 7.933
80
1.2 1.4 1.6 1.8 2.0 2.2 2.4 2.6
Zone-2(MD) 23.893 -2.361
Zone-3(ID) 17.713 -16.775
The comparison results of flying attitude are shown in Fig.3.
The experimental results show that the shallow recess has a
more significant influence on the flying height and the pitch
angle than the roll angle. The variation of roll angle with
shallow recess is not showed in the figure. From the
experimental results of Fig.3, it can be observed that with the
increase of the shallow recess, the attitude parameters of the
three testing zones (OD, MD and ID) have the similar
increasing trends. The flying height and pitch angle almost
linearly increase with shallow recess.
Fig.4 gives the relation of flying attitudes (flying height, pitch
angle) with main recess. It can be observed that the effect of
main recess on flying attitude is different from the effect of
shallow recess. With the increase of the main recess, the flying
height of the three testing zones(OD,MD and ID) have
obviously rising trends, However, the variation of flying height
with main recess presents obvious nonlinear.
529
Main recess m
Fig.4 The effect of main recesses on flying characteristics
2. The recess effect on the gas film performance
The influences of recess on the flying characteristic are
investigated in the above experimental analysis. The
experimental results indicate that the variation of recess has
significant influence on the flying attitude. The recess
variation is the reason that the gas film pressure varies. In
following parts, the effect of recess on the gas film performance
will be investigated with numerical method [4].
The effect of shallow recess on gas film performance is
shown in Fig.5. Some features can be found in the results of
Fig.5. Firstly, the gas floating force, W, obviously decreases
with the increase of shallow recess. Different from the
variation of the positive gas floating force Wp, the negative gas
floating force Wn keeps almost constant, however the Wp
presents decreasing trends and serves as main influence on the
gas film pressure. In the other hand, the W and Wp have the
similar curves. Secondly, both the maximum pressure, Pmax and
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

minimum pressure, Pmin decrease with the increase of shallow CONCLUSIONS

recess and the Pmax decreases dramatically with the increase of The experimental results indicate that the changes of main
shallow recess. recess or shallow recess have significant effect on the flying
The effect of main recess on gas film performance is shown attitude. The reasonable magnitude of main recess and shallow
in Fig.6. The variation of main recess has obviously influence should be chosen in order to decrease the flying height. In
on the Wp and Wn , both are almost linearly increased with the addition, the effect of recess on gas film performance is
main recess. Hence, the total gas film force, W, increases investigated using numerical method. Form the view of
significantly because of the effect of Wp and Wn. The Pmin mechanical equilibrium, the calculation results interpreter the
decreases with the increase of main recess while the Pmax variation of flying attitude with recess. There are many
presents increasing trends obviously. influencing factors influencing flying height of magnetic head,
however, the effect of recess on the flying attitude must be
3.0

2.7
W considered in the nanometer spacing environment.
Wp
2.4 Wn
Wp
Gas floating force W,Wp,Wn

2.1
REFERENCES
1.8 W

1.5 [1] O’Hara, M. A., Hu, Y., Bogy, D. B, 1996, “Effects of slider
1.2 sensitivity optimization,” IEEE Trans. Magn., 32,
0.9
pp.3744-3746.
0.6

0.3
[2] Luo Jianbin, Huang Ping, Wen Shizhu, 1995, “Study on the
0.0 Wn measurement of lubrication film thickness at nanometer
-0.3
20 40 60 80 100 120 140
scale [J],” Chinese Journal of Scientific Instrument, 16(1),
Shallow recess (nm) pp.149-152.
[3] San Diego, 1994, Phase Metric DFHT operations manual
(a) Gas floating forces
[M], USA.
65 0.0 [4] Huang Ping, Xu Langui, Meng Yonggang, Wen Shizhu,
Pmax
Pmin
2007, “Effective finite difference method to calculate
60 -0.2
lubricating performances of ultra-thin gas film of magnetic
head/disk,” Chinese Journal of Mechanical Engineering,
55 Pmax -0.4
43(3), pp.43-49.
Pmax

Pmin

Pmin
50 -0.6

45 -0.8

40 -1.0
20 40 60 80 100 120 140
Shallow recess (nm)

(b) Maximum and minimum pressure

Fig.5 The effect of shallow recesses on gas film characteristics

2.4 W
Wp
2.0 Wn Wp
Gas floating force W,Wp,Wn

1.6 W

1.2

0.8

0.4

0.0 Wn

-0.4
1.2 1.4 1.6 1.8 2.0 2.2 2.4 2.6
Main recess  m

(a) Gas floating force

65 0.0

Pmax
60 Pmin
-0.2

55 Pmax
Pmin

-0.4
50
Pmax

45 -0.6

Pmin
40
-0.8

35
-1.0
1.2 1.4 1.6 1.8 2.0 2.2 2.4 2.6
Main recess m

(b) Maximum and minimum pressure

Fig.6 The effect of main recesses on gas film characteristics

530
 Effect of Solvents on Frictional Properties of Monolayer Lubricant Films Coated on Magnetic Disk Surfaces

Effect of Solvents on Frictional Properties of Monolayer Lubricant Films Coated on

Magnetic Disk Surfaces

531
Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

532
 Fly-Ability and Durability Test of Dynamic Fly Height Heads at 1 nm Clearance

Fly-Ability and Durability Test of Dynamic Fly Height Heads at 1 nm Clearance

Ning Li (State Key Laboratory of Tribolgy, Tsinghua
University, Beijing 100084, China
Department of Mechanical Engineering, University of
California at Berkeley, Berkeley, CA 94720, USA)
Lanshi Zheng (Western Digital Corporation, Fremont,
CA 94539, USA)
David B. Bogy (Department of Mechanical Engineering,
University of California at Berkeley, Berkeley, CA 94720,
USA)
Yonggang Meng* (State Key Laboratory of Tribolgy,
Tsinghua University, Beijing 100084, China)

Extended Abstract
Thermal protrusion of the heating element built in the DFH
slider can be used to control the head-to-media spacing (HMS)
by applying controllable electrical power. It is very convenient
to obtain ultra-low flying height (FH) and make slight contact
with the disk using such a slider. In this study, we achieved 1
nm clearance flying over the disk using the DFH slider by
making the protrusion back off 1 nm immediately after
touchdown (TD). Moreover, the fly-ability of the DFH slider
flying at 1 nm clearance was investigated by monitoring laser
Doppler vibrometer (LDV), acoustic emission (AE) and Fig. 1 Schematic view of experimental apparatus
friction signals. In particular, the durability of the HDI at such
small spacing was evaluated by inspecting the wear level of the
sliders and the disks after different durations of fly using
scanning electron microscopy (SEM) and Candela optical
surface analyzer (OSA) respectively. Finally, the possibility of
stable flying of DFH slider at sub-nanometer clearance was
demonstrated experimentally.
Keywords: Clearance, Thermal Protrusion, Dynamic Fly
Height (DFH), Head-Disk Interface (HDI), Wear

INTRODUCTION
To achieve a higher storage density in hard disk drives, the
physical spacing between the read/write element and the disk
surface has to be made smaller. For the next generation hard
disk drives with a density of 1 Tbit/in2, a spacing of 2.5 nm is
estimated to be required and the thickness of slider overcoat
will be reduced to 1 nm [1]. At such an ultra-low FH, the
intermittent/continuous contact at the head-disk interface may
occur, which will make the slider and/or disk worn and may
affect the dynamic stability of the slider. Recently, dynamic fly
height sliders with thermal actuator (heater) have been
proposed and introduced into commercial products [2]. The
heater, when powered, causes the head to protrude and
effectively reduce the HMS. In contrast with FH reduction of
the whole slider, the protrusion occurs only in the area around
head and only when needed. Therefore, it is the most
promising technique to achieve ultra-small spacing and thus
high record density at present.
In this study, a specially designed DFH head for ultra-low
FH was used to access its fly-ability and durability at an
ultra-small clearance of 1 nm experimentally. The relationship
between HMS change and heating power of each head sample
was calibrated first. Then, we performed a series of flying tests
at 1 nm clearance for increased durations. Multiple techniques
were used to monitor the contact and slider dynamics. The
wear of sliders and disks was also inspected after tests.
EXPERIMENTS
Apparatus
VENA CSS & Load/Unload Tester was used in this
experiment. A schematic view of the experimental setup is
presented in Fig. 1. The disk and slider are set in a spin-stand
*To whom all correspondence should be addressed.
533
Fig. 2 Calibration of HMS reduction vs heating power
that consists of a spindle unit, an actuator unit, an arm
equipped with an AE sensor and a friction gauge. Dual
DSP-based motor controllers drive the spindle and the arm
actuator. External data acquisition system was used to acquire
the signal from AE sensor and friction gauge. A waveform
generator can apply voltage to the heater in the head.
Samples
In this study, we used Western Digital femto DFH sliders
which were designed especially for ultra-low FH. The disks we
used had a glide avalanche of ~2.5 nm, an AFM roughness (Ra
measured over 10 μm) of 0.3 nm, and were coated with 3.5 nm
diamond-like carbon (DLC) overcoat and 2.0 nm of Tetroal
lubricant.
Experimental Methods
The relationship between HMS change and heating power
was calibrated by measuring the HMS magnetically using
Guzik system when applying a series of incremental powers to
the heater. This HMS measurement technique is based on the
Wallace Spacing Loss relationship, where the change in
amplitude of the measured read-back signal harmonics directly
relate to the change of the spacing between read/write
transducer and the magnetic media. Fig. 2 shows the calibrated
HMS reduction as function of heating power. A 2nd order
polynomial was used to fit the measured data. Also, using a
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Fig. 3 Detection of thermal protrusion induced TD and
take-off by gradually increasing/shutting down the power
with multiple techniques
Fig. 4 Frequency spectrum of slider and disk vibration
measured by LDV (10 kHz high pass filtered)
basic equation of P=U2/R, the conversion of voltage to power
could be done if the heater resistance is measured.
We made all the sliders fly on the outer diameter of 2.5”
disk with a linear velocity of about 16 m/s. To obtain the 1 nm
flying clearance between the head and the disk, we initiated the
touchdown (TD) of each slider first by increasing the voltage
applied to the heater gradually (with the minimum voltage
increment of 0.01 V). Simultaneously, AE sensor, friction
gauge and LDV were used to monitor the contact (shown in
Fig. 3). When contact occurred, we shut down the power
immediately and recorded the TD voltage. Then, the power or
voltage needed for 1 nm back-off of the pole tip was calculated
by the calibrated equation above and applied to the heater.
To understand the fly-ability and durability of the DFH
sliders flying at ultra-low FH, the same virgin heads were
flown over the virgin disks at the 1 nm clearance condition
described above for the given test durations: 0 h (only TD), 0.5
h, 2 h and 15 h. During these tests, AE sensor, friction gauge
and LDV were monitoring the contact and slider vibration.
After that, we measured carbon wear on slider ABS and disk
with SEM and OSA respectively.
RESULTS AND DISCUSSION
Slider Dynamics
The vertical vibrations of a slider at no heating power, the
beginning and the end of 1 nm clearance fly were measured
534
respectively by LDV. We found that there was little change in
Fig. 5 SEM images of a portion of the central trailing pad
used in the 1 nm clearance flying tests for different durations:
(a) 0 h (only TD) (b) 0.5 h (c) 2 h (d) 15 h
Fig. 6 Disks wear after (a) 0 h and (b) 15 h of 1 nm fly
the frequency spectrum of the slider vibration before and after
applying power as well as at the beginning and the end of the 1
nm clearance fly for different test durations. All their vibration
frequency spectrums are similar to the one of the spinning disk,
that is, this slider can fly stably over the disk with 1 nm
clearance and follow the disk very well. The vibration
frequency spectrum for 15 hours fly is shown in Fig. 4 as an
example.
Slider Wear
The wear results of the sliders flying for 0 h (only TD), 0.5 h,
2 h and 15 h respectively at 1 nm clearance are shown in Fig.5.
The lower portion of the image is the slider body, made of an
alumina-TiC composite (AlTiC), while the upper portion is the
alumina basecoat, read/write devices, and encapsulation layer.
The bright region in the upper portion is the place where the
read/write transducers locate as well as the peak of thermal
protrusion and is most likely to be worn. Fig. 5(a) shows that
very light wear and a very few of scratches appeared after
transitory and slight TD, while Fig. 5(a)-(b) indicate that there
was no obvious additional wear after a period (up to 15 h) of
flying at 1 nm clearance. So the results denote that the wear on
slider surface is mainly caused by thermal protrusion TD and
independent of the flying duration at 1 nm clearance.
 Fly-Ability and Durability Test of Dynamic Fly Height Heads at 1 nm Clearance

Disk Wear REFERENCES

Fig. 6 shows 1mm wide sections of two disks in S and P
polarized light. As shown in the figure, a very light carbon
wear was observed both on the disk after only transitory TD
and the one after TD and 15 h of 1 nm clearance fly but no
significant additional wear was seen in Fig. 6(b) compared
with Fig. 6(a).
[1] Liu, B., Liu, J. and Chong, T. C., 2005, “Slider design for
sub-3-nm flying height head–disk systems,” Journal of
Magnetism and Magnetic Materials, 287, pp. 339-345.
[2] Meyer, D., Kupinski, P. E. and Liu, J. C., Nov. 23, 1999,
“Slider with responsive transducer positioning,” U.S.
Patent 5 991 113.

ACKNOWLEDGEMENTS
The authors would like to thank Western Digital Corporate
for providing us with excellent experimental facilities.

535
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Cavitation Erosion Characteristics of Titanium Alloy Thin Film Prepared by Ion

Beam Enhanced Deposition

Zhang Huichen*, Gao Yuzhou, Zhou Rixue

Department of Mechanical Engineering, Dalian Maritime University, Dalian 116026, China

ABSTRACT
Titanium alloy and titanium alloy film possess potential
application in MEMS and microfluidic system used in
biological bodies for their special mechanical performance and
biocompatibility. In order to explore their cavitation erosion
characteristics, titanium alloy thin films were prepared on glass
bases by ion beam enhanced deposition method. Cavitation
erosion characteristics of titanium thin film were explored by
means of ultrasonic vibrator. Comparison with titanium alloy
bulk and the effect of cavitation strength on cavitation erosion
were also conducted. The initial surface and cavitation erosion
topography of titanium alloy thin film and bulk were analyzed
by scanning electron microscopy (SEM). The water contact
angle was measured by contact angle measurement and
corresponding surface energy was calculated. The experimental
results show that there is no obvious slippage and deformation
along the grain boundary on the surface of the titanium alloy
films and bulk. There exists little plastic deformation in
titanium alloy films compared with titanium alloy bulk. The
four stages of the titanium alloy film cavitation erosion are
incubation period, concave formation, delamination, and
localized fracture. The eroded area and eroded area loss rate
increase with cavitation erosion time increasing. However, the
increment of eroded area becomes slow and eroded area loss
rate decreases if cavitation erosion time exceeds some
threshold. More bubbles can be produced by larger cavitation
strength, which makes the collapse pressure increase and the
damage on specimen surface become severe. Two-color image
processing can be used to analyze surface changes of the
materials qualitatively.
Keywords: Cavitation erosion, Titanium alloy thin film, Ion
beam enhanced deposition
INTRODUCTION
In the last two decades, microelectromechanical systems
(MEMS) research has received tremendous attention[1]. Rapid
advancement in microfabrication technologies coupled with the
drive toward miniaturization of innovative MEMS and
microfluidic systems for use in novel applications spread across
diverse technological disciplines[2]. The importance and utility
of microfluidic devices continues to rise and cavitation erosion
appeared in conventional scale hydraulic machinery also occur
in these MEMS[3-5].
Cavitation can be classified as a kind of wear and shows itself
when a material comes into contact with a liquid under certain
conditions, as is seen for ship propellers, hydroturbines and
hydraulic systems. When the partial pressure of gases dissolved
in a liquid decreases locally, due to a vibration or to a turbulent
flow some bubbles are formed on the fluid. In the case that the
pressure conditions are rapidly reversed, the bubbles formed
suddenly implode. In the liquid phase, without other constrains,
this explosion–implosion process occurs concentrically. If such
a reversion is prevented, e.g., at the surface of a solid object, the
explosion will result in a so-called microjet [6]. Cavitation
impingement can produce a removal of only the passive layer, in
*To whom all correspondence should be addressed.
hczhang@newmail.dlmu.edu.cn
the case that the loss of material is related to a fatigue processes,
occurring at the surface of the material itself, then the
phenomena is referred to as cavitation erosion. At present,
research on the cavitation properties of materials is mainly
concentrated on the bulk materials of stainless steels[7],
aluminium alloy[8], titanium and copper[9-10]. Little is on
metal thin film materials.
Titanium alloy thin film is a potential MEMS material for its
physical and mechanical properties, and an implant material for
its biocompatibility[11-12]. Therefore, it is necessary to study
its cavitation erosion characteristics.
In this paper, cavitation erosion characteristics of titanium
alloy thin film prepared by ion beam enhanced deposition
method were explored by means of ultrasonic vibrator.
Compared with titanium alloy bulk, the cavitation erosion
process and mechanism of titanium alloy thin film were
discussed. Furthermore, the effects of cavitation strength on
cavitation erosion were also analyzed.
EXPERIMENTAL PROCEDURE
Titanium alloy (Ti6Al4V) films were prepared on glass
bases by ion beam enhanced deposition method. The size of
glass bases was 10×10 mm. The gas pressure in chamber
before deposition was 3.0 h 10-3Pa. The glass bases were
ultrosonically cleaned with acetone, ethanol and deionized
water in turn. Then the glass bases were activated in piranha
solution (H2O2: 98%H2SO4=3: 7(v:v)) in 90 ć for 10 min.
After that the glass bases were rinsed with deionized water and
dried in a stream of nitrogen gas. The deposition process was
described as follows: Pressure was 3.6h10-2Pa. Voltage was
2.5 kV. The gas flow was 1.5SCCM. The deposition
temperature was room temperature. The deposition time was
40 min. The film thicknesses were about 100nm, which were
measured by optical interference method. The surfaces of
Ti6Al4V test specimens were ground with diamond paste.
Cavitation erosion experiments were carried out in a
vibratory apparatus, shown in Fig. 1. The vibratory frequency
and the peak-to-peak amplitude were 20±2 kHz and 40±1m,
respectively. The experiments were conducted in room
temperature.

Fig.1 Sketch map of ultrasonic vibrator
Topography characterizations were performed by Phillips
XL30 scanning electron microscopy. Water contact angles of

536
 Cavitation Erosion Characteristics of Titanium Alloy Thin Film Prepared by Ion Beam Enhanced Deposition
Ti6Al4V alloy film specimens and titanium alloy bulk
specimens were measured by Easy-Drop contact angle
measurement (Germany) and corresponding surface energies
were also calculated. The optical microscope topographs of the
samples during the stages of cavitation erosion were treated
with the colors-abstraction method. The Cavitation erosion
curves were plotted according the data of the colors-abstraction
processing.
RESULTS AND DISCUSSION
CHARACTERISTICS OF SPECIMENS SURFACE
The topographies of Ti6Al4V alloy film and Ti6Al4V alloy
bulk are shown in Fig.2. The surface of Ti6Al4V alloy film is
uniform and relatively smooth. Water contact angles of
titanium alloy film deposited on glass base and titanium alloy
bulk are 34.7°and 48.3°, and corresponding surface energies are
61.86 mN/m and 54.82 mN/m, respectively, which indicates
both the titanium alloy film and titanium alloy bulk are
hydrophilic.
 
(a) Titanium alloy film (b) Titanium alloy bulk
Fig.2 Topographies of Ti6Al4V film and Ti6Al4V bulk
CAVITATION EROSION PROCESS OF SPECIMENS
The topographies of Ti6Al4V film after cavitation erosion
are shown in Fig.3. A lot of cavitation pits occur on the even
surface of the titanium alloy films after the cavitation erosion
test, and the positions and sizes of the pits are stochastic. The
number and size of the pits increased with the testing time
increasing. Glass base is revealed under pits when cavitation
time increases continuously. The pits are caused by the effect of
cavitation bubbles collapse. The size and position are decided
by the distribution of cavitation bubbles on the surface. There is
no obvious slippage and deformation along the grain boundary
on the surface of the titanium alloy films.
(a) 3 min
(b) 7 min (c) 15 min
Fig.3 SEM topographies of Ti6Al4V film after cavitation
erosion
537
 
(a) 7 min (b) 20 min
Fig.4 SEM topographies of Ti6Al4V bulk after cavitation
erosion
The topographies of Ti6Al4V alloy bulk after cavitation
erosion are shown in Fig.4. There is obvious plastic
deformation during the cavitation erosion process for titanium
alloy bulk. There is no obvious slippage and deformation along
the grain boundary on the surface of the titanium alloy bulk
either. Contrasting the cavitation erosion process of titanium
alloy films and the titanium alloy bulk, it was found that there
existed different cavitation erosion behaviors. The main
difference is whether plastic deformation occurs. It is can be
deduced that the cavitation erosion of Ti6Al4V film progressed
into incubation period, concave formation by the effect of
cavitation bubbles collapsed, delamination, and localized
fracture, corresponding to the four stages of the cavitation
erosion.
ERODED AREA AND ERODED AREA LOSS RATE
The optical microscope topographies of the samples during
the stages of cavitation erosion were treated with the
colors-abstraction method[13-15], as shown in Fig.5 and Fig.6.
With this method, the cavitation erosion curves were plotted as
shown in Fig.7 and Fig.8.

(a) before image processing (b) after image processing
Fig.5 Images before and after image processing of titanium
alloy film specimens
(a) before image processing (b) after image processing
Fig.6 Images before and after image processing of titanium
allay bulk specimens
From eroded area curves of specimens in Fig.7 and eroded
area loss rate curves of specimens in Fig.8, it can be seen that
eroded area in specimens surface is relatively small and area
loss rate of specimens is also small in initial several minutes
for titanium alloy film, which corresponds to incubation period.
With time increasing, eroded area in specimens surface
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

increases and area loss rate of specimens also increases. This is
because of impact on titanium alloy film by bubble collapse
continuously acting. Cavitation pits appear in local area of
specimens, which corresponds to cavitation erosion stage. With
time increasing continuously, the impact action by bubble
collapse on cavitation pits accumulates, which results in crack
extend around pits. Pits combination make the size of pits
increase and delamination in large area occurs. It is a kind of
fatigue process. Eroded area in specimens increases rapidly
and eroded area loss rate reaches maximum, which
corresponds to delamination stage. In the later of cavitation
erosion experiment, eroded area curve become flat and eroded
area loss rate curve become falling. This corresponds to the
period in which titanium alloy film fall off completely and the
base starts to be suffered cavitation erosion.
120
Ti6Al4V film
100
Ti6Al4V bulk
80
Eroded area/%
The eroded area increases with cavitation erosion time
increasing. However, the increment becomes slow when the
time is long enough. The eroded area loss rate also increases
with cavitation erosion time increasing. But it decreases if
cavitation erosion time exceeds some threshold. It is found that
two-color image processing can exhibit the inception of
cavitation erosion process well, which can be used to analyze
surface changes of the materials qualitatively.
EFFECT OF CAVITATION STRENGTH ON CAVITATION
EROSION CHARACTERISTICS OF TITANIUM ALLOY FILM
In order to explore the effect of cavitation strength on
cavitation erosion characteristic of titanium alloy film, we
conduct the experiment by changing output power of ultrasonic
vibrator. With the colors-abstraction method, the eroded area
curves and eroded area loss curves were plotted in Fig.9 and
Fig.10. From these two figures, it can be seen that the shapes
of curves are almost the same, which means that the tendency
of cavitation erosion is identical. The difference lies on that the
larger the cavitation strength, the shorter the incubation period.
For three cavitation strengths of 4.5 W, 8 W, and 12.5 W, the

incubation times are 13 min, 7 min and 3 min, respectively. In

60
Fig.10, the times of maximum eroded area loss rate are 26 min,
21 min and 15 min for three cavitation strength, respectively.
40
The change of cavitation strength makes the number of bubble
produced by ultrosonic cavitation changed. The larger the
20
cavitation strength, the bigger the number of bubble. More
bubbles make the collapse pressure increase and the damage
0
0 4 8 12 16 20 24 on specimen surface becomes severe.
Time/min
120
Fig.7 Eroded area curves of specimens 12.5W
100 8.00W
4.50W
8

80
Ti6Al4V film
Eroded area/%

6 Ti6Al4V bulk
60
Area loss rate/%/min

40
4
20

2 0
0 5 10 15 20 25 30 35 40 45
Time/min

0
0 3 6 9 12 15 18 Fig.9 Eroded area curves of specimens
Time/min
8

Fig.8 Eroded area loss rate curves of specimens 12.5W

8.00W
4.50W
6
Compared titanium alloy bulk specimens with titanium alloy
Area loss rate/%/min

film specimens, it can be seen that eroded area on titanium

alloy bulk specimens is obviously smaller than that on titanium 4
alloy film specimens in the same cavitation condition. When
titanium alloy film specimens are in the delamination stage (15
minutes or so), titanium alloy bulk specimens is still in the 2

incubation stage. There is no very large eroded area in titanium

alloy bulk specimen surface. The difference between both
specimens is that plastic deformation occurs easily for titanium 0
0 4 8 12 16 20 24 28 32
alloy bulk specimens and difficultly for titanium alloy film Time/min
specimens. Moreover, the interface bonding between titanium
alloy film and base also affects the cavitation erosion. Fig.10 Eroded area loss rate curves of specimens

538
 Cavitation Erosion Characteristics of Titanium Alloy Thin Film Prepared by Ion Beam Enhanced Deposition
CONCLUSIONS
(1) There is no obvious slippage and deformation along the
grain boundary on the surface of the titanium alloy films and
bulk. There exists little plastic deformation in titanium alloy
films compared with titanium alloy bulk.
(2) The cavitation erosion of Ti6Al4V alloy film progressed
into incubation period, concave formation, delamination and
localized fracture, corresponding to the four stages of the
cavitation erosion.
(3) The eroded area and eroded area loss rate increase with
cavitation erosion time increasing. However, the increment of
eroded area becomes slow and eroded area loss rate decreases
if cavitation erosion time exceeds some threshold. Two-color
image processing can be used to analyze surface changes of the
materials qualitatively.
(4) More bubbles can be produced by larger cavitation
strength, which makes the collapse pressure increase and the
damage on specimen surface becomes severe.
ACKNOWLEDGEMENTS
This work is supported by the National Natural Science
Foundation of China under Grant No.50675024.
REFERENCES
[1] Chandan M., Yoav P., 2005, “Size scale effects on
cavitating flows through microorfices entrenched in
rectangular microchannels,” Journal of
Microelectromechanical Systems, 14, pp.987-999.
[2] Blisabeth V., Nico F. D., 2003, “Microfluidics meets
MEMS,” Proceedings of the IEEE, 91, pp.930-953.
[3] Chandan M., Yoav P., 2005, “Cavitation in flow through a
micro-arifice inside a silicon microchannel,” Physics of
fluids, 17, pp.1-15.
[4] Yang R., Williams J. D., Wang W., 2004, “A rapid
micro-mixer/reactor based on arrays of spatially impinging
micro-jets,” Journal of Microelectromechanical Systems,
14, pp. 1345-1351.
539
[5] Losey M. W., Jackman R. J., Firebaugh S. L., 2002, “Design
and fabrication of microfluidic devices for multiphase
mixing and reaction,” Journal of Microelectromechanical
Systems, 11, pp.709-717.
[6] Lauterborn W., 1979, “Liquid jet from cavitation bubble
collapse,” Proceedings of the 5th International Conference
on Erosion Solid Liquid Impact, pp.58.1-58.6.
[7] Bregliozzia G., Schinob A. Di, Ahmeda S.I., Kennyb J.M.,
Haefkea H., 2005, “Cavitation wear behaviour of austenitic
stainless steels, with different grain sizes,” Wear, 258,
pp.503-510.
[8] Steller J., Krella A., Koronowicz J., Janicki W., 2005,
“Towards quantitative assessment of material resistance to
cavitation erosion,” Wear, 258, pp.604-613.
[9] Chiu K.Y., Cheng F.T., Man H.C., 2005, “Evolution of
surface roughness of some metallic materials in cavitation
erosion,” Ultrasonics, 43, pp.713-716.
[10] Tanga C.H., Chenga F.T., Man H.C., 2006, “Laser surface
alloying of a marine propeller bronze using aluminium
powder Part I: Microstructural analysis and cavitation
erosion study,” 2006, Surface & Coatings Technology, 200,
pp.2602-2609.
[11] Marco F. A., Masap R., Noel C.M., 2004,
“High-aspect-ratio bulk micromachining of titanium,”
Nature Materials, 3, pp.103-105.
[12] John D., 2005, “Beyond silicon,” Mechanical Engineering,
7, pp.1-13.
[13] Hattori S., Maeda K., Zhang Q., F, 2004, “ormulation of
cavitation erosion behavior based on logistic analysis,”
Wear, 257, pp.1064-1070.
[14] Diodati P., Marchesoni F., 2002, “Time-evolving statistics
of cavitation damage on metallic surfaces,” Ultrasonics
Sonochemistry, 9, pp.325-329.
[15] Soyama H., Futakawa M., Homma K., 2005, “Estimation
of pitting damage induced by cavitation impacts,” Journal
of Nuclear Materials, 343, pp116-122.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Measurements of Vertical Elongation and Adhesive Force of
Nanometers-Thick Lubricant Films on Magnetic Disks Using Micro Probe for SPM
Yasuji Ohshima/Aichi Konan College,
Takaya-cho 172, Konan 483-8086, Japan
Yasunaga Mitsuya/Nagoya Industrial Science Research Institute,
Yotsuya-dori 1-13, Chikusa-ku, Nagoya 464-0819, Japan
rsity
(Extended Abstract)
ABSTRACT
We measured vertical elongation and adhesive force of
nanometers-thick lubricant films using a specially-fabricated
probe. A diamond tip and a micro-mirror were mounted to
form a nano-lubricant-bridge and reflect a detecting laser beam
on the front and back surfaces of the probe cantilever,
respectively. In contrast to generally used probe microscopy,
the tip displacement was measured using a Michelson
interference microscope and an ultra high-speed video camera
which enables measurements in micron dynamic range and at
sub-nanometer accuracy. In this research, we succeeded in
quantifying the vertical elongation and adhesive force of
sub-10-nm thick lubricant film as functions of film thickness,
molecular weight, end group functionality, and bonding ratio
of the lubricants.
Keywords: Adhesive Force, Lubricant Bridge, PFPE Lubricant,
Bonding Ratio, Magnetic Disk
INTRODUCTION
In hard disk drives, the flying height of the head disk
interface (HDI) has reached less than 10 nm and it became
inevitable that the undesirable contacts between head and disk
surface increase. In such circumstances, the dynamic behavior
of the liquid lubricant coating over the disk surface is one of
the key issues to realize higher reliability and durability of the
HDI. To elucidate the dynamic characteristics of the thin liquid
lubricant, we developed a novel method to measure the
adhesion force [1], the elongation length [2], the spring
constant and damping coefficient [3] of the liquid bridge
formed by perfluoropolyether (PFPE) lubricant film with a
thickness of several tens of nm. In the present research, the
elongation and the adhesive force of 2-nm-thick PFPE
lubricant films with/without the polar end group for different
molecular weights and of varying bonding ratio of Zdol2000
have been measured.
EXPERIMENTAL APPARATUS AND METHODOLOGY
The schematic diagram of the experimental setup is
illustrated in Fig. 1. The distinguishing features of this setup
are the cantilever probe itself and the displacement
measurement method of the cantilever probe. The cantilever
probe was manually fabricated as a diamond tip (100 nm in
radius) and a minute reflective mirror were glued on each side
of the cantilever surface for higher durability against the extra
hard surface and for the displacement measurement,
respectively. This method uses the laser Michelson
interference fringe pattern formed on the reflective mirror
attached on the backside of the cantilever. The cantilever
movement induces the fringe pattern's shift, which is captured
Table 1 Specifications of lubricant films
Type
Zdol2000
Zdol4000
Z03
Z25

Molecular weight (amu)
2000
4000
4000
9500

Radius of gyration (nm)
1.0
1.4
1.4
3.4

Kinetic viscosity (mm2/s)
85
100
30
263

Surface tension (mN/m)
24
22
23
25

Film thickness




(nm)
2.5
2.3
2.2
2.2

540
/Nagoya University,
Furo-cho, Chikusa-ku, Nagoya 464-8601, Japan
abe/Yamaha Motor Co., Ltd.,
Shingai 2500, Iwata 438-0025, Japan
Kenji Fukuzawa/Nagoya University
by an ultra high-speed video camera as a sequence of images.
This method enables us to measure a several micron range of
the cantilever probe displacement with sub-nanometer
accuracy [2].
In this study, four different types of PFPE lubricants (polar
Zdol2000, Zdol4000, and nonpolar Z03, Z25) were selected.
Film thicknesses and the specifications of lubricants are listed
in Table 1. In addition, the bonding ratio of Zdol2000 was
varied as listed in Table 2. The bonding ratio is defined as
br=h/H wherein H is the film thickness after annealing and h is
the bonded molecular thickness. Here the bonded molecular
thicknesses were obtained after 15-minute ultrasonic cleaning
in the solvent (Du Pont Vertrel XF). All lubricant thicknesses
were measured using Optical Surface Analyzer (Candela
OSA5130) and are shown as averaged values.
The experimental procedure was as follows [1]. The
diamond tip was pressed onto the disk surface at about 0.57
μN and then pulled off at a constant velocity of 0.012 mm/s.
The elongation and adhesive force generated during this
pull-off process were calculated by applying the regression
analysis to transient vibration waveforms of the tip [2].
IDENTIFICATION OF ELONGATION AND ADHESION
Typical examples of waveforms observed while the tip was
being retracted are shown in Fig. 2. It is found that the rupture
of the liquid bridge occurred at around 18 ms and started a free
vibration of the cantilever.
The bifurcation point of the solid
line (the measured free vibration waveform) into the dashed
line (the left-side extrapolation waveform of the free vibration)
and the solid line (the measured waveform before the rupture
Fig. 1 Experimental apparatus
Table 2 Bonding ratio of annealed lubricant films
Total layer Bonding layer Bonding ratio
H h br
2.2 nm nm
0.24
0.80
1.2 0.58
Measurements of Vertical Elongation and Adhesive Force of Nanometers-Thick Lubricant Films on Magnetic Disks Using Micro Probe for SPM

occurrence) was considered as the rupture point and the height

of the probe at the rupture was defined as the elongation of the
lubricant bridge. Substituting the probe displacement and its
second order differential, the adhesive force was calculated
using the equation:

d2z
F( z) = k c {v p (t % t 0 ) % z} % m (1)
dt 2
where kc is the calculated spring constant of the cantilever, t0 is
the starting time when the vibration system establishes an
equilibrium condition, and vp is the pull-off speed.
EXPERIMENTAL RESULTS
Experimental results of the elongation and the adhesive
force for the 2-nm-thick lubricant films are shown in Fig. 3.
The short horizontal line indicates each experimental value
showing scattering of the experiments and the vertical bar Fig. 3 Elongation and adhesive force of lubricant film
denotes the average value of each experiment. The adhesive
force of bare disk surface is shown for reference. Comparisons
between nonpolar/polar lubricants indicated that the effect of
molecular weight on both elongation and adhesive force was
small for the nonpolar lubricants. For the polar lubricants,
however, the elongation decreased with increasing molecular
weight. Note that, being compared at the same thickness, the
2-nm-thick lubricant film of Zdol2000 whose radius of
gyration is about half of Zdol4000 has more mobile molecules
than that of Zdol4000. Considering the results for the nonpolar
and polar lubricant cases, the amount of the mobile molecule is
found to primarily affect the elongation rather than the
molecular weight. Regarding the adhesive force, it is
considered that polar lubricants endure a higher tip-pressure
because of hydrogen bonding to the disk surface and lubricant
molecules that remain between the tip and the disk surface Fig. 4 Elongation and adhesive force of annealed lubricant film
prevented solid-solid contacts. This permitted the tip to be
separated from the disk surface that had a higher surface increased. This is attributed to the fact that the functional ends
energy than the lubricant film, and thus the adhesive force was of the lubricant molecule, which had locally a higher energy,
decreased. In the case of 2.5-nm-thick Zdol2000, the lubricant tend to align toward the disk surface and the main chain with a
molecules were highly oriented and covered up continuously lower energy tend to expose toward the tip as the increase of
the contact area while Zdol4000 did in patches. This is the bonding ratio and thus the adhesive force decreased. This
considered as the mechanism that Zdol2000 resulted in the decreasing tendency reversed at the bonding ratio of 0.83,
minimum adhesion force. which was in the same way as observed in the elongation.
Results for varying bonding ratio of polar Zdol2000 films
CONCLUSIONS
are shown in Fig. 4. In the experimental range, the elongation
The elongation and the adhesive force of molecularly thin
ranged from a few tens to roughly a hundred nm. The
PFPE lubricant films with/without the polar end group for
elongation was observed to decrease as the bonding ratio
different molecular weights have been measured. It was
increased, which is well correspondent with the number of
revealed that the mobile molecule of lubricant contributed to a
mobile molecules. However, the result for the bonding ratio of
larger elongation of the lubricant bridge and that the fixed
0.83 was away from this tendency. Longer elongation for a
molecule of lubricant contributed to a decreased adhesive force.
higher bonding ratio of 0.83 hinted that the amount of the
From the results for the same experiments with varying the
mobile molecule is not a decisive factor for longer elongation.
bonding ratio of the polar lubricant, the elongation and the
The adhesive force also decreased as the bonding ratio
adhesive force was found to decrease with the increasing
bonding ratio.
REFERENCES
[1] Mitsuya, Y., Ohshima, Y., 2003, “Measurement of
Velocity-Dependent Adhesive Force Exerted on Magnetic
Disk Using Micro-Probe of SPM,” ASME J. Tribol., 125,
pp.842-849.
[2] Ohshima, Y., Mitsuya, Y., Iwase, T., 2004, “Measurement
of Adhesion Force and Elongation of Molecularly Thin
Lubricant by Using Transient Response of SPM
Cantilever,” ASME J. Tribol., 126, pp.738-744.
[3] Mitsuya, Y., Ohshima, Y., Zhang, H., Aoyama, K., Kawai,
T., Fukuzawa, K., 2007, “Stiffness and Damping of Thin
PFPE Lubricant Bridging Between Magnetic Disk and
Fig. 2 Typical regression analysis to vibrations Diamond Probe Tip,” ASME J. Tribol., 129, pp.720-728.

541
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Experimental Research on Boundary Slip of Confined Liquids at Micro/Nano Scale and Effect of Shear
Rate and Viscosity

Wang Xin (Tsinghua University) Zhang Xiangjun (Tsinghua University)

Meng Yonggang (Tsinghua University) Wen Shizhu (Tsinghua University)

(Extended Abstract)
ABSTRACT
In order to research the flow and transportation property of
liquids between solid and liquid at micro/nano scale, a
commercial Atomic Force Microscope was modified by
attaching a 45micro meter diameter glass ball to the end of
cantilever to form a ball-disk contact, which was used to
investigate boundary slip effect of confined liquids under
different velocity. Solid surface specimen was prepared as
used concept to quantify the slip of a liquid at a solid
surface[7]. The slip length, b, is the distance beyond the
liquid/solid interface at which the liquid velocity extrapolates
to zero, as shown in figure 1. The relationship between slip
length b and the velocity of the liquid at the wall vs by the
expression:
hydrophilic Si㧔100㧕and hydrophobic OTS film surfaces on Si
㧔 100 㧕 verse different viscosity sucrose solution. The
relationship between shear rate and boundary slip are discussed
carefully. Results indicated that, slip boundary conditions are
found for all different viscosity sucrose solution both on
hydrophilic and hydrophobic surface, and slip length of liquid
on solid surface with poor wetting property was obviously
larger than that with good wetting property. Further more, the
degree of slip is found to increase with shear rate and liquids
viscosity for the two surfaces, which shows that boundary slip
is shear rate and viscosity dependent. The results will be
important for the research and control of the flow properties of
confined liquids.
Keywords: Boundary slip, Slip length, Shear-dependent
INTRODUCTION
With the development of technology,
Microelectromechanical systems (MEMS) have been studied
for decades, and many chemical, biological, and biophysical
MEMS work in liquid environments[1], such as Micro Total
Analysis System ( μ TAS)[2] and micro pipe. Then, a
considerable important thing for these MEMS worked in fluid
is flow and transportation property of liquids between solid
and liquid at micro/nano scale. At macro scale, a basic
assumption for Reynolds Equation is no boundary slip at the
interface of the liquid and surface, i.e., there is on relative
motion between the surface and the liquid[3]. This assumption
has been demonstrated in numerous macroscopic experiments
and is suitable to most condition. But when Newtonian liquids
between solid and liquid at micro/nano scale, numerous
research papers have cast doubts on the universality of the no
slip boundary condition, showing that under certain
circumstances fluid slip might occur at the solid
boundary.Strong evidence for slip has been provided by many
research groups. Pit[4] observed the velocity of liquid close to
a solid surface using a fluorescence recovery after
photobleaching (FRAP) technique, which is directly observe
the flow of a fluid near a solid surface, and find the slip
phenomena. Bonaccurso[5] used a modified AFM measured
the hydrodynamic drainage force of aqueous medium between
smooth hydrophilic surfaces. Experiment result showed
boundary slip occur.
Navier[6] first proposed that a liquid may slip on a solid
surface when it flow over a solid surface, and this slipping
would be opposed by a frictional force proportional to the
velocity of the fluid relative to the solid. He introduced the
idea of ‘slip length’, which is nowadays the most commonly
542
∂v 
vs = b
∂z
where vs is the velocity of the fluid in the bulk and z is the
axis perpendicular to the wall.
Fig.1 Definition of the slip length
Spikes[8,9] defined the concept of half-wetted bearing
according to the boundary slip of a liquid and unwetted surface.
He points out that if the half-wetted bearing is used in the
future, it will be significantly reduce friction in lubricated
sliding contacts and thus make possible the hydrodynamic
lubrication of very low load contacts.
Boundary slip will be affected by many factors, include
solid and liquid properties and liquid–solid interface properties.
Recently, the influence of shear rate on boundary slip is widely
researched as it is one important liquid–solid interface property,
and the effect of shear rate on boundary slip is still a
controversial question. The slip length does not dependent on
shear rate in the most widely used slip length model proposed
by Vinogradova[10]. Many research group’s experiment results
agree with this constant slip length model, such as Pit[5]ǃ
Vinogradova[10,11]. But other groups consider that boundary
slip dependent on shear rate. Zhu[12,13] employed a surface
force apparatus to study the hydrodynamic squeeze force
between a pair of crossed mica cylinders lubricated by liquids.
They find slip didn’t occur when flow rate was low, but
implied partial slip when it exceeded a critical level. The
experiments of Craig[14]ǃHenry[15]experiments also agree
with shear-dependent slip.
In order to research the effect of shear rate on boundary
slip, a commercial Atomic Force Microscope was modified by
attaching a 45micro meter diameter glass ball to the end of
cantilever to form a ball-disk contact, which was used to
 Experimental Research on Boundary Slip of Confined Liquids at Micro/Nano Scale and Effect of Shear Rate and Viscosity
investigate boundary slip effect of confined liquids under
different velocity. Solid surface specimen was prepared as
hydrophilic Si˄100˅and hydrophobic OTS film surfaces on Si
˄ 100 ˅ verse different viscosity sucrose solution. The
relationship between shear rate and boundary slip are discussed
carefully.
ACKNOWLEDGEMENTS
The authors would like to thank the NSFC for their
financial support under grant numbers of 50575123 and
50275071, as well as the financial support from the National
Basic Research Program of China (973 Program) under grant
number of 2003CB716205.
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[1] Craighead, H. G., 2000, “Nanoelectromechanical systems,”
Science, 290, pp.1532-1535.
[2] Thorsen, T., Maerkl, S.J., Quake, S.R., 2002, “Microfluidic
large-Scale integration,” Science, 298, pp.580-584.
[3] Wen, S. =., 1990, The 3ULQFLSOH of 7ULERORJ\, Tsinghua
University Press, Beijing.
[4] Pit, R., Hervet, H. Leger, L., 1999, “Direct evidence of slip
in hexadecane:solid interfaces,” Phys Rev Lett, 85, pp.
980-983.
[5] Bonaccurso, E., Kappl, M., Butt, H.J., 2002,
“Hydrodynamic force measurements: boundary slip of
water on hydrophilic surfaces and electrokinetic effects,”
Phys Rev Lett, 88, pp. 076103.
[6] Navier, C.L.M.H., 1823, “Mémoire sur les lois du
mouvement des fluids,” Mem Acad Sci Inst Fr, 6,
pp.389-416.
543
[7] Baudry, J., Charlaix, E., Tonck, A., Mazuyer, D., 2001,
“Experimental evidence for a large slip effect at a
nonwetting fluid-solid interface,” Langmuir, 17, pp.
5232-5236.
[8] Spikes, H.A., 2003, “The half-wetted bearing Part 1:
extended Reynolds equation,” Proc Instn Mech Engrs, 217,
pp.1-14.
[9] Spikes, H.A., 2003, “The half-wetted bearing Part 2:
potential application in low load contacts,” Proc Instn
Mech Engrs, 217, pp.15-26.
[10] Vinogradova, O.I., 1995, “Drainage of a thin liquid film
confined between hydrophobic surfaces,” Langmuir, 11, pp.
2213-2220.
[11] Vinogradova, O.I., Yakubov, G.E., 2006, “Surface
roughness and hydrodynamic boundary conditions,” Phys
Rev E, 73, pp. 045302.
[12] Zhu, Y.X., Granick, S., 2001, “Rate-dependent slip of
Newtonian liquid at smooth surfaces,” Phys Rev Lett, 87,
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[13] Zhu, Y.X., Granick, S., 2002, “Limits of the
hydrodynamic no-Slip boundary condition,” Phys Rev Lett,
88, pp. 106102.
[14] Craig, V.S.J., Neto, C., Williams, D.R.M., 2001,
“Shear-dependent boundary slip in an aqueous Newtonian
liquid,” Phys Rev Lett, 87, pp. 054504.
[15] Henry, C.L., Neto, C., Evans, D.R., 2004, “The effect of
surfactant adsorption on liquid boundary slippage,”
Physica A, 339, pp.60-65.
(The whole paper will be supplied by the authors if the reader
needs it.)
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Study on Micro-Scale Gas Slider Bearing with Direct Simulation Monte Carlo Method
Yanrui Zhang
State Key Laboratory of Tribology, Tsinghua Univ. China
ABSTRACT
MEMS devices with oscillatory or rotating parts need
lubrication to achieve long service life. Micro-scale
gas-lubricated thrust bearings are investigated by using both
MGL and DSMC methods in this paper. As dimensions of the
flow field decrease down to micro-scale or nano-scale, the
continuum gas flow theory will be invalid. DSMC is a
molecule-based method suitable for analyzing micro-scale gas
flow or dilute gas dynamics problems. Most of the previous
studies in the field was aiming at gas slider bearing between
the read/write head and rotating disk in HDD. Only the simple
inclined plane slider bearing was studied with the DSMC
method for checking the validity of MGL method at nano-scale
bearing gap size. In this paper, slider bearings with one and
two bumpss are considered. The gas pressure distributions are
obtained with the DSMC and compared with the results of
MGL simulations. In order to reveal the flow field of slider
bearings, stream-wise velocity profiles at different locations
are presented. The calculation results indicate that negative slip
velocity can be observed near the upper wall of slider bearing
when the h1/h0 ratio reaches to 6. It may be the cause of
difference in pressure distributions between the results of MGL
and DSMC methods.
Keywords: Micro-scale, Gas bearing, DSMC,MGL
INTRODUCTION
As MEMS devices get more and more sophisticated, the
reliability and endurance problems become severe and
prominent, especially in devices with oscillatory and rotating
parts such as micro-motors and micro-engines. Because the
Table 1 Geometry of slider bearing with bumps
Case1
L h0
10μm 50~10nm
L1:L2:L3=4:2:4
Model and simulation
Figure 1 shows the configuration of the micro-scale thrust
bearings analyzed in the study. The dimensions of the bearing
structures are listed in Table 1.
L1 L3
L1 L3
L2
h2 L2 h 2
Pin,u1
h1 Pout,u2
Pin,u1
h1
h0
h0
Ub Ub
Fig.1 Geometries of slider bearings
Nitrogen is chosen as the media gas. The gas constant R
is 296.88 J/(kg·K). The molecular mass is 4.65ϧ10-26 kg with
diameter of 4.17ϧ10-10 m in VHS (variable hard sphere) model.
Yonggang Meng
State Key Laboratory of Tribology, Tsinghua Univ. China
(Extended Abstract)
existing thin solid and molecular film lubrication technologies
are difficult to meet the demands of MEMS devices, gas or
vapor lubrication may become an effective way for
overcoming tribological problems in MEMS devices.
The theory which govern gas flow in micro-scale bearings
is thin film lubrication or molecular gas film lubrication
(MGL). MGL theory is essentially a generalized Reynolds
equation with correction for dilute gas effect. Burgdorfer
[1] ,Hsia and Domoto [2] , Gans [3], Fukui and Kaneko[4] have
brought forward various rarefied effect corrections to Reynolds
equation. On the other hand, DSMC, which was introduced by
Bird [5] in 1976, is capable of simulating gas flow problems in
transition regime precisely with great flexibility. Alexander
[6] Eddie [7] , Weidong Huang [8] , Liu and Eddie[9], Fukui
and Yamane[10] have studied the flat air bearing slider problem
by using both the MGL and DSMC methods, and their
calculation results have shown a reasonable agreement
between the two different approaches in the case of flat slide
bearings.
In this paper we focus on the lubrication analyisis of
micro-scale gas bearing slider with bumps. This model comes
from MEMS thrust bearing structures but with some
simplification. The two-dimensional pressure distribution and
supporting position of resultant force of pressure with different
gap sizes are obtained. Further, the velocity profiles at different
locations are also displayed. Reverse flows can be observed in
some bearing configurations, which probably reduce the
pressure based on DSMC compared with the results of MGL.
Case2
h1 h2 L h0 h1 h2
100~60nm 50nm 10μm 50~10nm 100~60nm 50nm
L1:L2:L3:L4:L5=2:2:2:2:2
The viscosity is 1.656ϧ10-5 Nsm-2. The ambient temperature of
T =273K and ambient pressure of P0 =101325 Pa are used in
DSMC calculations. Thus, the particle number density is
n0=2.688ϧ1025 m-3.
The inlet and outlet pressures are set to be the ambient
pressure. The gas molecules flow into the bearing region
L5
continuously from the left side and then leave off at the exit.
The whole bearing domain is properly meshed in order to keep
L4
Pout,u2 cell size be consistent. The time step used in simulation is set to
be a value between 1.0ϧ10-11 s to 2.0ϧ10-12 s.
Results and discussion
We conducted a series of simulations in such a manner:
changing the bearing gap width h0 from 50nm, 40nm, 30nm,
544
 Study on Micro-Scale Gas Slider Bearing with Direct Simulation Monte Carlo Method
20nm to 10nm while keeping the structure of the upper part of
the slider bearing unchanged. The sliding velocity Ub of the
bottom wall is set as a constant value of 25m/s. Figures 2 and 3
show the two-dimensional pressure distributions in the cases 1
and 2 respectively.
Fig.2 Pressure distributions in case 1
Fig.3 Pressure distributions in case 2
Fig.4 Velocity profiles at several different sections in case 2
ACKNOWLEDGEMENTS
This research is funded by the National Basic Research
Project (2003CB716205) and NSFC (50525515, 50721004).
REFERENCES
[1] Burgdorfer A. The influence of the molecular mean free path on the
performance of hydrodynamic gas lubricated bearings. ASME Journal of
Basic Engineering. 1959,81:94~100.
[2] Hsia Y T, Domoto G A. An experimental investigation of molecular
rarefaction effects in gas lubricated bearings at ultra-low clearances. ASME
Journal of Lubrication Technology. 1983, 105:120~130.
[3] Gans R F. Lubrication theory at arbitrary Knudsen number. ASME
Journal of Tribology. 1985, 107: 431~433.
[4] Fukui S, Kaneko R. Analysis of ultrathin gas film lubrication based on
545
Both of Figs.2 and 3 display five groups of pressure
distributions calculated respectively with the MGL and DSMC
methods. We can see that the bearing pressure increase rapidly
before the front edge of the bump and decrease sharply after the
back edge, down to a value even below the ambient pressure.
The pressure distributions based on the two different methods
agree well with each other over the whole region, except at
some local zones.
To find out the reason for the difference between the
pressure results of the two approaches, the stream-wise velocity
profiles at several different locations are ploted, as shown in
Fig. 4 for the DSMC simulation results of case 2.
At the positions of x=0.1L and x=0.5L, the gas velocity
near the upper wall is negative when h0=10nm, which means
that there are reverse flow near the two sections. This
phenomenon may be caused by the vortex in flow field.
Because the modified Reynolds equation used in the MGL
simulations is based on the assumption of laminar flow, vortex
does not appear in MGL simulation results. Therefore, the gas
flow in MGL simulation may be greater than that of the DSMC
results as shown in Fig.4. Consequently, the pressure obtained
with the MGL method is a little bit higher than that of the
DSMC results in the zones where vortex exists.
Conclusion
DSMC is an effective tool for simulating gas flow
problems in micro-scale accurately. Gas slider bearings with
one or two bumps are investigated with both the MGL and
DSMC methods. The pressure distributions are coincidental
with each other except in the step zones, where vortex may
occur. The DSMC results can reveal the details of gas flow in
the step zones, and thus are considered to be more accurate
than the MGL simulation results.
linearized Boltzmann equation: first report-derivation of a generalized
lubrication equation including thermal creep flow. ASME J. Tribol. 1988,
11:253~262.
[5] Bird G A. Molecular Gas Dynamics. Bristol: Oxford University Press,
1976.
[6] Alexander F J, Garcia A L, Alder B J. Direct simulation Monte Carlo for
thin-film bearings. Physics of Fluids. 1994, 6(12):3854~3860.
[7] Eddie Y N, Liu N. The impacts of time-step size in the application of the
direct simulation Monte Carlo method to ultra-thin gas film lubrication.
Journal of Micromechanics and Microengineering. 2002, 12:567~573.
[8] Huang W and Bogy D B .Three-dimensional direct simulation Monte
Carlo method for slider air bearings. Physics of Fluids. 1997,9 (6):1764~1769.
[9] Liu N, Eddie Y N. The posture effects of a slider air bearing on its
performance with a direct Simulation Monte Carlo method. Journal of
Micromechanics and microengineering.2001,11:463~473.
[10] Fukui S, Yamane K. DSMC/MGL Comparisons of Stresses on Slider
Air Bearing With Nanometer Spacings. IEEE TRANSACTIONS ON
MAGNETICS, 2002, 38 (5):2153~2155.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Tribological Behaviors of Self-Assembled Dual-Layer Films in Atmosphere and in Vacuum
Bingjun Yu / Tribology Research Institute, National
Traction Power Laboratory, Southwest Jiaotong
University, Chengdu 610031, China
Jiaxin Yu / Tribology Research Institute, National
Traction Power Laboratory, Southwest Jiaotong
University, Chengdu 610031, China
Zhongrong Zhou / Tribology Research Institute,
National Traction Power Laboratory, Southwest Jiaotong
University, Chengdu 610031, China
(Extended Abstract)
ABSTRACT
Three kinds of self-assembled dual-layer films with various
tail groups and chain length were prepared on APS film
substrated by silicon wafer. Using an atomic force microscopy,
the tribological behaviors of these films were detected both in
atmosphere and in vacuum. Compared to those in atmosphere,
the films revealed smaller adhesion and friction forces in
vacuum. The more hydrophobic film was found to exhibit the
less difference between the friction forces in vacuum and in
atmosphere. The reason may be partly attributed to the
adsorbed water layer on the samples, since which will show
relatively weak effect on the friction force on the hydrophobic
surface. No obvious damage was observed on the
self-assembled films after the friction tests in vacuum at an
applied load of 140 nN by a Si3N4 tip. As the initial stage of
nanowear process by a diamond tip, a series of hillocks were
observed on silicon surface along the scratching line. All the
films can effectively enhance the antiwear ability of silicon
surface and the self-assembled dual-layer film terminated by
long chains (STA/APS) or –C6H5 groups (PAA/APS)
performed much better than that terminated by short chains.
Finally, the microwear abilities of the films were also
examined on a universal micro-tribometer at the normal load
from 50 to 200 mN. The wear life varied for different films and
good antiwear performance was assigned to STA/APS and
PAA/APS. This work can be indicative in the application of
self-assembled films in MEMS/NEMS.
Keywords: Atomic force microscopy, Self-assembled,
Vacuum, Nanotribology, Microwear
INTRODUCTION
Silicon based MEMS/NEMS experience oxidation during
micromachining and subsequent exposure to air, forming a
surface of increased stiction and friction [1]. The large surface
area to volume ratio of MEMS/NEMS also raises serious
adhesive and frictional problems on the contact surfaces. On
the other hand, in order to improve the reliability and stability,
a large quantity of MEMS/NEMS needs to be encapsulated in
vacuum environment, such as thermopile based sensors,
micro-mass spectrometer, resonators, gyroscope, and so on [2].
During the encapsulation, stability of surface lubricant should
be taken into account, e.g. the oil or grease-based lubricating
was not suitable for MEMS/NEMS under vacuum condition
because of latent contaminating.
The lubrication and long-term stability of micro devices
can be achieved through specific tailoring of self-assembled
monolayers (SAMs) bonding to normal SiO2 surfaces [3].
However, the fluorocarbon films were shown to actually
produce high friction in atomic force microscopy (AFM)
studies [4]; the octadecyltrichlorosilane (OTS) SAM coated
Linmao Qian
E-mail: linmao@swjtu.edu.cn, Tel.: +86 28 87600687
Linmao Qian* / Tribology Research Institute, National
Traction Power Laboratory, Southwest Jiaotong
University, Chengdu 610031, China
Jun Luo / Tribology Research Institute, National Traction
Power Laboratory, Southwest Jiaotong University,
Chengdu 610031, China
actuators showed enhanced in-use stiction, and do wear off
under high load in the side-wall friction test [5].
Recently, the double self-assembled films have drawn
people’s attention due to their excellent performances in
tribology. The self-assembled STA/APS dual-layer film can
greatly reduce the friction force and register much better
load-carrying capacity than the OTS monolayer [6]. A
dual-film of UHMWPE/PFPE has reduced the friction
coefficient considerably and led to the increase in the wear life
[7]. These suggest that the self-assembled dual-layer films may
find their promising applications in the future.
Therefore, it is necessary to fully understand the
tribological behaviors of the self-assembled dual-layer films
with different tail groups and chain length. Most importantly,
to study the tribological behaviors of these films in vacuum is
very desirable.
MAIN BODY HEADINGS
3–aminopropyltriethoxysilane (APS) was grafted onto the
hydroxylated Si(111) surface first. Then the stearic acid (STA),
propionic acid (PPA), phenylacetic acid (PAA) was formed
onto APS by self-assembly, respectively. The contact angle,
film thickness and chemical bonds were analyzed, and the
results reveal the chemical absorption between the top layer
and APS. The Si3N4 tip can be “run-in” to an equilibrated state
after about 20 scans on APS film, which then allows for
reproducible experiments [8]. Therefore, during the tests by a
Si3N4 tip, the friction-versus-load curve of the tip against APS
film was chosen as a reference for comparison. Only the
friction curves on APS film were repeatable before and after
the measurements on the target sample, could the friction
results on the sample be acceptable and comparable [9].
30
120
(a) atmosphere
Si-OH
(b) vacuum
APS
25 PAA/APS
Friction force Ff (nN)
Friction force Ff (nN)
PPA/APS
Si
90 APS
PAA/APS
20
Si-OH
Si
60
PPA/APS 15
10
STA/APS
30
STA/APS 5
0 0
0 20 40 60 80 100 120 140 160 180 0 20 40 60 80 100 120 140 160 180
Load (nN) Load (nN)
Fig. 1 Friction force versus the applied load curves of Si(111)
surface and self-assembled films measured in (a) atmosphere
and (b) vacuum
Fig. 1 shows that the STA/APS film can effectively reduce
the friction on Si surface. The hydroxylated Si (Si-OH) surface
reveals the highest adhesion and friction forces of samples in
atmosphere, which may be ascribed to the adsorbed water
adhered by the hydrogen bonds [10].
As a comparison, the friction force of samples decreased
sharply in vacuum (Fig. 1b). The film of STA/APS still
presented the lowest friction of samples. The Si-OH surface
546
 Tribological Behaviors of Self-Assembled Dual-Layer Films in Atmosphere and in Vacuum

revealed a great variation in its adhesion and friction forces at 50 mN to 0.07 at 200 mN. Despite of the similar structure,
between tests in atmosphere and in vacuum. PAA/APS with end groups of –C6H5 exhibited better wear
0.5 resistance than PPA/APS terminated by the –CH3 groups. The
reason can be attributed to the self-repairing property of phenyl,
0.4
/ Ff (atmos.)

that is to say, the –C6H5 groups can reorganize themselves into

0.3 the original state compelled by tension from chemical bond. In
summary, the self-assembled films can enhance the antiwear
(vacuum)

0.2
property of Si(111) substrate effectively.
0.1
Ff

0.0
Table 1 The number of microwear cycles corresponding to the
0 20 40 60 80 100
Contact angle  
O
Fig. 2 The ratio of friction force of sample measured in
vacuum to that in atmosphere plotted as the function of its
contact angle. The normal applied load is 100 nN. The fitting
curve reveals an ascending trend of the ratio with the increase
in the contact angle
It was found from Fig. 1 that the friction force of Si-OH
measured in vacuum was only 14% of that in atmosphere at an
applied load of 140 nN. With the increase in contact angle
from 0º to 99.1º, the ratio increases rapidly from 0.13 to 0.44
(Fig. 2). Clearly, the absorbed water layer does show a strong
effect on the friction of a hydrophilic surface with small
contact angle. However, for a hydrophobic surface with large
contact angle, the variation of ambience (atmosphere or
vacuum) reveals relatively weak effect on the friction. Most
importantly, since no obvious damage was observed on the in
situ films after the friction scans at an applied load of 140 nN,
the dual-layer films could work well in vacuum.
Si Si-OH
STA/APS PPA/APS
Fig. 3 AFM images of wear scars on Si(111) surface and
self-assembled films by a diamond tip. The load is 6.5 μN and
the number of scratch cycles is 100
When scratching a silicon surface using a diamond tip, the
formation of hillocks was observed in the present study. As
shown in Fig. 3, hillocks piled up after 100 line-scratch cycles
under a normal load of 6.5 μN. It can be found that the well
constructed self-assembled films, such as STA/APS and
PAA/APS, reveal the good antiwear property and prevent to
some extent the generation of hillocks.
The Si covered with self-assembled films displayed good
antiwear behavior by contrast with the nature Si. The hillock
on STA/APS surface had the minimum volume of all and that
on PAA/APS surface ranked the next. Comparing with APS,
PPA/APS showed even worse performance in antiwear, which
may be due to its poor packing density [11].
Table 1 summarized the number of wear cycles before the
damage of the films tested by a universal micro-tribometer. At
a normal load of 50 mN, both PPA/APS dual-layer film and
APS monolayer failed for lubrication only within 500
line-scratch cycles. When the applied normal load increased to
200 mN, STA/APS still had excellent performance on
lubrication and antiwear, which can be ascribed to the
compliant molecule packing [11]. The PAA/APS performed
well at 100 mN, but failed at 200 mN. During the tests,
STA/APS showed the decreasing friction coefficient from 0.13
failure of self-assembled films under various applied normal
loads. The maximum number of cycles was set to 5000
Load APS STA/APS PPA/APS PAA/APS
50 mN 220 5000 433 5000
100 mN — 5000 — 5000
200 mN — 5000 — 240
ACKNOWLEDGEMENTS
The authors are grateful for the financial support from the
Natural Science Foundation of China (50625515, 50521503),
Specialized Research Fund for the Doctoral Program of Higher
Education (20050613023).
REFERENCES
[1] Maboudian, R., 1998, “Surface processes in MEMS
technology”, Surf Sci Rep 30, pp.207-269.
[2] Ko, W. H., 2007, “Trends and frontiers of MEMS”, Sensor
Actuat A 136, pp.62-67.
APS [3] Ulman, A., 1991, An Introduction to Ultrathin Organic
Films: From Langmuir-Blodgett to Self-Assembly,
Academic Press, San Diego.
[4] Houston, J. E., Doelling, C. M., Vanderlick T. K., Hu Y.,
Scoles G., Wenzl I., Lee T. R., 2005, “Comparative study of
PAA/APS
the adhesion, friction, and mechanical properties of CF3-
and CH3-terminated alkanethiol monolayers”, Langmuir 21,
pp.3926-3932.
[5] Maboudian, R., Ashurst, W. R., Carraro, C., 2000,
“Self-assembled monolayers as anti-stiction coatings for
MEMS: characteristics and recent developments”, Sensors
and Actuators 82, pp.219–223.
[6] Ren, S. L., Yang, S. R., Zhao, Y. P., 2003, “Micro- and
macro-tribological study on a self-Assembled dual-layer
film”, Langmuir 19, pp.2763-2767.
[7] Satyanarayana, N., Sinha, S. K., Ong, B. H., 2006,
“Tribology of a novel UHMWPE/PFPE dual-film coated
onto Si surface”, Sensors and Actuators A 128, pp.98–108.
[8] Flater E. E., Ashurst W. R., Carpick R. W., 2007,
“Nanotribology of octadecyltrichlorosilane monolayers and
silicon: self-mated versus unmated interfaces and local
packing density effects”, Langmuir 23, pp.9242-9252.
[9] Qian, L. M., Xiao, X. D., 2000, “Tip in situ chemical
modification and its effects on tribological measurements”,
Langmuir 16, pp.662-670.
[10] Angst, D. L., Simons, G. W., 1991, “Moisture absorption
characteristics of organosiloxane Self-assembled
monolayers”, Langmuir 7, pp.2236-2242.
[11] Xiao, X. D., Hu J., Charych D. H., Salmeron M., 1996,
“Chain length dependence of the frictional properties of
alkylsilane molecules self-assembled on mica studied by
atomic force microscopy”, Langmuir 12, pp.235-237.
547
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Research on Fractal Contact Model of Cylinders’ Surface

Huang Kang, Zhao Han, Chen Qi*

School of mechanical and automotive engineering, Hefei University of Technology, Hefei 230009, China

ABSTRACT When Mandelbrot[7] was researching on the geometry

In order to deeply investigate the contact stress state of figure of the earth surface, he finded out that the numbers of the
two cylinders, search for more general influence factors of islands whose area exceed a fixed value satisfies exponential
stress and set up more accurate formulas of stress calculation, a relationship:
new fractal contact model of two cylinders is set up through
N ( A & a) ~ a  D / 2 [2]
combining the fractal contact model and traditional contact
model. This model can generally reflect the influence of contact Where a is fixed area. a is area having a fixed value; A is the
islands’ area; N is the numbers of the islands whose area
stress by the microcosmic characters and macroscopical factors
exceed ”a”; D is fractal dimension of islands and coasting.
of two cylinders, and get more exact results about stress
After research Majumdar and Bhushan[8] get the
calculation. What’s more, the establishment of this model
conclusion as follows:
supplies academic basis for stress analysis and optimized D/2
design of related mechanical product, such as gear and bearing. dN ( A & a ) D a l
n( a )   [3]
Keywords: Fractal, Contact Model, Random Surface Surface da 2 a ( D / 2 1)
Stress Analysis By eqs.[1] and [3], the relationship between the total load
of the contact surfaces and actual contact area—Ar can be
INTRODUCTION obtained.
The contact model of two cylinders is a basic model M-B model indicates:
when we are researching on the questions about contact stress. * ( 3 D ) / 2
(1) When ac ' 0 , P ~ Ar
* *
It is usually used to analyze the contact stress, such as the , namely the load and
contact problems of gear teeth in mesh and bears. Presently, the area satisfies exponential relationship.
mathematic model about contact problems is mainly deputized (2) The adding of elastic contact area will better the contact
by classical Hertz model[1]. The model mainly considers the condition. Usually Are / Ar is used to judge the size of the
bodies’ macroscopical characters, for example the radius of elastic area among the contact areas, so as to determine the
curvature, the material and the load of the contact bodies. But contact quality, where Are is the elastic contact area and
the model cannot well analyze the microcosmic characters,
such as the surface figure of the contact bodies. Fractal model Ar is the total actual contact area.
is an effective model to analyze the microcosmic figure, while
it considers little about the macroscopical factors. 2 ESTABLISHMENT OF FRACTAL CONTACT MODEL
How to set up a new model which can consider both the ABOUT TWO RANDOM CYLINDERS
microcosmic and macroscopical characters of the contact 2.1 Discussion about n(a )
bodies is the main content of this paper.
In M-B model, the resolution of n(a ) mainly suppose
1 REVIEW OF FRACTAL CONTACT MODEL that the two contact bodies contact on unlimited plane, here
Here, the classic M-B model [2~3] is introduced. Suppose “unlimited” can also be relative to every tiny protruding body.
Obviously, when two surfaces do not contact unlimitedly, the
that the surface figure of tiny protruding body can be defined
D / 2
by W-M function[4~5] and that surface roughness is static total number of contact points is not equal to a . It can be
isotropy, and after deduction [6] , the total load of the contact assumed that the adding of contact area will make the number
surface can be estimated by dimension distributing function of of contact points increase, but the value of the contact points
D / 2
contact points. The formula is: shoud be less than or equal to a . So the the theoretical
4 # EG D 1 al ac contact area will influence the size of N.
P
3 ac 
n( a ) a (3 D ) / 2 da  K
y n( a ) ada
as
[1]
Where the first part in eqs.[1] is elastic contact load, and
the second part in eqs.[1] is plastic contact load. Where P is the
total load of the contact surfaces; D is fractal dimension of
surface figure; G is characteristic measure coefficient reflecting
the size of z(x); z(x) is highness of figure; E is synthetical
modulus of elasticity. ac is the critical area when single tiny
protruding body changes elastic distortion to plastic distortion;
al is the biggest contact area among the contact points; n(a) is
dimension distributing function of contact points.
Fig. 1 the contact model of two cylinders’ surfaces
* Email:hfut.chen@yahoo.com.cn

548
 Research on Fractal Contact Model of Cylinders’ Surface

2.2 Construction of surface contact coefficient- C

Shown by Fig.1, if two cylinders which meet the
conditions above contact on point O, and the radius of the
cylinders are R1 and R2 respectively, when the bodies contact
everywhere, the total number of contact points can be got from
eqs.[2]. Thus when the theoretical contact area is “s”, the size
of N must be less than this value.
Here, suppose N satisfies the following relationship:
N ( A & a ) ~ C a  D / 2 [4]
Where N is the total number of contact points; C is
the influence factor of N, also named as surface contact
coefficient; The coefficient is used to reflect how much the
actual contact area influences the size of the contact points.
Because N is an exponential funtion, so C can also be a
form of exponential funtion. Influenced by the size of contact Fig.2 The changing trend of C with R2, when P, R1 keep still
area, contact style and radius of curvature, the surface contact From Fig.2, conclusions can be got as follows
coefficent can be constructed as follows: (1)  C is always less than 1. This result is the same with
s eqs.[4], namely if two bodies do not contact unlimitedly, the
C  ( )x [5]
(S formed numbers of contact points should be less than N.
(2) when R1 keep still, C adds by R2, so the increase of R2
Where s is the theoretical contact area, it can be will better the contact intensity. What’s more, when R1 and R2
calculated from below[2]: are of the same value, C of inner mesh is more than that of
4 BP R1 R2 1 / 2 outer mesh. So the contact intensity of inner contact is less than
s  2 B( ) [6] that of outer contact.
# E R1 ) R2 The above conclusions are consistent with the classic
Here, B is the valid contact length of two cylinders; P is contact theory. Therefore the choosing of C is logical.
load in unit length; C¬C–ˉ PP
Where (S is the sum of two surfaces’ area, can be 1

calculated from below:

(S  S 1 ) S2 [7] 0.95

Here, “+” denotes outer mesh, “-” denotes inner

mesh 0.9
C
C

Where x is synthetical curvature coefficient. Set ¬

1 1
x ) [8] 0.85
R2 R1 inner contact
outer contact
From eqs.[5] [6] [7], the conclusion can be got as
0.8
follows: 0 200 400 600 800 1000
C2 x P
C   0 C P [9]
(a) R1=100,R2=60
Here 0C is :
C¬C–ˉPP
1 1
( ) ) 1
 4 B R1 R 2 
1/ 2  R2 R1
  
  #E R1 ) R2   0.95
0 C  
 # ( R1 ) R2 ) 
  0.9
C

C
  [10] ¬

C2  1/ 2 0.85 inner contact

outer contact

2.3 Rationality analysis of coefficient C 0.8

0 200 400 600 800 1000
Let P=1000N, B=50mm, R1=100mm, E=155GMpa, the P

relationship figure of C  R 2 can be got and shown in

(b) R1=100,R2=100
Fig.2.
Fig.3 The changing trend of C with P2, when R1 ,R2 keep still

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Where G denotes the range of roughness; , denotes the

Let B=50mm, E=155GMpa, the relationship figure *

of C P can be got and shown in fig.3. material characteristic parameter .

From Fig.3, it can be seen that as P adds, C increases. (2) D  1.5
But the changing range is small, namely P has little influence

P 
1
on C. Although the adding of P will increase the actual contact
area, the total contact intensity will still add. '*
* *
( Ar' ) Aa E / 0C 1C 2 x
The reason is that the adding range of P is more than the P  2
[15]
increment of actual contact area. From Fig.3, it can also shown Aa E
that C of inner contact is more than that of outer contact. So in
the condition of same load, inner contact is more advantageous A '* 
3/ 4
*  3 K,  A ' * 
3/ 4
1/ 2 r  A'  r  1/ 4
than outer contact. P2 * ( Ar' * )  # G *  3  ln  r *  a c* (D  1.5)
 3a c  4  3 
What’s more, by contrasting Fig.3(a) and (b), it can be      
seen that when R1 keep still, the adding of R2 benefits for [16]
improving the value of C. It is the limit situation when R2
equals R1. As inner contact, it can be seen that two surfaces
2.5.2 If al * a c ,the contact bodies occur only in plastic

contact everywhere, so now C ' 1 ; But as outer contact, distortion:

*
c * 1 . P '  K,Ar '* [17]
2.4 Revision of distributing function n(a ) 2.5.3 Brief summary
Using eqs.[4][9]and[3], the following formula can be got: Eqs.[13]~[17] is the fractal model of two cylinders.

D al
D/2 As a c* ' 0 , the load and the area satisfy the following
n' ( a )  C n( a )   0 C P C2 x
[11] relationship:
2 a ( D / 21) * * (3 D ) / 2 (1C2 x )
2.5 Establishment of fractal contact model about two P ' ~ Ar' [18]
cylinders
al Namely,
From Ar   n(a )ada , the coefficient of the total  3 D 2 R1R2 
0  
* ' *  2 2 R1R2 ) R1  R2 
contact area can be got: P' ~ Ar  [19]
al
Ar '   n' (a )ada  C A r [12] From eqs.[18], two conclusions can be got as follows:
(1) The load and area meet exponential relationship. The result
0

AsC <1, so Ar ' * A r . Therefore with the same load
P, the contact stress will add times of C . Thus it can be seen
that as C adds, contact intensity will be smaller.
Put eqs.[11] into [1], the total load formula can be got.
Because when the size relation of
objects’ distortion status is inequable. Therefore, the load is
given by two styles as follows:
2.5.1 if al & a c , the contact bodies occur in elastic and
plastic distortion. Here the load can be divided by two
following Situation:
(1) D + 1.5
is consistent to the early finding that the surface load and the
n
actual contact area satisfy exponential relationship: P ~ Ar .
So the above model is believable.
(2) the exponent is not only relative to the fractal dimension,
but also to the contact radius and style. Therefore the model can
synthetically consider the influence fators of the tradional
al and a c is different, the contact model and fractal model. So it is more accurate and
broader.
3 PREDICTION OF FRACTAL MODEL ABOUT
CYLINDERS
3.1 Prediction 1
Fig.3 gives the predictive result of this model when given
a set of parameters. Through the prediction, the following
1 conclusions can be got:

( P1 ( A
*
'*
r )
Aa E / λ0C ) 1+ C 2 x (1)the total trend is right.
From Fig.4, it can be seen that the curve form of
P '* = [13] cylinders’ fractal model is similar to the M-B model, but the
Aa E cylinders’ fractal model is lower than the M-B model. This
P shows that when cylinders contact, the stress adds. So the
Where P '* =
denotes the load without contact situation is worse than M-B model. This viewpoint
Aa E
inosculates with the actual situation, because the cylinder’s
A
dimension; Ar'* = r denotes the true contact area without contact in higher pair, and in the same load, the less of the
Aa contact area will lead to the adding of contact stress.
dimension. (2)The result of the model is consistent with the traditional
( D 1)
 '* 
( 3 2 D ) / 2
 model.
4 # G*
P1
*
( Ar* )  g1 ( D ) A ' r
* ( D / 2)
 (2  D ) A r   ac*
( 3 2 D ) / 2
 ķwhen the variableness R1 and the other variableness
3  D 
 
  keep still and whenever in inner contact or outer contact, as R2
*D/2 ( 2 D ) / 2 adds, the same load will get bigger actual contact area, so the
 K,g 2 ( D) A' r ac* (D + 1.5)
contact stress will descend. Therefore, adding the radius of the
[14] cylinders is advantageous.

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 Research on Fractal Contact Model of Cylinders’ Surface

Are/Arˉ Ar' *
1

0.8

0.6
r
A/

Ar'*
er 0.4
A
G*=10e-12
0.2 G*=10e-10
G*=10e-8
0
-4 -3 -2 -1
10 10 10 10
(R1=100,D=1.5,G*=10-10, , =0.01) Ar' *
(c) the actual area in the condition of elastic distortion
Fig.4 the predictive influence by radius of R1 and R2
Fig.5 the predictive influence by G*(D=1.5, , =0.01)
ĸinner contact is better than outer contact. The nearer R2
approaches R1, the closer the curve approaches the M-B model. 3.3 Prediction 3
3.2 Prediction 2 Fig.6 gives the predictive result of this model influenced
Fig.5 gives the predictive result of this model influenced by material characteristic parameter , . From Fig.6.[a] and (b),
by parameter G*. From Fig.5, it can be got as follows:
Reducing G* makes the curve move up, so reducing G* can it can be seen that the increment of , will make the curve of
effectively decrease the contact intensity, and accordingly Ar-P move down, so it will add the contact intensity. But from
better surface contact character. Reducing G* predicates to Fig.6.(c), it is shown that the increment of , will add the elastic
decrease the surface roughness. The conclusion is the same area, so the surface contact quality is improved. Therefore it is
with M-B model[5].
advantageous for contact effect to properly add the value of , .
Ar' *ˉ P' *
10
-1
-1
Ar' *ˉ P' *
10
G*=10e-12 ˙1
-2 G*=10e-10 ˙0.01
10
G*=10e-8 ˙0.001

-3 -2
* 10 * 10
Ar'*
Ar'*

r' r'
A A
-4
10

-3
-5 10
10 10
-5
10
-4 -3
10
-2
10
-10 -5 0
10 10 10 P' *
P' *
(a) the actual area of inner contact
(a) the actual area of inner contact Ar *ˉ P' *
Ar' *ˉ P' * 10
-1
-1
10
G*=10e-12 ˙1
G*=10e-10 ˙0.01
-2
10 G*=10e-8 ˙0.001

-2
-3 * 10
Ar'*

r'
Ar'*

* 10
r' A
A
-4
10

-3
-5 10
10 -5 -4 -3 -2
10
-10
10
-5
10
0 10 10 10 10
P' * P' *
(b) the actual area of outer contact (b) the actual area of outer contact

551
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Are/Arˉ Ar' * Are/Arˉ Ar' *

1 1
D˙1.5
0.9 0.8 D˙1.1
D˙1.9
0.8
0.6
r r
A/ 0.7 A/
Ar'*

Ar'*
er er 0.4
A A
0.6
˙1
˙0.01
0.2
0.5
˙0.001
0.4 0
-3 -2 -1 -4 -3 -2 -1
10 10 10 10 10 10 10
Ar' * Ar' *
(c) the actual area in the condition of elastic distortion (c) the actual area in the condition of elastic distortion
Fig.6 the predictive influence by Fig.7 the predictive influence by
, (D=1.5 ,G*=10-10,R1=100,R2=60) D( , =0.01 ,G*=10-10,R1=100,R2=60)

3.4 Prediction 4 Fig.7 gives the predictive result of this model influenced
by fractal dimension of D. From Fig.7, it can be seen that:
Ar' *ˉ P' * The influence of contact character by D is not linear
-1
10 relationship. There is a best status when D has a set value. Only
in this value of D can contact character get best situation.

4 CALCULATING EXAMPLE CONTRASTING WITH

-2 TRADITIONAL HERTZ MODEL
10
Seeing from fig.1, suppose: R1=100mm, R2 is a variable,
B=50mm, the material of the two cylinders are steel, Poisson's
* ratio is 0.3, modulus of elasticity is 2.06×105, the load P is
r'
Ar'*

A D˙1.5 1000N. Applying the theory of Hertz, the average contact stress
-3
10 D˙1.1 of the two cylinders can be calculated as follows[2]:
D˙1.9
# WE
p ave 
4 #R [20]
-4
10 Here: p is the average contact stress of the two cylinders
-5 -4 -3 -2 -1 ave
10 10 10 10 10 (MPa);
P' * W is the load of unit length(N/mm);
(a) the actual area of inner contact E is synthetical modulus of elasticity;
R is synthetical curvature radius;
From eqs.[20], we can get the relation curve between
-1
Ar' *ˉ P' * Pave and R2.
10 Paveˉ R2
350
cylinders' fractal model- outer contact
300 cylinders' fractal model- inner contact
Hertz model -outer contact
-2
10 Hertz model -inner contact
250
Pave/MPa
Ar'*

*
r' a
P
200
A -3 M
10 D˙1.5 /
e
v 150
a
D˙1.1 P
D˙1.9 100

-4
10 50
-5 -4 -3 -2 -1
10 10 10 10 10
P' * 0
0 20 40 60 80 100
(b) the actual area of outer contact R2/mm
Fig.8 The contrast of contact stress calculation with cylinders’
fractal model and Hertz model

552
 Research on Fractal Contact Model of Cylinders’ Surface
Applying the theory of this article and supposing that the
fractal dimension D is 1.5 , the material characteristic
parameter  is 0.01, the range of roughness G is 10×10-5,
nominal contact area Aa is 0.1mm2, from eqs.[13~17], the
relation curve between Pave and R2. can also be got.
Fig.5 is the result of the calculating with the model of
Hertz and the fractal model put forward in this article.
From fig.5, we can get that result of fractal model is
basically the same with the Hertz model. But the value of
fractal model is bigger than that of Hertz model.
5 CONCLUSIONS
(1) After synthetically considering fractal model and traditional
contact model, the fractal contact model of cylinders is set up.
This model is more accurate than simply using the fractal
model or classical contact model to analyze the contact status
of cylinders, so it can reflect the cylinders’ contact stress well
and truly.
(2) This model has big practical foreground. Because the
contact model of cylinders is a basic model of factual contact
objects, hereby the fractal model of two balls or random surface
can be got by consulting this model. The model here acts a
“precursor” action. Furthermore, this model is the theoretical
model of gear contact, so it can be used to research on the
fractal model of gears, and can supply the theoretical basis for
further study on the working status and stress analysis of gear
teeth.
ACKNOWLEDGEMENTS
Here, we will thanks a lot to Anhui Science &
Technology Department, because the progress of the research is
constantly supported by Natural Science Foundation of Anhui
Province which is a suppled by Anhui Science & Technology
553
Department.
REFERENCES
[1] Bowden F P. Tabor D. Friction and Lubrication. Oxford
University Press,1954
[2] B.Bhushan. Introduction to Tribology. New York: John
Wiley&sons,2002
[3] Thomas L, Warren T L, Krajcinovic D. Random Cantor
Set Models for the Elastic-perfectly Plastic Contact of
Rough Surfaces. Wear,1996,196:1-15
[4] Majumdar,A.Tien,C.L. Fractal Characterization and
Simulation of Rough Surfaces. Wear,1990,136(2):313-327
[5] Majumdar A, Bhushan B. Role of Fractal Geometry in
Roughness Characterization and Contact Mechanics of
Surfaces. ASME Journal of Tribology, 1990,112:205-216
[6] Majumdar A, Bhushan B. Fractal Model of Elastic-plastic
Contact between Rough Surfaces. ASME journal of
Tribology,1991,113:1-11
[7] Mandelbrot K.L. Stochastic Models for the Earth’s Relief,
the Shape and the Fractal Dimension of the coastlines, and
the Number-area Rule for Islands. Proceedings of the
National Academy of Science, USA, 1975,72: 3825-3838
[8] Majumdar A, Bhushan B. Fractal Model of Elastic-plastic
Contact between Rough Surfaces. ASME journal of
Tribology,1991,113:1-11
Author brief introduction
Huang Kang ,born in 1968, professor, main research direction: mechanical
design and theory.,email:hfhuang98@hotmail.com
Zhao Han, born in 1957, professor, Doctoral tutor, main research direction:
mechanic, mechanical drive, magnetic machine, numeral design and
manufacture, automobile, email: hanzhao@mail.hf.ah.cn
Chen Qi, born in 1979, doctor postgraduate, main research direction:
mechanical design and theory, email:hfut.chen@yahoo.com.cn
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Friction between Diamond-Like Carbon (DLC) Films—a Molecular Dynamics Study

554
Friction between Diamond-Like Carbon (DLC) Films—a Molecular Dynamics Study

555
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Molecular Dynamics Simulations of Atomic-Scale Friction in Diamond-Silver Sliding System
Pengzhe Zhu / State Key Laboratory of Tribology,
Tsinghua University, Beijing, China
*Yuanzhong Hu / State Key Laboratory of Tribology,
Tsinghua University, Beijing, China
(Extended Abstract)
ABSTRACT
Molecular dynamics simulations have been performed to
explore the atomic-scale sliding friction, especially the
stick-slip friction, in a system consisting of a diamond slider
and a silver substrate. The analyses of the shear distance
between the upmost layer and the downmost layer and
displacements of a column atoms in the slider shows that
shearing deformation is the main cause of the stick-slip
phenomenon. Our simulations also present that a
commensurate fit between the two contact surfaces is
unimportant for the stick-slip friction.
Keywords: Atomic-scale friction, stick-slip, molecular
dynamics simulation, shearing deformation
INTRODUCTION
Stick-slip motion is a common phenomenon observed
when solids slide against each other. Despite the fact that
stick-slip phenomenon occurs over a broad range of length
scales [1], its origins are still not well understood. The primary
cause of macroscopic stick–slip was attributed by Bowden and
Tabor to elastic deformation. Atomic scale stick–slip in a
scanning force microscope was first reported by Mate et al. [2].
In recent years a number of theoretical and experimental
investigations have been carried out to explore the
atomic-scale stick–slip. Landman et al. found atomic-scale
stick-slip behavior when sliding a Si tip on a Si (111) surface
[3] and a CaF 2 tip on a CaF 2 substrate [4] by using
molecular dynamics (MD) simulations. Li et al. performed MD
simulations of sliding friction showing that stick-slip is due to
elastic deformation of surface layers and the commensurate fit
between the contacting surfaces is not important for the
stick-slip phenomenon [5]. Other atomistic simulation work
can be found in [6-8] and experimental work in [8, 9].
Landman et al. studied stick-slip friction under attractive force
fields (i.e. negative load) [3]. In this work, we also use MD to
investigate atomic-scale stick–slip friction of a diamond slider
sliding over the Ag(001) surface under negative load.
MOLECULAR DYNAMICS SIMULATIONS OF
STICK-SLIP FRICTION
A.SIMULATION METHOD
Figure 1 shows a schematic representation of the model
employed in the MD simulations. The model consists of a
diamond slider of 272 atoms and a silver substrate of 1024
atoms. The three orientations of substrate are in x-[100],
y-[010], z-[001]. The atoms are cataloged into three groups:
rigid, thermostat and Newtonian atoms, as shown in Figure 1.
Fig. 1 The model for simulation
*To whom all correspondence should be addressed.
E-mail: Huyz@tsinghua.edu.cn
Hui Wang / State Key Laboratory of Tribology, Tsinghua
University, Beijing, China
The rigid atoms are the outermost two layers in the substrate
and slider. The next three layers next to rigid atoms are
thermostat atoms in both slider and substrate. All the other
atoms are Newtonian atoms which are unconstrained. In order
to minimize thermal effects, we maintain the temperature of
thermostat atoms at 10K via Berendsen thermostat [12].
The interactions between the C–C atoms are described by
Brenner’s potential [10]. For the interaction between substrate
atoms we adopt embedded atom method potential developed
by Doyama[11]. The Ag-C interaction is described by Morse
potential. Periodic boundary conditions are imposed in the x
and y directions. The rigid atoms form fixed boundaries in the
z direction.
The molecular dynamics simulations are carried out in the
NVT ensemble, i.e., atom number (N), volume (V), and
temperature (T) are constant. Newton’s equations of motion
are solved by the predictor–corrector Gear algorithm. The time
step is 1 fs. Sliding friction is generated by applying a constant
external velocity, Vex, to the rigid atoms of the slider at each
time step, i.e. constant velocity method (CVM). The direction
of Vex is in the x direction. In our simulations, the frictional
force and normal force are obtained by summing up atomic
forces from all the atoms in the slider, along the x-direction
and z-direction, respectively (see figure 1). During sliding, the
z-direction movement of the atoms in the outmost layer of the
slider is fixed to mimic a normal loading condition. According
to the MD results of indentation, we choose the initial
separation distance between slider and substrate as 1 angstrom.
Therefore, the normal force of the slider is attractive, i.e.
negative load.
B.SIMULATION RESULTS AND DISCUSSIONS
Sliding simulations were conducted for Vex=10-200 m/s.
with total sliding distance of 12 angstroms.
We define a friction force:
f x = − Fx (1)
Fx is the sum of the x-direction atoms force for all the atoms in
the slider.
Figure 2(a) shows that the frictional force exhibited a typical
stick-slip behavior for the lower velocities (i.e. 10, 30 and 50
m/s). The stick-slip periodicity is the same as the lattice
constant of the substrate (4.08 angstrom). As Vex increases
beyond 100 m/s (see Figure 2(b)), the stick-slip behavior is
less obvious due to the fact that at higher velocities there is less
time for the system to reach an equilibrium state.
The periodic frictional forces (stick-slip friction) in the lower
velocities are quite surprising because the contacting surface
are incommensurate (the lattice constants of diamond and
silver were 3.567 angstrom and 4.08 angstrom, respectively).
The slider will store strain energy through shearing during the
stick stage because of the interfacial interaction (adhesion
force) between slider and substrate. The strain energy is
released when slip happens [5, 13]. We record the position of
the center of mass of the upmost layer in the slider, xu , and
that for the downmost layer, xd , respectively. The shear
distance between the upmost layer and the downmost
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 Molecular Dynamics Simulations of Atomic-Scale Friction in Diamond-Silver Sliding System
layer,Δ x = x u − x d , is proportional to the shear strain.
Figure 3 exhibits the variation of Δx and f x with sliding
distance for Vex=30 m/s. Figure 3 shows that relative
displacements take place between the atomic layers of the
slider. To better reveal the interlayer displacement,
displacements of a column of atoms (4 atoms) perpendicular to
the interface located in the middle of the slider are recorded [5],
see Figure 4. Figure 3 and 4 clearly show that in the stick stage
shearing deformation takes place. So stick-slip process can be
explained as follows: When the slider starts sliding, the upmost
Fig. 2 Frictional force, f x , as a function of sliding
distance.(a) Vex =10, 30, 50 m/s;(b) Vex =100, 200 m/s
Fig. 3 Shearing distance Δ x = x u − x d and f x
sliding distance during sliding at Vex =30 m/s
layer of the slider moves with Vex and relative
displacements(shearing deformation) will take place between
the atomic layers of the slider due to the interfacial interaction
(adhesion force). As the sliding proceeds, shearing deformation
(strain energy) gradually accumulates. After shearing
deformation (strain energy) reaches a maximum, interatomic
interactions in the slider will be greater than the interfacial
interaction (adhesion force) between the slider and substrate.
At this time slip will occur and strain energy is released.
Our study also indicates that a commensurate fit between the
two contact surfaces is not significant for the stick-slip. Li et al.
obtained the same conclusion from their simulations of Ni-Al
sliding [5].
C.CONCLUSIONS
Molecular dynamics simulations have been performed to
Fig. 4 Displacements of four atoms in the same
column perpendicular to the interface located in the middle
of the slider at Vex=30 m/s.(the first 5000 timestep was used
for system relaxation)
explore sliding friction, especially stick-slip phenomenon. The
analyses of the shear distance between the upmost layer and
the downmost layer and displacements of a column atoms in
the slider shows that shear deformation is the main cause of the
stick-slip friction. Our simulations also show that a
commensurate fit between the two contact surfaces was not
important for the stick-slip to occur.
ACKNOWLEDGEMENTS
The authors would like to acknowledge the support of
National Natural Science Foundation of China, under Grant No.
50730007, No. 50675111 and No. 50721004.
REFERENCES
[1]Demirel, A. L .,Granick S, 1996, “Friction Fluctuations and Friction
Memory in Stick-Slip Motion,” Phys. Rev. Lett. , 77, pp.4330-4333.
[2]Mate,C. M., McClelland, G. M.,Erlandsson, R., Chiang ,S.,1987,
“Atomic-scale friction of a tungsten tip on a graphite surface,” Phys.
Rev. Lett. , 59, pp.1942-1945.
[3]Landman, U., Luedtke ,W. D. , Ribarsky, M .W., 1989, “Structural and
dynamical consequences of interactions in interfacial
systems,”J.Vac.Sci. Technol. A, 7,pp.2829-2839.
[4]Landman, U., Luedtke ,W. D. , Ringer, E .M., 1992, “Atomistic
mechanisms of adhesive contact formation and interfacial processes,”
Wear ,153, pp.3-30.
[5]Li, B.,, Clapp, P.C., Rifkin, J.A., Zhang, X.M., 2001, “Molecular
dynamics simulation of stick-slip,” J. Appl. Phys, 90,pp.3090-3094.
[6]Sørensen, M. R., Jacobsen, K .W. , Stoltze, P., 1996 , “Simulations of
atomic-scale sliding friction,” Phys. Rev. B,53,pp.2101-2113.
vs [7]Harrison, J. A., White, C. T., Colton, R. J .,Brenner, D. W., 1992, “Static
junction growth during frictional sliding of metals,” Acta Metall.
Mater. ,40, pp.2503-2509.
[8]Cagin,T., Che,J., Gardos, M. N.,Fijany, A.,1999, “Simulation and
experiments on friction and wear of diamond: a material for MEMS and
NEMS application,” Nanotechnology,10,pp.278-284.
[9]Fujisawa, S., Kishi, E., Sugawara, Y., Morita, S., 1995, “Atomic-scale
friction observed with a two-dimensional frictional-force microscope,”
Phys. Rev. B, 51, pp. 7849-7857.
[10]Brenner, D. W., 2002, “A second-generation reactive empirical bond
order (REBO) potential energy expression for hydrocarbons,” J
Phys-Condens Mat, 14,pp.783-802.
[11]Doyama, M., Kogure, Y., 1999, “Embedded atom potentials in fcc and
bcc metals.” Comput. Mater. Sci. ,14 ,pp. 80–83.
[12]Berendsen H J C, Postma J P M, Vangunsteren W F, Dinola A, Haak J
R.1984,“Molecular-dynamics with coupling to an external bath,” J
Chem Phys, 81,pp.3684-3690.
[13]Zhang,Q.,Hector,L.G. ,Jr, Cagin,T., William A.G., III,2005, “Atomic
simulations of kinetic friction and its velocity dependence at Al/Al and
α − Al O / α − Al O interfaces,” Phys. Rev. B 72, pp.045406-1
2 3 2 3
/045406-12.
557
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Molecular Dynamics Study on Carbon Nanotubes Sandwiched between Si Surface

Li Rui, Hu Yuanzhong, Wang Hui
(State Key Laboratory of Tribology, Tsinghua University, Beijing 100084, China)

(Extended Abstract)

ABSTRACT SIMULATION METHOD

Distortion and friction of bundle of single-walled carbon Molecular dynamics simulations are used in this study. The
nanotubes sandwiched between two hydrogen-terminated atomic forces are determined by the second REBO[7] (reactive
Si(1,1,0) surfaces are investigated by molecular dynamics empirical bond-order) potential for hydrocarbons, which has
simulations. The atomic forces are determined by the second been successfully used in simulating properties of carbon
REBO (reactive empirical bond-order) for hydrocarbons, nanotubes, Tersoff[8] potential for Si-Si and Si-H bonds, and
Tersoff for Si-Si and Si-H bonds, and Lennard-Jones potential Lennard-Jones potential for non-bond interactions. The normal
for non-bond interactions. After reaching equilibrium state, a temperature 300K is adopted and time step is 0.2fs. Periodic
compressive force is applied to the carbon nanotubes until boundary conditions are applied in the directions parallel to
structural destruction appears on carbon nanotubes or surface planes.
substrates. Friction of the system is then investigated when the Simulation system, as shown as Fig. 1, is composed of two
upper substrate slides along X direction under no load and high hydrogen-terminated Si(1,1,0) surfaces and six (10,10)
load conditions. Distortion of carbon nanotubes can be single-walled CNTs that are horizontally arranged with the
observed during loading process and no structural destruction distance between neighboring CNTs set as 3.4nm. There is
occurs ever under the pressure as high as 3.8GPa because of slightly compressive strain on the Si slabs because of
their flexibility. Bundles of SWCNT (10,10) roll randomly and application of periodic boundary conditions, and the dimension
slightly under no pressure condition, but exhibit slide-and-roll of surface is 50.8Åh36.9Å. The outermost six layer atoms are
combined motion under 3.8GPa pressure. The results also fixed and inner atoms of surfaces are thermostat atoms.
show relatively low lateral forces in both cases. The low At first the system is allowed to equilibrate at 300K. Then
friction is attributed to the ewlatively weak Lennard-Jones compressive force is applied by moving topmost atoms of
interaction between substrate and carbon nanotubes with no upper Si surface towards the bundle in steps of 0.03Å until
hanging bond. Excellent performance is therefore expected obvious structural break is observed. After each movement, the
when carbon nanotubes without defects are used as lubricant or system is equilibrated for 500 time steps. Lateral and
addictives. compressive forces are the averages of the forces on the
Keywords: Carbon nanotubes, Friction, Molecular dynamics topmost atoms of upper Si surface from the last 100
interactions. Shearing simulations are carried on in typical
INTRODUCTION conditions after compressive process.
Since the discovery of carbon nanotubes (CNTs) by
Iijima[1] in 1991, they have attracted extensive interests of
researchers. Carbon nanotube can be described as a
honeycomb lattice rolled into a cylinder, which has long,
columned shape. Investigations have proved carbon nanotubes
have excellent mechanical characters, e.g., the Young’s
modulus of single walled carbon nanotube along axis direction
closes to 1Tpa, meanwhile its radical Young’s modulus is very
low therefore susceptible to shear.
It is known that carbon-derived materials have remarkable
performance in lubrication. Because of the characters of
carbon nanotubes mentioned above many researchers have
done significant work on studying their frictional behavior. P.
L. Dickrell [2,3] measured frictional coefficient vertically
oriented and flatted multi-walled CNTs film on the same
substrate. The results indicated flatted multi-walled CNTs gave
rise to a frictional coefficient as low as 0.09. K. Moyoshi [4]
also got similar results through experimental measurement.
Outstanding performance of CNTs as lubricant addictive has
been investigated by many researchers [5,6]. Suaan B. Sinnot
[7] simulated tribological properties of bundles CNTs between Fig. 1 model of simulation system
diamond(1,1,1) surfaces. But the results showed relative high
frictional coefficient for horizontal bundle of CNTs.
This paper investigates distortions and friction of bundle of RESULTS AND DISCUSSION
CNTs sandwiched hydrogen-terminated Si(1,1,0) surfaces
before structural destruction appears in system. The simulation The curve of normal force during compression process is
results show low friction. The objective of this study of plotted in Fig. 2. Equilibrium state is achieved until t=10ps
simulation is to reveal the mechanism of low friction of carbon when no load is applied. Normal force changes slowly with
nanotubes and to provide a rational explanation for experiment compression during 10-60ps because of flexibility of CNTs,
results from other researchers. and goes up rapidly after 60ps when Si surfaces break under
high pressure. Configurations of simulation system at typical
*To whom all correspondence should be addressed.
Email: lirui03@mails.tsinghua.edu.cn

558
 Molecular Dynamics Study on Carbon Nanotubes Sandwiched between Si Surface
time t=10, 60 and 70ps are shown as Fig 3(a), (b) and (c). In
first case, carbon nanotubes present cylinder shape. In second
case following compression large radical distortions in CNTs
can be clearly seen, and the shapes are similar to crawler-type.
In last case obvious structural destruction occurs on Si surface.
The results indicate bundle of CNTs can bear high load
because of flexibility and high Young’s modulus.
Fig. 2 Normal force cure of bundle of carbon nanotubes
Fig. 3 Configurations of simulation system in typical conditions:
(a) t=10ps, equilibrium state (b) t=60ps (c) t=70ps
Fig. 4 Lateral force in two cases:
(a) no pressure; (b) high pressure, 3.8Gpa
After compression finished, two typical configulations at
t=10, 60ps are chosen for shearing simulations, corresponding
to the system states with no load and high load, respectively.
The velocity of shearing is 100m/s. Lateral force curves in two
cases are plotted in Fig. 4(a) and 4(b), which show similar
559
form. Average friction forces in two cases are about 0.7nN and
3.0nN respectively. Normal force curve in second case is
shown as Fig. 5. The average value of compressive force is
about 72nN, then pressure on bundle is 3.8Gpa, and
accordingly friction coefficient is about 0.04.
Fig. 5 Normal force cure of bundle under high pressure
Random and slight rolling of carbon nanotubes under no
pressure and sliding combined with slight rolling under high
pressure are observed during shearing dynamics simulations,
which indicates no obvious rolling occurs like other
researchers reported in investigation of single CNTs, but low
frictions are still achieved in both cases. We think the reason is
that only van der walls force exists between Si surfaces and
carbon nanotubes because of no hanging bonds in simulation
system. When upper surface slides past bundle of CNTs, there
is no breaking and formation of chemical bonds that would
cause high friction force. As a result, low friction is achieved.
Excellent performance is therefore expected when the carbon
nanotubes without defects are used as lubricant or addictives.
REFERENCES
[1] Iijima S.,1991, “Helical microtubules of graphite carbon,”
Nature, 354, pp.56-58.
[2] P. L. Dickrell, S. B. Sinnott, D.W. Hahn, et al., 2005,
“Frictional anisotropy of oriented carbon nanotube
surfaces,” Tribol. Lett., 18(1), pp.59-62.
[3] P.L. Dickrell, S.K. Pal, G.R. Bourne, et al., 2006, “Tunable
friction behavior of oriented carbon nanotube films,” Tribol.
Lett., 24(1), pp.85-90.
[4] K. Miyoshia, K.W. Street Jr., R.L. Vander Wal, et al., 2005,
“Solid lubrication by multiwalled carbon nanotubes in air
and in vacuum,” Tribol. Lett., 19(3), pp.191-201.
[5] Chen CS, Chen XH, Xu LS, et al., 2005, “Modification of
multi-walled carbon nanotubes with fatty acid and their
tribological properties as lubricant additive,” Carbon, 43(8),
pp.1660-1666.
[6] Yitian Peng, Yuanzhong Hu, Hui Wang, 2006,
“Tribological behaviors of surfactant-functionalized carbon
nanotubes as lubricant additive in water,” Tribol. Lett.,
25(3), pp.247-253.
[7] Brenner D W, Shenderova O A, Harrison J A, et al., 2002,
“A Second-generation reactive empirical bond order
(REBO) potential energy expression for hydrocarbons,”
J.Phys:Condens.Matter., 14, pp.783-802.
[8] Tersoff J., 1988, “New empirical approach for the structure
and energy of covalent systems,” Phys. Rev. B, 37 (12), pp.
6991-7000.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Tribological Aspects of Nanoimprint Process
Zygmunt Rymuza
Warsaw University of Technology Institute of Micromechanics and Photonics,
ul. Sw. A.Boboli 8, 02-525 Warsaw, Poland
(Extended Abstract)
ABSTRACT
The report is presenting the methodology which was
elaborated to identify the tribological problems of nanoimprint
process, to study the interactions in the mold-resist interface
and to optimize the resist material as well as mold surface to
control the tribological phenomena during imprint process.
Some results of the carried out extended studies are presented
and discussed.
Keywords: Nanoimprint lithography, Friction, Adhesion, Wear
INTRODUCTION
The nanoimprint lithography (NIL) is one of the recent
emerging technology for future rapid and cheap manufacturing
of nanostructures and nanosystems as well as nanopatterning
on wide areas [1-3]. The progress in the development of this
technology is hindered however by serious tribological
problems. The problems are caused by contact of the e.g.
silicon mold with the special polymeric resist ultrathin
(200-300 nm) film deposited on silicon . The mold as well as
polymeric resist material should be selected carefully to obtain
low friction, easily flow of the polymer into nanometer sized
cavities of the mold, low adhesion (no stiction) and low
friction as well as wear resistance of the mold during the
process and detachment phase of the mold from polymeric
resist film. This very complex tribological system is very
attractive subject of our intensive studies.
MAIN TRIBOLOGICAL PROBLEMS
The nanoimprint process is relatively simple. Imprinting
process is made using a mold with nanostructures on its
surface. This mold is used do deform a thin resist film
deposited usually on a silicon wafer substrate. In the thermal
process, with the use of a thermoplastic resist, the resist is
heated above its glass temperature. When the resist becomes
viscous liquid the mold is pressed into the resist.
The simplicity of the NIL nanofabrication technique is very
attractive. However, many difficult problems can arise during
imprinting. The accurate filling of cavities in the mold by liquid
(melt) polymer is an important issue. This phase of fabrication
process is connected with the ability to flow of the liquid (or
quasi) liquid polymer in a thin film and its friction and wetting
properties. The nanorheological/tribological behavior of
ultrathin polymeric film during imprint process determines the
imprint quality and the throughput of the NIL process. In
addition, the release of the mold requires overcoming
potentially very large adhesion as well as high friction at the
interface mold/resist interface. The detachment force (force
needed to release the mold from the resist with its fabricated
nanostructures) ) is a sum of a pull-off force (on horizontal
surfaces) and friction force (on vertical surfaces) in the contact.
This force should be decreased as much as possible to avoid
mechanical damage of formed nanostructures and to increase
reliability of the process as well as the lifetime of the mold.
In the nanoimprint process the critical is adhesion (and
friction) of polymer to the mold which can cause damage to the
nanoimprint in the form of abrasion and distortion. Also
mechanical, tribological (friction ability and wear resistance)
560
and adhesive properties of the mold (usually fabricated by the
use of silicon wafer) surface layer are of most importance.
TESTING PROCEDURE
A set of tests for testing of NIL materials and components
was elaborated in our laboratory [4].These tests fall into
groups: Atomic Force Microscopy (AFM) studies of the
surface morphology (roughness), lateral (friction) and adhesion
(pull-off force) of the film deposited on silicon substrate;
wettability studies of the film and mechanical, tribological and
adhesive tests versus temperature.
In the first group of measurements, commercially available
AFM cantilevers are used and the tests are performed in
air-conditioned laboratory at room temperature. The data on
roughness parameters characterizing the surface geometry of
the spin-coated ultrathin (200-300 nm) resist film are collected
and compared with the results of friction (lateral) force and
pull-off force measurements.
In the second group of tests the wettability of the resist film is
studied. For the tests a specially constructed computer
controlled test rig with CCD cameras is used. Contact angle
measurements are performed automatically from the analysis
of the droplet`s image. The Owens-Wendt method [5,6] is
applied to estimate polar and dispersion components of the
surface free energy of the tested film. The tests are carried out
in a special clean-room.
In the third group of tests the AFM-based special
microtribometer is used to perform mechanical,
tribological/rheological and adhesive/stiction tests on the resist
film versus temperature. The specially designed and
constructed stiff (200-1000 N/m) AFM cantilever made of
beryllium bronze foil with glued ball (0.7 mm in diameter) or
commercially available silicon cantilevers with glued small
ball as a tip are used.
Preliminary experiments have also been carried out to
measure the friction coefficient between real mold surfaces
and resist films. AFM friction measurements have been
initiated to estimate friction coefficient on the real vertical
walls of imprinted polymeric nanostructures by the use of
special cantilevers. The AFM studies of the wear of the special
protective coatings as well as the base mold material silicon
have been carried out to indentify possible lifetime of NIL
molds.
EXAMPLES OF TEST RESULTS AND DISCUSSION
The carried our extended studies of the surface topography
of the polymeric resist materials spin-coated in the form of
ultrathin (200-300 nm) film on a silicon wafer have shown that
the surface roughness is very different depending on the used
resist. The surface roughness can influence on flowing
properties of the resist during imprint process. The comparison
of the surface topographies, presented as AFM images, of two
resist materials is shown in Fig. 1.
The extremely smooth surface was observed in the case of the
MR-I 8030 resist sample but the relatively rough surface was
 Tribological Aspects of Nanoimprint Process
found for the NEB22A2 resist film.
Fig. 1 AFM images of surface topography of two resist films: MR-I
8030 (left) and NEB22A2 (right)
The studies of the lateral force and pull-off force (adhesive
force enabled to identify the tribological and adhesive
behaviors of the ultrathin resist films. The friction coefficients
of some resist films identified by the use of AFM equipped
with the typical commercially available silicon cantilever are
presented in Fig. 2.
Fig.2 Comparison of coefficient of friction for resist films: 1 - MIR
7000, 2 – HN458, 3 – NEB22A2, 4 – MIR 9000, 5 – MIR 8000
The friction coefficients are different. They depend on
adhesive and mechanical components of the friction force. The
roughness is important parameter but also mechanical
properties of the resist play important role in the frictional
behavior of the resist films.
The comparison of the results of the pull-off force (identified
from the force-distance curves) measurements is illustrated by
Fig. 3.
Fig.3 Comparison of pull-off force measured by use of AFM for films
of various resists.
The pull-off force characterizes the adhesive properties of
561
the resist which play very important role in particular in the
detachment phase i.e. the removal of the mold from the resist
after cooling phase of the imprint process. The pull-off force is
governed by the surface energy of the polymeric resist but
also on the area of contact of the AFM tip with the resist
(which depends on the mechanical properties of the resist
material).
The carried out further experiments were effective to
characterize surface energetics (surface free energy) of the
polymer. The wettability studies enabled to estimate the polar
and dispersion components of the surface free energy. It was
found that the ratio of polar and dispersion components can be
dramatically varied by the plasma treatment of the resist film.
Also the total surface free energy of the resist film was
decreased effectively by the use of this method. The
tribological tests followed these studies confirmed that the
friction can be reduced also by the plasma treatment of the
resist film.
The intensive studies revealed also very big effect of
temperature on the friction and adhesive behavior. It was found
that friction initially increases and then decreases after the
transition of the glass temperature of the polymeric resist in
contrary to the pull-ff force which increases dramatically at
the increase of the temperature (because of the increase of the
area of contact between the tip and the resist material).
CONCLUSIONS
The carried out extended studies of the resist and mold
materials enabled to characterize their tribological and
adhesive properties. The results of the studies were useful to
select the best materials to realize real nanoimprint
processes.
Tribological and adhesive as well as rheological behaviors
of the resist material are important to be identified to
optimize the NIL processes. The results of the carried out
experiments will be useful for the further studies of the
tribological and adhesive interactions at the mold-resist
interface during nanoimprinting.
ACKNOWLEDGEMENTS
Thanks are due for my PhD students M. Ekwinska for AFM
studies and A. Nowek for wettability studies as well as MSc
student A. Koszewski and undergraduated student D. Jarzabek
for the tests at increased temperatures.
The partial support of the EC-funded project NaPa
NMP4-CT-2003-500120 is gratefully acknowledged. The
content of this work is the sole responsibility of the author.
REFERENCES
[1] Sotomayor Torres C. (ed), 2003, Alternative Lithography, Kluwer
Academic, New York.
[2] Bhushan B. (ed), 2004, Springer Handbook of Nanotechnology ,
Springer Verlag, Berlin.
[3] -, 2007, Proceedings of Nanoimprint & Nanoimprint Technology
NNT`07 , Paris.
[4] Rymuza Z., Koszewski A., Ekwinska M., Nowek A., 2007,
“ Evaluation of ultrathin film of polymeric resists for nanoimprint
lithography”, in Proceedings of MNC 2007, Kyoto, pp. 282-283.
[5] Owens D.K., Wendt R.C., 1969, “Estimation of the surface free
energy of polymers”, J.Appl. Polym. Sci. ,13 Issue 8, 1741-1747.
[6] Zenkiewicz M., 2000, Adhesion and Modification of Surface Layer
of Highmolecular Materials, WNT, Warsaw, in Polish.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Molecular Dynamic Simulation of Effect of Crystallographic Orientation on
Nano-Indentation/Scratching Behaviors of BCC Iron
Cheng Lu/University of Wollongong, Wollongong,
Australia
Guillaume Michal/University of Wollongong,
Wollongong, Australia
Nam N. Huynh /University of Wollongong, Wollongong,
Australia
(Extended Abstract)
ABSTRACT
A molecular dynamics model has been developed to
investigate the effect of the crystallographic orientation on the
material deformation behaviors in nano- indentation/scratching
of BCC iron. Two cases with different substrate orientations
have been simulated. The orientations along x, y and z
direction are [001], [100] and [010] for Case I and [111],
[-1-12] and [1-10] for Case II, respectively. Case I and Case II
exhibit different deformation patterns in the substrate. During
indentation, the pile-up can be observed in Case I, but not in
Case II. During scratching the pile-up ahead of the movement
of the indenter has been enlarged in Case I, while a chip with
the disordered atoms is generated in Case II. It has been found
that Case I has both higher hardness and larger coefficient of
friction. The ratios of the hardness and the coefficient of
friction between cases I and II are nearly 2. The reason is
attributed to the different crystallographic orientations used in
both cases.
Keywords: Molecular dynamics, Nanoindentation,
Nanoscratching, Crystallographic orientation
INTRODUCTION
Micro/nano electromechanical systems (MEMS/NEMS)
combine electrical and mechanical parts with a characteristic
length of less than 1mm, such as levers, connector pins, resistor
caps, integrated circuit carriers, fasteners, microscrews,
microgears as well as medical implants. Micro forming, an
application of metal forming processes in the micro scale, has
become a promising process for manufacturing microparts, with
high productivity, near net shape, low material loss and small
tolerances. However, with increasing down-scaling of micro
forming, the size effect has become significant [1,2], which is
mainly caused by anisotropy of the crystallographic orientation.
Since the experimental approaches to investigate the effect of
the crystallographic orientation on the material deformation
behaviors need highly controlled experimental environments,
the molecular dynamics simulation is an economic way to study
this influence.
A number of papers [3, 4] have used the molecular dynamics
models to investigate the effect of the crystallographic
orientation in the nano-indentation and nano-scratching
processes. However, a detailed simulation on this topic for
body-centered cubic (BCC) iron is still lacking. In this paper, a
molecular dynamic (MD) model will be developed to study the
nano- indentation/scratching process of bcc iron under two
different crystallographic orientations. It has been found that the
crystallographic orientation significantly affects the material
deformation behaviors. The hardness and the coefficient of
friction are strongly orientation-dependent.
MOLECULAR DYNAMICS SIMULATION
Fig.1 shows the indentation/scratching MD model used in this
562
Yuan Gao/University of Wollongong, Wollongong,
Australia
Hongtao Zhu/University of Wollongong, Wollongong,
Australia
A. Kiet Tieu/University of Wollongong, Wollongong,
Australia
study. Both the substrate and the indenter are iron with BCC
structure. The indenter is a triangular prism with an inverted
isosceles triangular base, which locates at the x-y plane. The
width and height of the isosceles triangle base are 114.8Å and
57.4Å, respectively, where a is the lattice constant. Its length
(17.2Å) is same as the width of the substrate. The indenter is
assumed to be rigid. All the atoms in the indenter unitarily
move during indentation/scratching. Their relative distances
are fixed during deformation. The dimension of the substrate is
430.5Å, 86.1Å and 17.2Å along x, y and z directions,
respectively. Two crystallographic orientations have been
simulated. In the first case (Case I), the lattice orientation
along x, y and z directions are [001], [100] and [010],
respectively. They are [111], [-1-12] and [1-10] in the second
case (Case II), respectively. The substrate consists of 54000
atoms for Case I and 57717 atoms for Case II. During the
simulation the indenter firstly moves down to a distance of 25
Å, and then ploughs the substrate along the x direction. The
moving speed is 20m/s.
Substrate
Indenter
y
z
x
Fig. 1 MD simulation model
The potential used in this paper are the embedded atom
method (EAM) potential [5], in which the total energy of a
metal system is written as the sum of a function of the total
electron density and a short range pair-wise potential. A
parallel computing method called “spatial decomposition” has
been applied in the simulations, which decomposes the
simulation domain into small sub-blocks and assigns each
sub-block to each processor. Each processor runs calculations
for atoms in its block and tracks atoms as they enter and exit
its block. It only needs communicate with a few surrounding
blocks at each time step within finite potential range.
RESULTS AND DISCUSSION
Fig.2 shows the simulation results for various stages of Case I.
In Fig.2(a) the indenter has penetrated into the substrate at a
distance of 15 Å. It can be seen that the indentation only
deforms the substrate beneath the indenter at this early stage of
indentation. The rest of the substrate remains undeformed. The
dislocation emits from the tip of the indenter. As the
indentation proceeds, the pile-up around the intender can be
observed as shown in Fig.2(b). The substrate deformation zone
under the indenter becomes larger. Some voids are generated
and enlarged with indentation. Fig.2(c) depicts the early stage
Molecular Dynamic Simulation of Effect of Crystallographic Orientation on Nano-Indentation/Scratching Behaviors of BCC Iron
of scratching. The pile-up at the left side of the indenter has
disappeared due to the elastic recovery. The substrate
deformation zone under the indenter still exists. It is interesting
to see that the pile-up at the right side of the indenter is
enlarged as the intender moves toward the right. The shape and
pattern of the pile-up zone is similar to the slip-line field in the
continuum plastic mechanics. It can be found that the
microstructure in the pile-up zone has changed from the initial
microstructure. The detailed investigation on the
microstructure evoluation will be conducted in future work.
There is a thin layer between the pile-up zone and the indenter,
where the atoms are seriously disordered. This layer may be an
amorphous layer. As the scratching proceeds (Fig.2(d)), the
pile-up zone ahead of the movement of the indenter has been
enlarged. The thickness of the atom-disordered layer is also
increased.
[100] [010]
[001]
(a) Time step=3000
(b) Time step=5000
(c) Time step=12000
(d) Time step=18000
Fig.2 MD simulation results for Case I
Fig.3 shows the simulation results of Case II. It is clear that
Case II exhibits a different deformation pattern to Case I. This
strongly indicates that the crystallographic orientation plays a
significant role on the substrate deformation behaviors in
nano-indentation/scatching. During the indentation process
(Figs.3(a) and (b)), there is not obvious pile-up. Some atoms
are squeezed out by the indenter. This results in the disordered
atoms around the indenter. The substrate deformation under
the indenter observed in Case I does not exist in Case II.
However, the deformation can be rapidly spread near the
substrate surface along x direction. The dislocation and lattice
rotation can be observed, which lead to the surface roughening.
When the indenter scratches the surface of the substrate
(Fig.3(c)), a chip formed by the disordered atoms is generated
in front of the indenter. The scratching also causes rougher
substrate surface. As the scratching proceeds, the chip become
larger and the lattice rotation near the surface becomes more
significant.
The hardness during indentation and the coefficient of
563
friction during scratching have been estimated based on the
MD simulation results. The hardness (H) is calculated by
H=Fy/A, where Fy is the sum of forces along -y direction of all
the atoms in the substrate and A is the contact area in the x-z
plane between the indenter and the substrate. The coefficient of
friction (μ) is the average ratio of the total force of all the atom
along x direction (Fx) to the total force along -y direction (Fy),
name μ=Fx/Fy. The hardnesses for Case I and Case II are
1.79GPa and 0.91GPa, respectively. The coefficients of friction
are 0.45 for Case I and 0.23 for Case II, respectively. Case I
exhibits both higher hardness and higher coefficient of friction.
The ratio of the hardness and the coefficient of friction
between two cases are nearly 2. These significant differences
are clearly due to the different crystallographic orientations
used in the simulation of two cases.
[-1-12] [1-10]
[111]
(a) Time step=3000
(b) Time step=5000
(c) Time step=12000
(d) Time step=18000
Fig.3 MD simulation results for Case II
REFERENCES
[1] Vollertsen, F., Hu, Z., Niehoff, H.S. and Theiler, C., 2004,
“State of the art in micro forming and investigations into
micro deep drawing,” Journal of Materials Processing
Technology, 151, pp.70–79.
[2] Chen, F.K. and Tsai, J.W., 2006, “A study of size effect in
micro-forming with micro-hardness tests,” Journal of
Materials Processing Technology, 177, pp.146–149
[3] Buldum, A., Ciraci, S., 1998, “Contact, nanoindentation,
and sliding friction,” Physi. Rev. B, 57, pp.2468-2476
[4] Komanduri, R., Chandrasekaran, N. and Raff, L.M., 2000,
“MD simulation of indentation and scratching of single
crystal aluminum,” Wear, 240, pp.113-143
[5] Daw, M.S. and Baskes, M.I., 1984, “Embedded-atom
method: Derivation and application to impurities,
surfaces, and other defects in metals,” , Physi. Rev.
B., 29, pp. 6443 - 6453.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

3D Misorientation of Cantilevers and Its Impact in Friction Force Microscopy

Guillaume Michal, Cheng Lu, A. Kiet Tieu
School of Mechanical, Mechatronical and Materials, University of Wollongong, NSW, Australia
(Extended Abstract)

564
3D Misorientation of Cantilevers and Its Impact in Friction Force Microscopy

565
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Coupled Simulative Analysis for Drive Characteristic of Micro-Comb Structure

D. Guo*, Y. Zhu
State Key Laboratory of Tribology, Department of Precision Instrument, Tsinghua University, Beijing,
100084, People’s Republic of China

ABSTRACT finger is connected to the substrate (stationary electrode).

A model considering electrostatic-structural coupling The movable finger is released from the substrate, and
is established for a micro-comb drive. The finite element usually supported by folding beam structure, which have
method is applied to solve the electrostatic field the stiffness kx, ky and kz in three directions. When being
distribution and the structural displacement. The coupled applied voltage V between these two sets of fingers, the
effect of electrostatic potential distribution and structure resulting electrostatic force drives the movable finger
displacement was taken into account by an iterative towards the fixed ones along y axis. The distance from
solving process. The drive performances of the fingers to ground plane is d, and from movable finger to
micro-comb are analyzed for the diverse of structures, fixed finger in the direction of y is c. The movable finger is
including the ground plane effect and fabrication errors. in the center of the gap (along x axis), the distance from one
The results show that levitation caused by the ground side of the movable finger to the fixed finger (along x axis)
plane reduced the driving capacity. The fabrication sloping is g. The thickness, length and width of the finger are h, l
error of finger will also reduce the driving force. The and w, respectively. The comb structure is made of single
fabrication offset error of finger will cause the horizontal crystal silicon, which has
instability. Elastic modulus E=1.7×105N/m2
Keywords: micro-comb structure electrostatic force, Poisson’s ratio -=0.34
coupling, fabrication error Density =2.329×10-15kg/m
The dielectric coefficient of air is = 8.854×10-6 pF/μm.
INTRODUCTION
Electrostatic-comb structure has been successfully
applied to many micro-systems such as micro-sensor,
micro-accelerometer, micro-drive and so on, due to its
simple structure and superior performance [1-3]. The
micro comb drive can be designed as either electrostatic
actuator or capacitive sensor. Because the structure
displacement is coupled with electrostatic potential during
the driving process, and a little variety of comb structure
may be lead to un-negligible change of the drive
performance. So, up to now, many researchers had
analyzed the coupled effect of micro-comb. Ostergaard[4]
applied finite element based reduced order model to
simulate the coupled effect of an micro-comb resonator.
Zheng[5] analyzed the coupled effect of a
micro-accelerometer. Harness[6] studied the coupled
effect of electrostatic comb-drive X-Y microactuators.
Shi[7] put forward a hybrid FEM-BEM method to solved Fig. 1 one set of electrodes of comb resonator cell
coupled problem, the FEM is used to solve elasticity field
and BEM to electrostatic field. Ye[8] applied indirect For a comb actuator, the driving force is an important
boundary element method to design the electrode shape of parameter. So the calculation of electrostatic force is
micro-comb for obtain linear or nonlinear driving force crucial in the design. The electrostatic potential in uniform
profile. Most of these researches paid attention to the medium has:
structure design, few of them considered the effects of
. 2V  0 (1)
fabrication error and unreasonably design on the drive
performance of the comb-actuator.
where V is the distribution of electric potential. Eq.(1) is
In this paper, a model of micro-comb drive
called Laplace Equation. In the Cartesian coordinate,
considering electrostatic-structural coupling is established.
Eq.(1) can be write as:
The finite element method is applied to solve the
/ 2V / 2V / 2V
electrostatic field distribution and the structural   0 (2)
displacement. The coupled effect was considered by an /x 2 /y 2 /z 2
iterative solving process. The effects of structure variety When the V is solved from Eq.(2), the electric field
and fabrication error on drive performance of the intensity vector {E} can be attained from:
micro-comb are studied. 0E1  .V (3)
Then, the electrostatic force of the movable finger has:
3-D MODEL OF A COMB CELL FOR COUPLED
ANALYSIS F    (.V ) 2 ds (4)
s
In general, a comb resonator have many uniform comb
electrodes, one set of them is shown in Fig.1. The fixed where S is the surface of movable finger, and the  is

566
 Coupled Simulative Analysis for Drive Characteristic of Micro-Comb Structure

dielectric coefficient of air. attention to this problem. Tang [9] thought the levitation
The finite element method is applied to analyze the was induced by the imbalance of the electrostatic field
electrostatic field and comb structure. 4-node tetrahedral distribution which attributed to zero electric potential of the
elements are used to generate meshes. For electrostatic ground plane. In the following, the levitation of movable
field, the electric potential V at any point can be written as: finger and the driving performance of the micro-comb are
V  N  Ve  analyzed for with and without ground plane. The coupled
T
(5)
effect is also taken into account.
where [N] is the shape function matrix. [Ve] is the node For the comb in this section, we assume:
electric potential. l=60 m, w=6 mˈh=10 mˈg=5 mˈc=20mˈ
According to the principle of minimum potential kx=1702 N/m, ky=5 N/m, kz=11 N/m
energy, we have˖ Fig.3 shows the electrostatic potential distribution, the left
/U one is with ground plane, and the right one is without
{ } 0 (6) ground plane. It can be seen that the electrostatic potential
/Ve
distribution is obviously unsymmetrical when with ground
where plane. Fig.4 shows the levitating displacement uz and the
1
U   .V  dxdydz
2
(7)
2 different voltage, for (a) with ground plane and (b) without
Substituting Eq.(5) into Eq.(7), combining with Eq. (6) ,
adding the electric field boundary condition, the {Ve} can
be solved. Then from Eq.(4) and Eq.(5), the electrostatic
force at any point can be obtained.
For the comb structure, 4-node tetrahedral elements
are also used. We have:
[ K ]{ue }  {Fe } (8)
Fig. 2 The iteration process for coupled analysis
where [K] is the stiffness matrix, {ue} is the node
displacement vector of the comb structure, {Fe} is the
node electrostatic force vector. From Eq.(4), the
electrostatic force is related to the location of the comb
electrode, and then from Eq.(8), the electrostatic force also
alters the location of the comb electrode, so the
electrostatic field is coupled with the structure. For
attaining the correct drive force and displacement, an
iteration process as shown in Fig.2 is applied.
THE EFFECT OF GROUND PLANE ON THE DRIVE
PERFORMANCE
Because the levitation of movable finger away from
the substrate seriously downgrades the performance and
reliability of micro-comb actuator, many researchers pay
567
driving displacement uy of the movable finger under
ground plane. It can be seen from Fig.4(a) that the
levitation uz of movable finger is visible due to the
asymmetric electrostatic potential (with ground plane),
and varies in proportional to the square of voltage. It can
be also observed from Fig.4(a) that the levitating
displacement uz is even larger than the driving
displacement uy., when V=50V, uy= 0.012m and uz=
0.013m.
When eliminating the ground plane, the electrostatic
potential distribution is symmetrical, as shown in the right
one of Fig.3. The relationship between the voltage and
levitating displacement uy and driving displacement uz is
shown in Fig.4 (b). It can be observed that uz is much less
than uy, and can be neglected.
Fig. 3 Electrostatic field distribution in x-z section, the left
one is with substrate, the right one is without substrate
Fig.4 shows the relationship of driving displacement uy
with the voltage, in case with ground plane and without
ground plane. It can be seen that all the uy with substrate is
35 percent smaller than that without substrate under one
voltage. This means that the levitation reduced the driving
capacity. The main reasons of driving performance variety
are that the levitation of movable finger alters the
electrostatic field distribution and the coupled effect of
3-D electrostatic field and structure. So, if the levitation of
structure with substrate is neglected during design process,
the driving force and displacement will be smaller than
prediction. By eliminating the substrate beneath the
structure, the levitation can be efficiently controlled, and
the larger driving force can be obtained, but it requires
much more complicated fabrication sequences.
THE EFFECT OF SIDEWALL SLOPE ON DRIVING
PERFORMANCE
Sidewall slope of comb teeth is one of the frequently
defects encountered during fabrication of
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

micro-electro-mechanical systems. If the clearance of the
polar plates is small, the sidewall is easy to be etched,
which leads to the sidewall inclination. On the other hand,
during DRIE (deep reactive ion etching) process,
high-density plasma may concentrate into the bottom,
result in charges accumulating there, so the latter plasma
will change the orbit under the electrostatic force, and
impact the sidewall, which also leads to sidewall
slope[10,11].


X]

X\
X­P
example, if the sidewall is given 1 degree incline, the
fabrication error will be s=0.2um, for a comb with polar
plate thickness of h=10um and gap of g=5um, the
capacitance will reduce 8 percent. Fig.6 shows the
electrostatic potential distribution of regular comb and that
with sidewall slope. It can be observed that the fringe field
distribution for sidewall slope comb is obviously different
from the designed, which will influence the driving force
or driving displacement.






    
99
Fig. 6 The comb finger with sidewall slope
(a)


 X]
X\

X­P



 Fig. 7 The electrostatic potential distribution for regular

     comb (the left) and for sidewall slope comb (the right)
99
We assume g=5m, h=10m, l=130m, V=10~50V,
(b) fabrication error s=0.0um, 0.2m and 0.5m, respectively,
Fig. 4 The relationship between the voltage and then analyze the driving force and driving displacement Fy
levitating uz and driving displacement uy, (a) with substrate, and uy. Fig.8 shows the relationship between voltage and
(b) without substrate driving force for different errors. It can be observed that Fy
decrease due to the fabrication error and Fy become lower
as the error increase at one voltage. Fig.9 shows the
relationship of driving displacement uy and fabrication
error s for different voltage. It can be observed that the uy
decrease as the s increase at one voltage. As the voltage
increase, the driving displacement uy reduce more when the
error grows.

Fig. 5 The driving displacement uy with and without

substrate under different voltage

Fig.6 shows a comb model with sidewall slope.

Fabrication error s is the difference between the top side
and the bottom side of the trapezoid. Because the gap
between fingers is very small, sidewall slope will evidently Fig. 8 The relationship of voltage and driving force Fy at
influence the capacitance of polar plates designed. For different side-wall error

568
 Coupled Simulative Analysis for Drive Characteristic of Micro-Comb Structure




X\­P



 9
9
9

  
V­P Fig.11 The relationship of electrostatic force Fy and
Fig. 9 The relationship of sidewall error s and driving fabrication error s, by Eq.(9) and FEM
displacement force uy at different voltage
THE EFFECT OF OFFSET ERROR IN LATERAL
DIRECTION ON THE PERFORMANCE OF COMB
For a comb with sidewall slope, the polar plates like an DRIVING
unparalleled flat capacitor, as shown in Fig.10. When Because of the superimposing of fabrication errors
neglected the fringe effect and coupled effect, capacity Cn during the surface micromachining process, such as plate
can be calculated by integration method. The distance making, lithography and so on, the clearance in both sides
between polar plates can be written as d(z)=g+2sz/hˈthen of movable finger may be asymmetric along x axis. If the
l offset is g, then the clearance of the left is g-g, and that
it has dC n  dz , integrate Cn, the capacity of of the right is g+g. The electrostatic force along x
g  2 sz / h
direction will increase, which will influence the lateral
unparalleled plate is: stability of the comb structure, perhaps lead to the lateral
lh 2 s h lh absorption of movable finger and fixed finger. Because the
Cn  ln(1  z ) z 0  ln(1  2 s / g ) (9)
2s hg 2s lateral electrostatic force increases with the voltage
For the comb as shown in Fig.1, both sides of growing, so there is a critical voltage for comb structure,
movable teeth have electrostatic force, so the resultant beyond which the lateral instability occurs [12]. In this
force is: section, the effects of offset error g on the comb’s
performance are analyzed, the fringing effect and coupled
h s 2
Fd  2 (1  )V (10) effect are considered, which are usual neglected in other
g g Ref. [12].
We assume g is from 0.4m to 1.1m, the voltage
applied is 40V and 80V, the relationship of offset g and
lateral electrostatic force Fx is shown in Fig.12. It shows
that the Fx enhances as the g increases, and the curves are
all linear. The Fx of considering coupled effect are larger
than that of neglecting coupled effect at one offset. As the
voltage become larger, the effect of coupled action
increases, so the critical voltage can be endured by comb
structure is lower. Along the driving direction (y axis), Fy is
almost unaltered as the g increase at one voltage, as
shown in Fig.10. It means that a little offset in x direction
does not affect the driving performance in y direction, it
only affect the lateral stability of the structure.

Fig.10 unparalleled capacity plates
Fig.11 shows the relationship of Fy and fabrication error s,
at V=10V, by Eq.(9) or by FEM presented in this paper. It
can be seen from Fig.11 that both curves of Fy are reduced
as the s increase. However, the result by FEM is obviously
lower than that by Eq.(10). The different become more
evident as the s increase. This is because the Eq.(10)
neglect the fringe effect and coupled effect at polar plates,
end planes and uncross faces of comb, which is considered
in FEM model, so it can be concluded that the coupled
effect and fringe effect lowered the driving capability.
CONCLUSIONS
In this paper, a coupled model of
micro-electrostatic-comb is established. The effects of
structure alteration on the driving performance, including
the familiar fabrication errors, with and without substrate,
are studied. It can be concluded that the comb levitation
due to ground plane lead to the reduction of driving force
and driving displacement, so in the design of micro comb
actuator, the levitation effect can be analyzed by coupled
simulated method, which will help the designer to decide
whether this effect can be neglected. The micro-comb
without ground plane can control the levitation effectively,
and can provide larger driving force. But it requires much
more complicated fabrication sequences. It can be
concluded that sidewall slope also results in reduction of
driving performance, and the reduction is more obvious as
the voltage increase. Offset error lowers the lateral stability

569
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

of comb structure, but a litter offset does not affect the [2] Legtenberg Rob, Groeneveld A.W. and Elwenspoek
driving performance. The coupled effect between M., 1996, “Comb-drive actuators for large
electrostatic field and structure can not be neglected at high displacements,” J. Micromech. Microeng., 6, pp.
applied voltage. 320-329.
[3] Harness T., Richard R. A., 2000, “ Characteristic
modes of electrostatic comb-drive X –Y
microactuators,” J. Micromech. Microeng. 10, pp.
7-14.
[4] Ostergaard D., Gyimesi M., 2000, “Finite element
based reduced order modeling of micro electro
mechanical systems (MEMS).” Proc 3rd International
Conference on Modeling and Simulation of
Microsystems. pp. 684-687, CA.
[5] Zheng Y., Su W., He X., 2002, “Coupled
electrostatic-mechanical analysis for a multi-finger
micro-accelerometer,” Journal of Transducer
Technology, 21, pp.14-18.
[6] Harness T., Richard R.,2000, “Characteristic modes of
Fig. 12 The relationship of offset error g and Fx for electrostatic comb-drive X-Y microactuators.” Journal
neglecting and considering the coupled effect of Micromechanics and Microengineerings,
10:pp.7-14.

[7] Shi F., Ramesh P., Mukherjee S., 1995, “Simulation
 9
Methods for Micro-Electro-Mechanical Structures
 9
(MEMS) with application to a microtweezer,”

)\­1

Computers and Structures, 56, pp.769-783

 [8] Ye W., Mukherjee S., MacDonald N. C., 1998,
 “Optimal Shape Design of an Electrostatic Comb
 Drive in Microelectromechanical Systems,” J. of
 Microelectromechanical Systems, 7, pp.16-26.
 [9] Tang W., Lim M., Howe R., 1992, “Electrostatic comb
    drive levitation and control method,” Journal of
J­P Microelectromechanical systemˈ1, pp.170-178.
[10] Chabloz M., Jiao J., Yoshida Y. et al., 2000, “ A
Fig. 13 The relationship of offset error g and Fy at
different voltage method to evade microloading effect in deep reactive
ion etching for anodically bonded glass-silicon
ACKNOWLEDGEMENTS structures.” Proc. IEEE Micro Electro Mechanical
This research is supported by National Natural System Workshop (MEMS’00)ˈMiyazakiˈJapan.
Science Foundation of China (Grant No.50775121) and the [11] Kuhl K., Vogel S., Sehaber U., Schamik R., 1998,
National Natural Science Key Foundation of China (Grant “Advanced Silicon Trench Eching in MEMS
No 50730007). Aplications,” Proceedings of SPIE, 3511, pp.97-105.
[12] Huang W., Lu G.., 2004, “Analysis of lateral instability
REFERENCES of in-plane comb drive MEMS actuators based on a
[1] Tang W., Nguyen T., Howe R., 1989, “Laterally driven two-dimensional model,” Sensors and Actuators A,
polysilicon resonant microstructures,” Sensors and 113:78-85.
Actuators, 20, pp.25-32.

570
 Relating Friction and Processes Development during Chemical - Mechanical Polishing (CMP)

Relating Friction and Processes Development during Chemical - Mechanical Polishing (CMP)
1 1 2
Filip Ilie , Tiberiu Laurian , Constantin Tita
1
Department of Machine Elements and Tribology, Polytechnic University of Bucharest,
313 Spl. Independentei, 060042 Bucharest – ROMANIA
Phone: +40214029411, Fax: +40214029581, E-mail: filip@meca.omtr.pub.ro, tlaurian@omtr.pub.ro
2
“G-ral Magheru” Technic School
43 “Calea lui Traian”, 240011 Rm-Valcea – ROMANIA
Phone: +40350401627, Fax: +40250735651

ABSTRACT critical issue.

Die-scale models of CMP have been previously reported
for a number of different CMP processes used in integrated
circuit (IC) manufacturing, including oxide, dual material
shall row trench isolation, and dual material copper
damascene processes. Next generation integrated circuits
(IC’s) will require the use of porous dielectric materials with
shear strengths much lower than the currently used dense
silicon dioxide. The high friction of CMP may damage these
porous dielectric materials. This research is being performed
to define the nanoscale source of this poorly understood CMP
friction to enable development of less damaging CMP
processes. It is proposed that the nanoscale friction on the IC
from CMP is a variable combination of two-body pad
nanoasperity to IC contact and three-body nanocontact of the
slurry particles between the pad nanoasperity and the IC
surface.
Three element of work are described: (1) a contact
mechanics model of the polishing pad, used to predict
asperity pressures; (2) micro-tribometer tests on wafers
coated with dielectric material and (3) CMP tests on wafer
samples. Delamitation of porous dielectric materials samples
is observed at higher pressures in both the micro-tribometer
and CMP tests. The correlation between the two tests
confirms the usefulness of this combined approach to
developing process of CMP. This research uses a
combination of individual nanoscale friction measurements
for CMP of SiO2, an analytical model to sum these effects,
and bench scale CMP experiments to guide the research and
validate the model.
The aim of this paper is to describe a methodology for
developing CMP process for porous dielectric materials,
identifying effective process conditions for polishing. Micro-
tribometer experiments are used to simulate, in a well
controlled manner with relatively small contact areas, the
interaction between the pad and the wafer, to allow efficient
exploration of suitable conditions. The link between these
experiments and polishing tests is made via a suitable
asperity contact model.
Keywords: CMP, Nanoscale Friction, Nanoasperity,
MEMS, IC
INTRODUCTION
CMP is a key process technology for microelectronics
and MEMS (micro-electro-mechanical systems). As the
integrated circuit (IC) industry moves towards the 65 nm
node, wafer flatness and planarity achieved by CMP of
wafers including porous dielectric materials has become a
Applications combining CMP with wafer bonding
include construction of 3-D MEMS structures of thick device
layers over a buried dielectric using silicon-on-insulator
technology. In both MEMS and IC applications novel
materials are required for mechanical, electrical or other
functional requirements so that existing process routes,
optimized empirically for traditional silicon technologies, are
no longer effective. Hence there is an urgent need to extend
existing CMP process understanding to new materials.
In CMP of SiO2, a work piece, SiO2 coated silicon wafer
IC substrate, is held in position with a normal load against a
closed cell foam, polyurethane polishing (PUP) pad (e.g. IC
1000) which is bonded to a rotating turntable. The turntable
provides the mechanical input while the chemically-active
(KOH dispersed), abrasive, 2 100 nm diameter colloidal SiO2,
containing slurry floods the pad and provides the chemical
activity for CMP.
A very fine material removal is accomplished at the
nanoscale level as consequence of the combined mechanical
and chemical activity.
UNDERSTANDING CMP FRICTION AND FRICTION
MODELING
Past research indicates friction is predominately a
function of the molecular adhesion of two contacting bodies
at the nanoscale.
Zhou’s [1] work suggested that the material removal
during CMP may be a function of nanoscale three body
contact where the slurry particle contains both the counter
face (e.g. SiO2 coated wafer) as well as the pad asperity.
The authors propose that the total CMP friction is the
sum of the friction of individual three body contacts of SiO2
slurry particles trapped between PUP pad asperities and the
SiO2 counter face and individual two body contacts of PUP
pad asperities and the SiO2 counter face. Slurry particles are
2 100 – 150 nm in diameter. This is schematically shown in
Fig. 1.
Experimental nanoindenter adhesion measurements of
SiO2 particles to both SiO2 and PUP asperities, and PUP
asperities to SiO2 set the foundation for this understanding.
Each particle and/or asperity contact will generate a
friction force corresponding to the nanoscale adhesion
measurements.
An analytical model will determine the total friction as a
product of these individual contact friction forces and the
total number contacts. Bench scale CMP tests will be done to
guide the research and to validate the model.

* Filip Ilie

571
 Technical Sessions — Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Fig. 1 Nanoscale roughness between the SiO2 counter face
(above) and PUP pad down, SiO2 and slurry particle, and
slurry particle and PUP pad
In this sense the authors considered that it is necessary to
develop a friction model. The friction of the overall counter
face (substrate) and PUP pad pair is divided further into three
distinct friction force components.
The first component is the pad-substrate Ffp, the second
component is the slurry particle-substrate Ffs, and the third
Fig. 2 Probability density function of asperity radius and asperity height (worn IC 1000 pad)
572
component is the slurry particle-PUP pad Ffsp. Each friction
component has an associated coefficient of friction p, s, and
sp, which has corresponding mechanical and molecular
adhesion components [2].
The components can be represented in the form:
Ff  [C1  p  C2   s   sp ] Fn , (1)
The contacts will be estimated by slurry particle density,
PUP pad roughness distribution, and rough contact modeling
[3].
The pad porosity is taken into account for estimation of
the contacts.
CONTACT MECHANICS
Replica tape was used to generate replicas of new and
worn IC 1000 polishing pads.
The topography of these replicas was measured using 3D
interferometric profilometer. The height profile was filtered
using a low-pass digital filter with cut-off frequency of 0,018
m. This cut-off was chosen to generate a smoothed profile,
including smaller-scale roughness with wavelengths in the
range of tens of microns.
The height and radius of each of these asperities was
identified.
The corresponding probability distribution
function of asperity peak height and radius for the worn pad
is given in Fig. 2.
 Relating Friction and Processes Development during Chemical - Mechanical Polishing (CMP)
Since the standard Greenwood and Williamson
assumption [4], that asperities have a constant radius, is not
well watched by the data, a numerical model was developed
for the contact. Each asperity was modeled as a Hertzian
contact, and the actual distribution of asperity heights and
radii was used.
This model was used to predict the true asperity contact
pressure as a function of pressure. The prediction was used to
establish an appropriate load for micro-tribometer tests
described below. Further details are given by Cheng in his
thesis [5].
The aim of these tests is to use well-controlled conditions
to establish satisfactory contact for polishing of porous
dielectric material.
A virtual micro-tribometer (computer modeled) was used
to simulate small contact areas.
Since the standard Greenwood and Williamson
assumption [4], that asperities have a constant radius, is not
well watched by the data, a numerical model was developed
for the contact. Each asperity was modeled as a Hertzian
contact, and the actual distribution of asperity heights and
radii was used.
This model was used to predict the true asperity contact
pressure as a function of pressure. The prediction was used to
establish an appropriate load for micro-tribometer tests
described below. Further details are given by Cheng in his
thesis [5].
The aim of these tests is to use well-controlled conditions
to establish satisfactory contact for polishing of porous
dielectric material.
A virtual micro-tribometer (computer modeled) was used
to simulate small contact areas.
During the test, a polymer (polyurethane) ball of radius
2.4 mm was pressed against the wafer with a constant load
(once at 0.4 N and another at 1.5 N). The size of contacting
surfaces is 65x100 m2. The sample was reciprocated under
ball with a stroke of 500 m. Various blanket or patterned
silicon wafer samples containing porous dielectric materials
were tested, in conjunction with slurry particle.
Fig. 3 shows a typical plot of the friction coefficient as a
function of number of cycles, for a patterned wafer
containing ultra porous dielectric material, at loads of 0.4 and
1.5 N.
Fig. 3 Evolution of friction during
micro-tribometer test
These loads give contact pressures comparable to those
predicted from the asperity contact model described above.
For the lower load, the smooth increase of friction reflects the
steady removal of the porous dielectric material and exposure
573
of the underlying substrate, with no damage observed. At the
higher load the more uneven friction trace observed is
associated with delamination.
POLISHING EXPERIMENTS, PROCEDURES AND
DISCUSSION
Nanoscale friction forces will be measured using
nanoindentation and nanoscratch tests. The indenter is
equipped with a friction force sensor to measure lateral forces.
The test provides results of the interfacial friction of the PUP
pad and the SiO2 slurry particle, and the SiO2 slurry particle
and the SiO2 substrate (either dry or soaked in KOH and
water solutions).
Friction between a small section of pad material and the
SiO2 substrate is also measured. Lastly, a section of pad
material with impregnated slurry particles is translated over
the substrate creating a more complex testing scenario.
The asperity of the individual slurry particles in contact
with the pad and SiO2 substrate may affect the frictional
forces. The asperity of the materials is measured with Atomic
Force Microscopy (AFM).
The PUP pad has a large pore structure on the order of 10
microns. The AFM is used to image the regions between the
opened pores to determine the nanoscale roughness of these
regions.
CMP scale friction measurements are done using a pin on
disk tribometer. The tribometer has a rotating turntable
(rotation speed is 60 rpm) to which slurry wetted polishing
pad samples are mounted and an arm that holds spherical
SiO2 (counter face) samples.
A normal load is applied to the arm and load sensors in
the arm measure the friction during simulated polishing
conditions.
A series of baseline experiments will first be performed
to isolate the effects of water and KOH solution on the PUP
pad material friction with the SiO2 counter face (fluid film
thickness has been of 1.3 m).
Interaction between the SiO2 slurry particles, PUP pad
surfaces and the SiO2 contra face was measured in an
aqueous solution KOH of variations pH, ranging from 5 to 9
(Fig. 4). The ratio of the base and acid solutions was adjusted
to obtain the needed pH. The solutions were prepared to keep
the ionic strength to be 10 mM.
Fig. 4 shows an example of the forces acting between
SiO2 slurry particles and PUP pad for various acidity. Each
force curve is artificially shifted in vertical direction for
better visualization.
Fig. 4 Interaction between SiO2 slurry particles and PUP
(polyurethane polishing pad) for various pH
 Technical Sessions — Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

The force values are given as the cantilever deflections,
in nanometers. To get the force in nanoNewtons, one needs to
multiply these values by the spring constant 0.14 N/m.
To show that the forces of interaction of the SiO2
particles and polyurethane pads (PUP) are quite different (not
shown) as described below, for various pH.
While nteraction between the SiO2 slurry particles and
polyurethane pads (PUP) has some similarity for pH6, the
rest of the data is rather different. The major difference of
PUP is small value and short range of the interaction and he
shows rather long range attraction for pH less than 7. The list
of these differences can be continued. Let us now look at the
results of adhesion of SiO2 particles to the pad surfaces, Fig. 5.

Fig. 5 Adhesion of SiO2 slurry particles to the polyurethane polishing pad

One can see that the adhesion values for SiO2 particles
and IC 1000 pad are quite similar for smaller pH 5-7, and
adhesion values are higher than for PUP pad. This is in
agreement with the measurements of long-range force, Fig. 4.
For higher pHx (pH7-9), adhesions to IC 1000 pad is
similar to the adhesion of PUP and gets smaller than SiO2.
This correlates with the long-range force for pH8, but is not
obvious for pH9.
Therefore, we report the first successful direct
measurements of forces between polymeric surfaces and
nanoparticles attached to the AFM.
Next, friction force will be measured in the presence
of slurry with varying Fig. 6 Delamination evolution during CMP
percentages of SiO2. CMP tests were performed using a
polishing machine on blanket or patterned silicon wafer
samples coated with porous dielectric material. This effect, due to exposure of the cut edge, would not be
The aim of these tests was to establish conditions for present when polishing complete wafers. However,
which the porous dielectric material remained intact on the delamination was also observed at the centre of the sample at
wafer, without delamination. higher pressures, after a polishing time of around 30-50
A wide range of conditions were considered, including seconds.
blanket and patterned wafers and a range of polishing times
This is illustrated in the image of Fig. 7 of a region of the
and pressures. The platen and sample holder both rotated at
wafer which contained no patterning the lighter areas
20 rpm.
delaminated.
Fig. 6 plots the observed damage as a function of
Similar tests for another porous dielectric material blanket
polishing time and pressure, for CMP of a patterned wafer
containing ultra porous dielectric material. wafer showed no significant delamination even after 36
Delamination was observed at the edge of the sample seconds of polishing at a pressure of 30 kPa and a higher
under all conditions. platen speed of 60 rpm.

574
 Relating Friction and Processes Development during Chemical - Mechanical Polishing (CMP)
Fig. 7 Delamination observed after CMP of a patterned wafer
CONCLUSIONS
It is expected that the PUP asperity friction will be a
significant contributor to the total CMP scale friction.
It is anticipated that this advanced understanding will
help in alleviating existing issues in integrating porous
dielectric materials, which are sensitive to shear from CMP
friction, into next generation IC fabrication processes.
The asperity of CMP polishing pad
replicas has been measured using a profilometer, and
resulting roughness geometry used to develop a contact
model. A virtual micro-tribometer modeled from computer
was used to simulate the contact, with loads based on the
predicted asperity contact pressures.
These tests identified, in a well-controlled manner,
regions in which the contact pressure caused delamination of
the porous dielectric material.
Corresponding CMP tests were used to find the range of
polishing times and pressures which cause delamination in
patterned porous dielectric material wafers.
It is encouraging to find that the predicted pressure at
which delamination is observed is comparable in the two sets
of tests.
Further work will aim to extend these tests to a more
comprehensive range of conditions and draw up process for
different material combinations, identifying safe and
effective process conditions.
575
NOMENCLATURE
C1 and C2 = constants representing the number of contacts
Ff = total sliding friction force
Fn = normal applied force
p = friction coefficient between pad and substrate
s = friction coefficient between slurry particle and substrate
sp= friction coefficient between slurry particle and PUP pad
REFERENCES
[1] C. Zhou, L. Shan, R. Hight, S. Danyluk, S. H. Ng, A. J.
Paszkowski (2002), “Influence of Colloidal Abrasive
Size on Material Removal Rate and Surface Finish in
SiO2 Chemical Mechanical Polishing”, Tribology
Transactions, Vol. 45(2), pp. 232-238.
[2] F.M. Borodich, C.S. Korach, L. Keer, (2005), “Models of
Friction and Wear of DLC Films“, WTC05-64085 and
ASME Journal of Applied Mechanics, in press.
[3] I.A. Polonsky, L.M. Keer, (2000), “A Fast and Accurate
Method of Numerical Analysis of Elastic Layered
Contacts”, ASME Journal of Tribology, Vol. 122, pp. 30-
35.
[4] Greenwood, J. A., and Williamson, J. B. P., (1966), "The
Contact of Nominally Flat Surfaces," Proc. R. Soc.
London, Ser. A, 295, pp. 300–319.
[5] L. Cheng, (2004), “Tribology and asperity contacts in
Chemical Mechanical Polishing”, MPhil Thesis,
University of Cambridge.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

An Irreversible Thermodynamics Theory for Friction and Wear

Zhendong Dai

Institute of Bio-inspired Structure and Surface Engineering, Nanjing University of Aeronautics and
Astronautics, Nanjing, China

Friction and wear (F&W) is one of the most general where , , , , is the portion of energy
phenomena in the world. More than 300 equations on F&W
can be found during past 50 years, but even the best one has correspondent to linear motion, rotation, vibration, electron
very limited use[1]. Theory of F&W lags far behind the needs movement and nucleus movement of atom or sub-atom
of engineering because the complicated nature of F&W— respectively,which can be described by Schrödinger
parameters studied in sliding procedure over 100 [2] and the equations.
parameters have different physical dimensions, so unifying
the dimensions is a key step to set up quantitive theory of 1.2 Conservation laws :F&W procedures also observe the
tribology. The present definitions reveal little physical law of conservation of energy and the second law of
mechanisms of F&W: exhausting energy or the damage thermodynamics.
mechanism. Theoretical methods, such as qualitatively new Conservation of Mass: Tribological procedure involved
algorithms and modeling approaches, are needed to span the with chemical reaction. The conservation for ith composition
complex nature of tribological processes [3]. per volume takes the form as
Friction is defined as the force which tries to stop one
surface sliding over another or as a procedure exhausting
energy, such as non-equilibrium distribution of phonons [4],
(1<i<I and 1<<) (3)
electron-hole creation and charge-density wave[5]. Friction is
an irreversible process which degrades the high quality energy, Momentum Principle: The dynamic form of Newton’s 2nd
but the energy dissipation mechanisms are still one of the law:
fundamental gaps in tribology[6]. Wear is an irreversible
process which removes materials from the load-carrying
surface, but the relationship of wear with working parameters (4)
is still not clear. This situation has been paid great attentions
and efforts. Xie proposed three axioms principles [7]. Czichos When stress tensor is symmetry, (¢, =1, 2, 3), so
introduced systematical method [8]. Energetic approach was we obtain:
developed[9]. The internal friction was modeled on
non-equilibrium irreversible thermodynamics [10]. An
(5)
irreversible thermodynamics theory for damage of solid has
been introduced [11]. Explorations on tribology theory were
carried out by Zmitrowicz, Klamecki in 1980’, others [12] and Conservation of Energy: From the conservation of energy,
the autho[13]. we obtain the balance equation for the specific internal energy u
In this paper, a fundamental interdisciplinary framework
on Irreversible Thermodynamics Theory of Friction and Wear D (6)
(ITTFW) is proposed. The aims of the model are to set up a
frame work of ITTFW, to try to reveal the mechanism of 1.3 Entropy balance
friction, to understanding the damage mechanism of solid The balance equation of entropy plays a central role in
materials, to reveal the relationship of the dissipation with irreversible thermodynamics. The entropy balance relationship
working parameters and material properties. could be written as:

1 FRAMEWORK OF IRREVERSIBLE (7)

THERMODYNAMICS FOR THIS WORK
where Js is the entropy exchange per area and is the internal
1.1 Concept of entropy: Entropy S was first proposed by
entropy production per volume. Both parameters can be
Clausius to describe the macro-status of thermo-mechanical
determined by following equations
energy transformation. It was constructed by Boltzmann as
S˙k ln W, where W the number of micro-states (NMS). The
(8)
entropy production and NMS presented as:

(1)

(9)

In the left part of equation (8), the items present the entropy
flux caused by convection, S absolute entropy of a substance
(2)

576
 An Irreversible Thermodynamics Theory for Friction and Wear
for a given temperature, U speed of convection; heat conduct
Jq and diffusion i.Ji respectively. It defines the entropy
variation through energy and material exchanging on the
boundary of the tribological system. In the left part of
equation (9), q presents entropy produced by heat conduct in
the system, Jq is the thermodynamic flow,  (1/T) is the
thermodynamic forces. The item is results in the frictional
heat, geometric form of heat source, moving speed, thermal
properties of material. d does the entropy by diffusion,
thermodynamic forces include chemical potential and fields of
outside forces, such as electric field, accelerate field, etc. p
does the entropy by viscous flow and plastic deformation of
materials, which is functioned by factors such as stress field,
constitute equations of material.
/T is the viscous stress Heat generated during friction is essential character for
tensor and  U is the speed grade of material deformation. c
is the entropy generated by chemical reaction, which is
determined by chemical potential A/T and reaction rate .
2 APPLICATIONS
2.1 Understanding friction
What is friction? How is the energy dissipated? Is it
possible to create a system with super- lower friction? Author
suggests friction as a procedure degenerating quality of
energy through increasing the entropy or the NMS correspond
to linear motion, rotation, vibration, electron movement and
nucleus movement of atom or sub-atom elements (equations
1-2). When two contacted “points” interact with each other,
the interaction transfers kinetic energy with lower NMS into
heat energy with great number of NMS. To illustrate the idea,
the system, on the common normal line direction of contact
points, is simplified into one dimensional vibration system as
figure 1. When two bodies impact each other, some kinetic
energy absorbed by two multi-freedom vibriation systems and
cause the motion of each mass (atomic level vibration). The
status of each mass can be statistically numbered and the
NMS for the system could be obtained. Before contact, the
NMS of the system (body 1 and 2) is lower and depended on
the temperature, after impacting, the mass-spring system is
excited and more status of each mass will appear and by this
way increasing the NMS, so the friction can be measured by
the entropy production. From above model, it is predictable to
design and generate super-lower friction system; the condition
is that the exciting forces will let the system working on its
natural frequency (it would be related with phonon), and the
natural frequency could be modified through the design and
fabrication of surface and sub-surface macro-structures.
Socoliuc et al successfully controlled the atomic-scale of
friction by actuation the nanometer sized contact and
minimized energy dissipation [14].
Fig. 1 Contact model for energy dissipation
2.2 Understanding wear
Damage of solid materials plays a key role in wear. An
irreversible thermodynamic theory has been proposed for
damage mechanics of solid materials[15], which introduces
entropy production alone as a damage evolution metric for
577
elastic and inelastic deformations. The proposed damage
evolution equation can be used in conjunction with any
material constitutive model and any vacancy (or void)
generation model, including crystal plasticity and dislocation
mechanics to initiate the microcracks at the smallest possible
level. According to the theory proposed in this paper the
influence of the microcracks initiating at multiple sites at
dislocations level, can be bridged to macro level response by
computing the entropy change of the macro system. Hence
entropy production allows us to connect the atomic level
behavior with macro-level response of the structure [15].
2.3 Entropy production by moving heat source
F&W processes and dissipates mechanical energy; the
dissipation can be measured by entropy production and
calculated:
(10)
For Hertz contact and the heat source distributes in the area
from (-a, -b) to (a, b), we have the analysis resolution of heat
conduct and obtain entropy generated by a linear contacted
frictional pair
(11)
Figure 2 is the distribution of entropy production at
center of heat source in depth direction, which shows that the
variation is intensive, the entropy production at 5 m under
the surface is only 0.3% that on the surface. The result means
that most energy is dissipated in very surface zone and
high-energy particles exist only in micrometers sub-surface
that inspire us to understand why only several micrometer
ion-implanting coating presented so excellent role in reducing
friction and increasing wear resistance and to design the
coatings with high scuffing-load carrying abilities.
2.4 Entropy production by plastic deformation
Plastic deformation not only dissipates energy, but also causes
wear–damage of materials. The entropy production generated
by deformation of frictional contact is given by
(12)
We used the data from finite element calculating and
equation 12 and obtained the entropy generation for linear
contacted frictional pair. The results show that the entropy
production generated by viscous stresses become its
maximum at the 15m under surface of contact center, which
decrease to 9% of its maximum at 40m depth.
3 CONCLUSIONS
Friction and wear are complicated thermodynamics
phenomenon, which involves various irreversible thermodynamic
processes and is associated with interchange of various forms
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
of energy. An irreversible thermodynamic framework of
friction and wear is proposed for development of general
tribology theory. In this paper, friction mechanism and wear
mechanics of continuum materials are discussed and the
entropy production is introduced as the sole measure for
description of both the energy dissipation (friction) and the
damage mechanism (wear) in tribological system. Entropy
production allows us to connect the atomic level behavior
with macro-level response of the friction and wear processes.
As a result, there is no need for physically meaningless
empirical parameters to define the phenomenological
frictional and wear parameters to trace the tribological
evolution in friction and wear system.
Fig. 2 Entropy production caused by moving heat source
By using the developed theory, we have studied the
entropy generated by moving heat sources and the results
suggest that several micrometers sub-surface zone dissipated
most part of the energy. By using finite element method, we
obtained the entropy production caused by plastic deformation
during friction contact, which shown that the maximum
entropy production generated in tens micrometers.
ACKNOWLEDGEMENTS
Supported by 973 project No. 2007CB607600, NSFC No.
60535020, 50675160, 50635030. Prof. Xue QJ, Wen SZ and
Zhang SW are gratefully acknowledged.
578
REFERENCES
1 Ludema KC. Mechanism-based modeling of friction and
wear. Wear. 1996, 200:1-7
2 Meng HC. and Ludema KC. Wear models and predictive
equations: their form and content. Wear, 1995, 181-183:
443-457
3 Perry SS, Tysoe WT. Frontiers of fundamental tribological
research. Tribology Letters, 2005, 19(3):151-161
4 Buldum A, Ciraci S. Atomic-scale study of dry sliding
friction. Phys. Rev. B, 1997, 55(4): 2606-2611
5 Matsukawa H., Fukuyama H. Phys. Rev. B 49,
17 :286-1994.
6 Perry SS, Tysoe WT. Frontiers of fundamental tribological
research. Tribology Letters, 2005, 19(3):151-161
7 Xie YB. Three axioms in tribology, Tribology. 2001,
21(3):161-165. (In Chinese)
8 Czichos H. A systems approach to the science and
technology of friction, lubrication and wear. Elsvier.1979
9 Shakhvorostov D, Pohlmann K, Scherge M. An energetic
approach to friction, wear and temperature. Wear, 2004,
257(1-2): 124-130
10 Lu X, Hanagud SV. A non-equilibrium irreversible
thermodynamics model for material damping. International
journal of solids and structures 2007, 44:3278-3303
11 Basaran C, Nie SH. An Irreversible Thermodynamics
Theory for Damage Mechanics of Solids. International
Journal of Damage Mechanics, 2004, 13( 3): 205-223
12 Li QM. Dissipative flow model based on dissipative
surface and irreversible thermodynamics. Archive of
Applied Mechanics, 1999, 69(6): 379-392
13 Dai ZD, Wang M, Xue QJ. Thermodynamics of Tribology
System. Beijing: National Defense Industry Press. 2002.(In
Chinses)
14 Socoliuc A, Gnecco E, Maier S, et al. Atomic-scale control
of friction by actuation of nanometer- sized contacts. 2006,
Science, 313(14): 207-210
 Fabrication and Flying Test of Silicon Sliders

Fabrication and Flying Test of Silicon Sliders

Jing Lin, Yonggang Meng*, Nanhai Song

State Key Laboratory of Tribology, Tsinghua University, Beijing 100084, China

(Extended Abstract)

ABSTRACT include: mask design and manufacturing, silicon etching and

With the further increase of the magnetic storage density of dicing. The details of these steps of fabricating sliders on
hard disk, flying height of sliders has to decrease down to 5nm in silicon are described as follows.
the near future. To ensure that the working flying height is
coincident with the design goal, it is crucial to measure the
flying height of a slider design during the development of new
sliders.
The manufacturing of real sliders requires specific materials,
processes and equipment. For the purpose of flying height test,
however, real sliders are not necessary, some substitutions can
meet the experiment demands as long as the shape and size of
the substitutions are same as those of real ones. In this article,
fabrication of sliders with silicon wafer, which is the most
common substrate used in microsystems, is introduced. The
problems in mask design, slider fabrication and dicing are
discussed. Some principal air bearing surface parameters of the
self-made silicon sliders are measured. The flying characteristics
of the silicon sliders is tested on a stand-alone tester with the
laser heterodyne interferometry method. The test results
coincide well with the simulation results.
The research results indicate that the self made silicon sliders
can be used as the substitutions of real sliders for flying height
testing, providing a simple approach which can greatly save the
costs and time for preparation of slider samples.
Keywords: silicon slider, flying height, microfabrication
Fig.1 slider structure
INTRODUCTION (black: top layer;thick gray: middle layer;light gray:
bottom layer)
With the development of magnetic storage technology, the
storage density of hard disk is required to achieve the 1TB/in2, MASK DESIGN
and the flying height of the slider should be decreased below The slider to be fabricated has two layers as most of the
5nm. For such a low flying height, to keep a stable flying state commercial sliders. To form the two-layer structure with ion
becomes difficult [1]. It is crucial to measure the slider flying beam etching technique, the fabrication process should be
height and to grasp flying characteristics. divided into two main steps, first to etch the deep layer or
Measuring the flying height of slider has been a very recession, and then to etch the shallow layer. To do so, we have
important part of the slider test [2-4]. Unfortunately, it is not two possible approaches for etching, and two correspondent
easy to get a real slider for common researchers. The mask designs. The first approach is that the recession with
manufacturing of real sliders requires specific materials, depth of 1μm is etched directly in one time, and then the
processes and equipments [5]. For the purpose of flying height shallow step with depth of 0.18μm is etched consequently. The
test, however, real sliders are not necessary, some substitutions second approach is that the recession area is etched in two steps,
can meet the experiment demands as long as the shape and size the depth of the first step etching is 0.82μm, and the remaining
of the substitutions are same as those of real ones. Moreover, 0.18μm layer is removed in the second step etching, at the
the substitution slider may provide more flexibility of air same time, the shallow step with 0.18μm is formed.
bearing surface design or specific functions which are not It is found that for slider with such structure, i.e., the area
found in commercial sliders. of upper layer is less than that of the lower layer, the second
In this article, we managed to fabricate sliders on silicon approach is the better one. Because the first approach requires
wafer which is the most often used material for to align the two masks used in the two steps precisely during
microfabrication. The fabrication process is relatively mature lithography. Otherwise, there will be some area left un-etched
and the equipments are easily available. A slider with complex due to misalignment. The misalignment error can be reduced to
structure has been fabricated successfully on silicon, its flying some extent but can’t be eliminated completely, so the first
characteristics has been tested. The flying height experiment approach is not suitable for fabrication of the sliders with such
results are compared with the simulation predictions. structure.
Besides the slider structure on mask, there should be
SLIDER FABRICATION alignment marks and dicing alignment line for lithograph and
In this article, the slider fabrication process is dicing. We use the crosses as alignment mark, four lines of
demonstrated through a slider with complex structure shown as 10μm width as dicing alignment lines. We use the figure unit
fig.1. The process of slider fabrication is almost the same as style for the convenience of mask fabrication, shown as fig.2,
other common micro-fabrications of micro devices. Main steps so to array the figure unit can form the whole mask.

579
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
(a)
(b)
Fig.2 (a) first mask figure unit (b) second mask figure unit
SILICON ETCHING
After the mask is fabricated, the silicon is etched.
Conventional IBE process was selected for etching the silicon
because of its high etching quality. The process of slider silicon
etching is almost the same as other silicon etching. The etching
depth error is controlled within 10%. The fabricated slider is
shown in fig.3
Fig.3 slider etched
The roughness of the etched surface is measured after
silicon etching, the Ra value of the etched surface is 1.9nm,
580
while the Ra value of the top layer, i.e. the virgin silicon
surface is 2.7nm, Such low roughness can meet the
requirements of sliders with flying height of 10nm and higher.
DICING
Dicing is the last and one important step of the slider
fabrication. The requirement for dicing is to minimize the
defects on the edges, because the silicon is relatively fragile.
Inappropriate dicing may cause serious damage on the edge.
We used high spindle rotating speed and low feeding velocity
to avoid possible edge defects during dicing, The spindle
rotating speed is 26000rpm, and the feeding velocity is 5mm/s,
the knife width is between 0.025-0.030mm, the results show
that with such parameters can get straight cutting line and
almost defect free edges, which can meet the test demands .
The cutoff sliders are glued onto a commercial
suspensions for test. Fig.4 shows the tested sliders and
suspension
Fig.4 slider and suspension
SIMULATION
To compare the experimental and simulation results of
flying height, the steady flying head attitude is numerically
analyzed by solving the slider balancing equations and
molecular gas lubrication equation. The molecular gas
lubrication equation is solved with the finite difference method.
The pressure distribution, flying height and attitude were
calculated for the same conditions of the experiment described
below. fig 5 show the pressure distribution of the slider.
Fig.5 pressure distribution
 Fabrication and Flying Test of Silicon Sliders
EXPERIMENT
EXPERIMENT SETUP
The self-made stand-alone tester consists of an air bearing
spindle, an air-floating suspension platform, a laser
interferometer, an AE signal acquiring system and a slider
loading system. The air floating system is used to isolate
outside vibration. The AE signal is used for monitoring the
contact between slider and disk at taking-off and landing stages.
The slider loading system can move in three directions, for
controlling the loading force and slider position on disk. The
flying height is measured with the method of laser heterodyne
interferometry which is described in a separate paper.FIG.6
shows the schematic of the experiment setup.
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Fig.6 schematic of experiment setup
EXPERIMENT PROCEDURE
First let the air-bearing spindle rotating at 3600rpm, load
the slider onto the disk, by monitoring the AE signals to make
sure that the slider is flying stable on the disk, the flying height
near the slider trailing edge is measured with the laser
heterodyne interferometer, and then the disk rotating speed is
increased to measure the flying height at higher rotating speed,
the flying height is measured with the suspension load force of
18mN. The disk used in experiment is glass disk.
FLYING HEIGHT TEST RESULTS
The flying height is tested under different rotating speed
conditions. The comparison of experimental and simulation
results are shown in Fig.7.
Fig.7 simulation and experiment results
From the results we can see that the simulation and
experimental results coincide well with each other which
means that the silicon slider can be used in the flying height
test.
CONCLUSIONS
A slider with complex structure has been fabricated
successfully on silicon wafer. The whole fabrication process is
introduced. The flying height test results of the silicon slider
agree well with the simulation results. Therefore using silicon
slider as a substitution for real slider is a possible and
convenient way for ABS design of flying heads.
ACKNOWLEDGEMENTS
The grants from Major State Basic Research Development
Program of China (973 Program) (No.2003CB716205) are
acknowledged.
REFERENCES
[1] Gang Sheng , Rao Dukkipati , Jian Pang, Nonlinear
dynamics of sub-10 nm flying height air bearing slider in
JODVVGLVN
modern hard disk recording system, Mechanism and
Machine Theory 41 (2006) 1230̢1242.
[2] Y.S. Ma and B. Liu, Observation of slider landing process in
hard disk drive, Tribology Letters, Vol. 20, No. 2, October
2005,177-189.
DLUEHDULQJ [3] Jiang Zhou, Yansheng Ma, Bo Liu etc., Flying
VSLQGOH Height-Attitude Observation and Investigation of Sliders in
Load/Unload Process, IEEE TRANSACTIONS ON
MAGNETICS, VOL. 38, NO. 5, SEPTEMBER
2002,2123-2125.
[4] Yue Zhao-yang, Lin De-jiao, Song Nan-hai, Meng
Yong-gang etc., In-Situ Measurement for Flying Height
Modulation of Magnetic Head by Symmetrical
Common-Path Heterodyne Interferometry, Chinese journal
of lasers.vol34,No.6,June 2007,842-845.
[5] Hans H. Gatzen,Rigid disk slider micromachining
challenges to meet microtribology needs, Tribology
International 33 (2000) 337–342
581
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Surface Damages on Silicon Surfaces Created by Large Silica Cluster Impacts::
Molecular Dynamics Simulation
Ruling Chen*, Jianbin Luo, Dan Guo, Xinchun Lu
State Key Laboratory of Tribology, Tsinghua University, Beijing 100084, China
(Extended Abstract)
ABSTRACT
Surface damages on silicon surface under the large silica
cluster impacts have been observed and analyzed by molecular
dynamics simulation. The results show that extrusion
formation on silicon is affected by temperature spread, phase
transformation and crystallographic slip. And the effect of
temperature spread is the strongest among all of these effects.
The extrusions on silicon surface will be in embryo during the
impact unloading stage and will grow up during the cluster
rebound stage. Moreover, the critical velocity of the extrusion
formation is affected by incidence angle and crystallographic
orientation not by cluster size. These results will be helpful for
the selection of process parameters in elastic emission
machining.
Keywords: Surface damage, Crystal silicon, Impact load,
Silica cluster, Molecular dynamics simulations
1 INTRODUCTION
Elastic emission machining (EEM)[1,2] or chemical
mechanical polishing (CMP)[3,4] is one of the most important
ultra-precision machining processes having performances to
create atomically flat surface of silicon wafers. In CMP or
EEM, the material removal of silicon surface is realized by the
reaction between the surfaces of clusters (typically silica
clusters) and silicon surface when the cluster impacts on the
silicon wafer. Understanding of the formation mechanism of
surface damage on silicon surface under impact load is of
important for realizing atom-scale material removal in
ultra-precision machining process.
Many molecular dynamics studies and experiments in the
last two decades have been reported on surface crater under a
cluster impact on a surface [5-12]. Along with crater, rims
(namely extrusions) can be found. However, for most of the
studies reported it was paid more attention to the formation
mechanism of crater not crater rim, such as the relationship
between crater depth and impact energy [10,11], crater shape
under different crystal orientation of silicon and cluster type
[12]. Moreover, the clusters with the size less than 1,000 atoms,
which included gas atoms, metal atoms, metal atoms, were
adopted usually were adopted usually under ultra-high impact
velocities to study the process of ion bombardment on silicon
surface.
In fact, the extrusions on silicon surface were firstly
noticed by Pharr et al in 1991 through indentation experiment
of silicon [13]. Experiments [14,15] and simulations [16,17]
show that the initial response of crystal silicon (c-Si) under
indentation experiment to mechanical load is to slip with a
small-localized phase transformation, which is from c-Si to
Si-II. With increasing load, the size of the phase transformed
region increases. When the transformed metallic Si-II zone
extends to the radius of contact, the material under indenter is
able to flow plastically resulting in the observed metal-like
extrusions. Generally, the factors considered when analyzing
phase transformation or plastic deformation under indentation
are high hydrostatic and shear stresses not temperature. But
recent works show that the temperature has also a strong
* Electronic mail: chenrl04@mails.tsinghua.edu.cn.
582
influence on the occurrence of indentation-induced phase
transitions [18,19]. Therefore, the formation mechanism of
extrusion under impact load, which will cause transient high
pressure and temperature, will be different from that under
indentation load.
Generally, the process of indentation and ion bombard
could be considered as that under quasi-static velocity large
cluster impact on a surface and that under ultra-high velocity
small cluster impact on a surface, respectively. Therefore, the
process under the relative low- or high-velocity large cluster
impact on a surface (e.g. EEM or CMP) will be the gap
between that under indentation and ion bombardment. As we
known, the topography and formation mechanism of the crater
are affected by cluster type and cluster size [5,12], substrate
properties, and so on. However, there have been few special
reports concerning the simulation of the large amorphous silica
cluster impact on a silicon surface.
Therefore, this study aims to verify the formation
mechanism of surface damages on silicon surface at the atomic
level under the relative low- or high-velocity large cluster
impact.
2 SIMULATION METHODOLOGY
A Stillinger-Weber-like potential[20] modeled the
interatomic interactions in the cluster-substrate system. A
schematic of the silica cluster impact on the crystal silicon
(c-Si) is shown in Fig.1
Fig. 1 The sketch of the cluster impact on the crystal silicon
substrate for molecular dynamics simulation
3 MECHANISM OF EXTRUSION FORMATION
The response of c-Si during the impact loading stage is
also to slip with a small-localized metallic phase
transformation. However, the extrusion is not observed during
the former even though the local pressure is over 8.5Gpa. The
reason is that the contact time between cluster and substrate is
so short that the metallic zone can not extend timely to radius
of contact because the transformation of c-Si to metal phase is
some sluggish.
The volume of the plastic deformation region will
increase obviously during the impact unloading stage by phase
transformation, temperature spread and crystallographic slip.
As the time passes, the size of plastic deformation region will
increase further. When the plastic deformation region extends
to radius of contact, the material under the cluster will flow out
 Surface Damages on Silicon Surfaces Created by Large Silica Cluster Impacts : Molecular Dynamics Simulation
resulting in the observed extrusions. However, the extrusion is
only in embryo during this stage because the local temperature
and pressure decrease continuously.
The extrusion will grow up rapidly during cluster rebound
stage because of the occurrence of the second peak value of the
local temperature of impact zone.
4 THE CRITICAL VELOCITY OF THE EXTRUSION
FORMATIONT
We suppose a critical velocity of the extrusion formation
(Vcr) under which the height of extrusion formed is 5Å.
Fig. 2 Variances of Vcr under different impact conditions
Fig. 3 Variances of Vcr under 5184-cluster and different crystal
orientations of silicon substrate
Figure 2 and Figure3 shows that the critical velocity of
the extrusion formation is affected by incidence angle and
crystallographic orientation not by cluster size. The result
reveals further that extrusion formation on silicon is affected
by temperature spread, phase transformation and
crystallographic slip. And the effect of temperature spread is
the strongest among all of these effects.
5 CONCLUSION
The extrusion formation on silicon is affected by the
effect of temperature spread, phase transformation and
crystallographic slip. And the effect of temperature spread is
the strongest among all of these effects.
ACKNOWLEDGEMENTS
The authors wish to thank Takanobu Watanabe, Ph.D., for
his explaining how to use his potential function. This research
is supported by NSFC (No.50775121) and 973 Project of
China (No. 2003CB716200).
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[1] Runnels S.R. and Eyman L.M., 1994, “Tribology analysis
of chemical-mechanical polishing”, J. Electrochem. Soc.,
141, 1698-1701.
[2] Luo J.F. and David A., 2001, “Material removal mechanism
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[3] Mori Y., Yamauchi K., Endo K., Ide T., Toyota H.,
Nishizawa K., Hasegawa M., 1990, “Evaluation of elastic
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[4] Kubota A., Mimura H., Inagaki K., Mori Y., Yamauchi K.,
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Electrochem, Soc., 153, pp. G874-G878.
[5] Colla T.J., Aderjan R., Kissel R. and Urbassek H.M., 2000,
“Spikes, sputtering of Au (111) induced by 16-keV Au
cluster bombardment: craters, late emission, and
fluctuations”, Phys. Rev. B, 62, pp.8487-8493.
[6] Xu J., Luo J.B., Lu X.C., Wang L.L., 2005, “Atomic scale
deformation in the solid surface induced by nanoparticle
impacts”, Nanotechnology, 16, pp. 859-864.
[7] Carroll S.J., Nellist P.D., Palmer R.E., Hobday S. and
Smith R.,2000, “ Shallow implantation of “size-selected”
Ag clusters into graphite”, Phys. Rev. Lett., 84 ,
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[8] Yamaguchi Y. and Gspann J.,2002, “Large-scale molecular
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processes on a diamond surface”, Phys. Rev. B, 66,
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[9] Aoki T. and Matsuo J., 2005, “Molecular dynamics
simulations of sequential cluster ion impacts”, Nucl.
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[10] Insepov Z. and Yamada I.,1999, “Surface processing with
ionized cluster beams: computer simulation”, Nucl.
Instrum. Methods Phys. Res. B ,153, pp.199-208.
[11] Insepov Z., Manory R., Matsuo J. and Yamada I., 2000,
“Proposal for a hardness measurement technique without
indentor by gas-cluster-beam-bombardment”, Phys. Rev.
B, 61,pp. 8744-8752.
[12] Allen L.P., Insepov Z., Fenner, D.B., Santeufemio C. and
Brooks W., 2002, “Craters on silicon surface created by
gas cluster ion impacts”, J. Appl. Phys., 92, pp.
3671-3678.
[13] Pharr G.M., Oliver W.C., Harding D.S., 1991, “New
evidence for a pressure-induced phase transformation
during the indentation of silicon”, J.Mater.Res,. 6, pp.
1129-1130.
[14] Bradby J.E., Williams J.S., Leung J.W., Swain M.V. and
Munroe P.,2000, “Transmission electron microscopy
observation of deformation microstructure under spherical
indentation in silicon”, Appl. Phys. Lett., 77, pp.3749-3751.
[15] Bradby J.E., Williams J.S., Swain M.V.,2003, “In situ
electrical characterization of phase transformations in Si
during indentation”, Phys. Rev. B, 67, pp.085205.
[16] Pérez R., Payne M.C. and Simpson A.D.,1995, “First
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(The whole paper will be supplied by the authors if the reader
needs it.)
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Silicon Oxide Surface Chemistry and Nano-Tribology
Seong H. Kim
Department of Chemical Engineering, The Pennsylvania State University, University Park, PA 16802, USA
(Extended Abstract)
ABSTRACT
As the contact size involved in mechanical device
operations decreases, the adsorption of gaseous molecules on
the contact surface – which normally ignored in macroscopic
measurements – becomes more important and dominant factors
governing the contract properties such as adhesion and friction.
Water adsorption can causes high adhesion and severe wear of
silicon oxide surfaces. In contrast, alcohol vapor adsorption
from the ambient can provide unprecedentedly efficient
lubrication effects for operation of microelectromechanical
systems (MEMS) with sliding contacts. Atomic force
microscopy (AFM) is an ideal tool for studying the adhesion
and frictional behavior of nanoscale asperity contacts. The
tribological response of a silicon nanoasperity contact was
studied with AFM in the presence of water or alcohol vapor.
The origin of adhesion, friction, and wear behavior changes of
silicon oxide contacts in the presence of water or alcohol vapor
is elucidated through vibrational spectroscopic investigation of
the thickness and structure of the adsorbed layers as well as
theoretical calculations of their tribological responses.
Keywords: Nanotribology, MEMS, Gas Adsorption, Alcohol,
Silicon Oxide
INTRODUCTION
The adsorption of small molecules from the gas phase
produces a few Å to a nm thick adsorbate film on the solid
surface, which can alter the tribological properties of
solid-solid contacts.[1] In nature, water is ubiquitous and
adsorbs onto virtually all surfaces. As an example, as soon as a
piece of glass is broken in air, its surface becomes
“contaminated” with adsorbed water vapor. Therefore, the
presence of this interfacial water plays an important albeit
often overlooked role in tribological responses of
nano-asperity contacts. This paper describes the effect of
gas-phase molecules in nanotribology and its implications in
microelectromechanical systems (MEMS) lubrication.
EFFECTS OF GAS ADSORPTION
Adsorption of Water from Humid Ambient
In order to understand the effect of water adsorption on
tribological properties, one must know the exact thickness and
structure of the adsorbed water layer on solid surfaces. Figure 1
Fig. 1 IR spectra of the adsorbed water layers in the RH
range from 7% to 99%. The inset shows the thickness of
the layer calculated from the spectra.[2]
584
displays the attenuated total reflection infrared spectroscopy
data obtained for water layer on silicon oxide surfaces at various
relative humidity (RH).[2] In the low RH region, the adsorbed
water thickness increases rapidly up to ~3 layers and then
retards, giving a knee-like shape. In the intermediate RH region,
the thickness growth is somewhat linear. In the high RH region,
the thickness of the adsorbed water layer increases
exponentially with the humidity. The structural information is
obtained from the O-H vibration peak position. In the low RH
region, all the adsorbed water molecules have the ice-like
structure (peak at 3230cm-1). In intermediate RH, the ice-like
structure competes with the liquid structure (peak at 3400cm-1).
In the high RH region, the condensation of liquid water occurs
on top of the “ice-like” water layer.
Fig. 2 RH dependence of the AFM pull-off force.
Symbols are experimental data and lines are
theoretical calculations results.[3]
This finding provided a very important clue to solve one of
the elusive questions in the nano-asperity adhesion of silicon
oxide surfaces. The adhesion force measured with atomic force
microscopy (AFM) increases by a factor of ~3 as RH increases
from 0 to ~40%, compared to the force measured in the dry
state, and decreases significantly as RH increases further
(Figure 2). Theoretical calculations show that this large RH
dependence of the nano-asperity adhesion force can be
explained only when the property of the ice-like water layer is
taken into account in addition to the van der Waals and capillary
forces.[3]
Adsorption of Alcohol Vapor
The adsorption of simple alcohol molecules can be used
to reduce the adhesion and friction of the nano-asperity silicon
oxide contact. The thickness of the alcohol layer adsorbed on
the silicon oxide surface is about one or two monolayers thick in
(a) (b)
Fig. 3 (a) Capillary force versus P/Psat for ethanol, 1- butanol,
and 1-pentanol. (b) Normalized AFM capillary force to
account for differences in the meniscus area and molar
volume of alcohols versus Laplace pressure. [4]
 Silicon Oxide Surface Chemistry and Nano-Tribology
the partial pressure range between 10 and 90 % relative to the
saturation pressure. Unlike the water case, the adhesion force
decreases immediately when the alcohol vapor pressure
increases (Figure 3). Given the same contact geometry, the
isotherm plays a dominant role in the shape of the capillary
force versus P/Psat, while the liquid molar volume of the
adsorbate constrains the magnitude of the capillary force.[4]
Fig. 4 Decrease of friction force upon environment
change from ambient humid air to saturated alcohol
vapor. The inset shows temporal changes of friction
force upon sudden environment changes.[5]
The friction of the nano-asperity sliding contact can be
measured during a contact mode AFM scanning. Figure 4
shows the magnitude of friction force decrease for different
alcohols at saturation vapor pressures.[5] All alcohols tested
exhibit significant lubrication effects. The inset in the figure
illustrates the reversible change in friction force in response to
alcohol vapor introduction and removal to the ambient.
Fig. 5 Topographic images of the high-force line-scan
region in (a) 75% relative humidity and (b) 75%
saturation vapor of n-propanol. (height f.s. = 1nm) [6]
The adsorbed alcohol layer in equilibrium with the gas
phase can almost completely prevent the silicon oxide wear at
the nanoscale. Figure 5 illustrates the contrast in silicon
substrate wear when the AFM tip was scanned 512 times at the
same location with a 75 nN load. In the humid environment, a
severe wear mark is observed on the silicon surface; however,
no wear is observed in the n-propanol vapor environment. We
have observed the same phenomena on the AFM tip. In
scanning electron microscopy (SEM) imaging, the tips used in
humid air were found to be very dull, while the tips used in
alcohol ambient under the same effective load (applied load +
adhesion force) were still sharp. This may imply that the wear
of silicon oxide surface in the humid air is mainly due to
tribo-chemical wear, rather than purely mechanical wear.
IN-SITU VAPOR PHASE LUBRICATION OF MEMS
The gas-phase lubrication can provide many advantages in
MEMS. The minimization of stiction, friction and wear is
critical for reliable operation of MEMS devices. MEMS devices
typically have components that move and contact or rub other
parts. Once the MEMS device is fully assembled, application of
585
any conventional lubricant to these buried interfaces is very
difficult. The gas molecules can easily reach these surfaces as
long as the gap between the solid surfaces is larger than the
mean free path of the molecule at a given pressure and
temperature. This mean free path is typically in the order of
nanometers in ambient conditions. Therefore, the gas
adsorption process is fully conformal.
Fig. 6 Friction changes observed for MEMS devices
operated under dry N2 or 95% Psat of 1-Pentanol. The
picture shows the MEMS device used in this study. [7]
Figure 6 demonstrate the efficacy of the alcohol vapor
phase lubrication in MEMS device operation. In dry N2
conditions, friction increases rapidly and the device fails within
104 cycles (<2 minutes at a 100 Hz operation). This failure is
assumed to be mostly due to wear. At 95% of Psat of pentanol,
friction remains low and the device does not fail.
ACKNOWLEDGEMENTS
This work was supported by the National Science
Foundation (Grant No.CMS-0408369 and CMMI-0625493).
REFERENCES
[1] Strawhecker, K., Asay, D.B., McKinney, J., and Kim, S.H.
2005, "Reduction of adhesion and friction of silicon oxide
surface in the presence of n-propanol vapor in the gas
phase" Tribol. Lett. 19, 17 - 21.
[2] Asay, D.B., and Kim, S.H. 2005, "Evolution of the
Adsorbed Water Layer Structure on Silicon Oxide at
Room Temperature" J. Phys. Chem. B, 109, pp. 16760 -
16763.
[3] Asay, D.B., and Kim, S.H., 2006, "Effects of Adsorbed
Water Layer Structure on Adhesion Force of Silicon
Oxide Nanoasperity Contact in Humid Ambient" J. Chem.
Phys. 124, pp. 174712-1 - 174712-5.
[4] Asay, D.B., and Kim, S.H. 2007. "Molar Volume and
Adsorption Isotherm Dependence of Capillary Forces in
Nanoasperity Contacts" Langmuir 23, pp. 12174 - 12178.
[5] Strawhecker, K., Asay, D.B., and Kim, S.H. 2006,
"Gas-Phase Lubrication of MEMS Devices: Using
Alcohol Vapor Adsorption Isotherm for Lubrication of
Silicon Oxides" In Encyclopedia of Chemical Processing
(Sunggyu Lee, Ed.; Taylor & Francis, Inc.: New York) Vol.
2, pp.1143 - 1150.
[6] Asay, D.B., Dugger, M.T., Ohlhausen, J.A., Kim, S.H. 2008,
"Macro- to Nano-scale Wear Prevention via Molecular
Adsorption" Langmuir 24, pp. 155-159.
[7] Asay, D.B., Dugger, M. T., and Kim, S.H. 2008, "In-situ
Vapor-Phase Lubrication of MEMS" Tribol. Lett. 29, PP.
67 - 74.
Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Dynamic Testing for Evaluation of HDI Robustness

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Dynamic Testing for Evaluation of HDI Robustness

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Effect of Wall Roughness on Electroosmotic Flow in Microchannels

Y. Liu*, D. Yang

School of Mechanical & Electrical Engineering, Nanchang University, Jiangxi, 330031, China

ABSTRACT z 0 e4
3 e  2 z0 en sinh( ) (2)
Electroosmotic flow (EOF) is widely used to transport and k BT
mix fluids in lab-on-a-chip (LOC) devices. For the
/u
parallel-plate microchannel with surface roughness, this paper 3f (  u  .u )  .P  . 2u  3 e E (3)
solved the governing equations using the finite element /t
method (FEM) and the effects of roughness element height and .u  0 (4)
density on the EOF behavior were thus investigated. The where  is the electrical potential induced by the zeta potential
simulation results indicate that the strong flow resistance can in the EDL, r is the dielectric constant of the solution, 0 is the
enhance the pressure reduction and decrease the velocity in permittivity of vacuum, and e is the net charge density per
microchannels. The average EOF velocity varies linearly with unit volume in Eq. (1), which meet the Eq. (2) with the . In
the EDL thickness in smooth channels, which does not vary
with the roughness height or interval space or EDL thickness
monotonically in homogeneous rough channels. The EOF
velocity decreases quickly when the roughness height is very
small and slowly after that, and it is influenced most
significantly when the roughness interval space is the same as
the roughness height.
Keywords: microchannel, surface roughness, EOF, FEM
1. INTRODUCTION
Lab-on-a-chip (LOC) devices are frequently required to
have an accurate flow control. Fluid motion in these devices is
often achieved using electroosmotic flow (EOF)[1], which
shows several advantages over pressure driven flow. EOF is
the bulk liquid motion that results when an externally applied
electric field interacts with the net surplus of charged ions in
the diffuse part of an electrical double layer (EDL)[2]. EOF and
mass transport in microchannels is strongly dependent on
surface roughness[3]. Generally, the microchannel surface may
exhibit certain degrees of roughness generated by the
manufacturing techniques or by adhesion of biological
particles from the liquids[4]. The reported surface roughness
ranges from 0.1 to 2 m, which could be ignored in the
conventional instrument, however it may have an important
effect on the flow in microchannels[5].
Several studies are made in recent past on the EOF in
rough mcirochannel based on the finite volume method
(FVM)[6] and the Lattice Poisson-Boltzmann method (LPBM)[7].
The inertial effect and the flow recirculation can enhance the
mixing substantially through the convection effect[8].
The objective of this paper is to investigate the flow
resistance effect on a fully developed EOF within a long rough
microchannel whose height is 10m. To achieve the objects,
the Poisson-Boltzmann equation for electrical potential
distributions and the Navier-Stokes equations for flows will be
developed and solved by using the finite element method
(FEM).
2. MATHEMATIC MODELS
Electroosmotic transport can be described by the Poisson
equation and the incompressible Navier-Stokes equations. The
model includes[9]:
3e
. 24   (1)
 r 0
Eq. (2), n and z0 are the bulk ionic concentration and the
valence of ion in the symmetric electrolyte solution,
respectively, e is the charge of a proton, kB is the Boltzmann
constant and T is the temperature.
In Eqs. (3)-(4), u is the velocity vector, is the viscosity, f
is the density of the fluid, e is the local net charge density, E is
the electrical field strength and P is the pressure applied to the
microchannels.
The object studied in this paper is the parallel-plate
microchinnels with different rectangles symmetrically on the
channel wall, shown in Fig.1. The channel is L in length and D
in width and the surface roughness is w in width and h in
height. The channel is periodic in x direction with both wall
charged with a uniform zeta potential. The surface roughness
is uniformly arranged in the channel with an interval space wr
and the three surfaces of each roughness are charged at a
uniform zeta potential. Then the equations above could be
simplified into two-dimensional mathematic models.
Fig. 1 Schematic of the microchannels with periodic surface
roughness
Substituting Eq. (2) into the Poisson equation (1) leads to the
nonlinear Poisson-Boltzmann equation with the coordinates
shown in Fig.1.
/ 24 2 z 0 en z e4
 sinh( 0 ) (5)
/y 2
 r 0 k BT
Fully developed flows and the zero pressure gradients are
assumed in the microchannels, in addition, for sufficiently
small Reynolds number (for the channel sizes considered in
this work Re~0.1 or smaller), the Eq. (3) as described above
could be simplified into
/ 2u
0  3e ( y ) Ex (6)
/y 2
Defining Debye-Hückel parameter 5 = -1= (2 z2 e2 n /r o kB
*Corresponding Author: Y. Liu, E-mail: lying@ncu.edu.cn T)1/2, and is characteristic of the EDL thickness, which is

588
 Effect of Wall Roughness on Electroosmotic Flow in Microchannels

named as Debye length depending on the value of ionic 3.1. EOF IN SMOOTH MICROCHANNELS
concentration and the temperature. EOF in smooth microchannels is simulated and the effects
Introducing the following dimensionless parameters: of EDL is analyzed firstly when the height of the surface
ze4 , u y x roughness h=0. Based on the above parameters, the EDL
4  K  5D , u  , y  , x  , thickness could be computed from the formula of Debye
k BT U D D Re 0 length, which varies from 100nm to 300nm while the ionic
3 f DU 2 zen 6 , D Re 0
concentration n=10-6~10-4mol/L.
Re 0  , G  Ex  Ex Figure 2 shows the dimensionless EOF velocity in the bulk
 3 fU 2
6 flow region of the channels and the dimensionless EOF
where 4 is the dimensionless potential, K is the average velocity in the whole channels, and the horizontal
coordinate is the dimensionless EDL thickness /D. The
electrokinetic diameter, U is the reference velocity, Re0 is the
average velocity deceases linearly with the increase of the
reference Reynolds number.
Then the mathematic models (5) and (6) can be EDL thickness, and the HS velocity keeps invariable, which
non-dimensionalized by using the previously defined agree well with the Smoluchowski equation[10]. The average
parameters: velocity decreases to the 92.8% of the HS velocity when the
dimensionless EDL thickness /D=0.0426.
/ 24
 K 2 sinh4 (7)
/y 2

/ 2u
 G E x sinh(4 ) (8)
/y 2
The corresponding dimensionless boundary conditions follow:
/4 1
y  0,  0 , y  ) ,4  6 (9)
/y 2
/u 1
y  0,  0 , y  ) ,u  0 (10)
/y 2
where 6 is the dimensionless zeta potential on the channel
ze6
wall, which is defined as 6  .
k BT

Fig. 2 EOF velocity vs. EDL thickness in smooth

3. RESULTS AND DISCUSSION
To simulate the EOF in 2D microchannels, we applied a
2D-computation code COMSOL Multiphysics 3.3 (COMSOL
Inc.) based on the finite element method. The nonlinear
Poisson-Boltzmann equation for a stable electrical potential
distribution was solved numerically firstly, and then the
incompressible Navier-Stokes equations, which can save
plenty of computation resources when the variables in
multiphysics problem are not coupled intensively. The
non-uniform grid was used to discretize the domain in the
microchannels in view of the large difference in dimension
between the EDL thickness and channel width, i.e., the
extremely small grid was used in the near-wall region, and the
coarser comparatively was used in the bulk flow region. And
every case was examined before the analysis of the EOF to
insure the convergence of the result.
Consider the microchannels with a width D=10m, a
length L = 10D, the relative roughness height k=0~0.1 leading
to a h=0~1m, roughness width w=1m, and the relative
roughness interval space l=0~5 leading to a wr=0~5m.
Applied electrical field strength along the x direction
Ex=200V/cm, the ionic concentration n=10-6~10-4mol/L, and
the other parameters including: the dynamic viscosity
=0.9×10-3Nsm-2, density f=1.0×103 kgm-3, the dielectric
constant of the solution r=80, the permittivity of vacuum
-12 2 -1 -1
0=8.854×10 C J m , the Boltzmann constant
kB=1.38×10-23JK-1, the charge of a proton e=1.6×10-19C, the
temperature T=298K, zeta potential on the channel wall
=0.1V and the reference velocity U=1mm/s.
microchannels
3.2. EFFECTS OF ROUGHNESS HEIGHT
Aiming to the different EDL thickness, effects of surface
roughness height on EOF in rough microchannels were
simulated and analyzed in this sub-section. Fig. 3 shows EOF
velocity changing with the roughness height at different EDL
thickness when the roughness width and interval are
w=wr=1 m, the vertical coordinate is the dimensionless EOF
velocity in the bulk flow region of rough channels in Fig. 3(a),
which is the average one in the whole channels in Fig. 3(b),
the horizontal coordinate is the dimensionless roughness
height h/D. The results indicate that EOF velocity decreases
with the roughness height, but it is the nonlinear change. The
velocity decreases quickly when the roughness height is very
small (h/D < 0.05), and it decreases slowly after that until it
does not change for the velocity in the bulk flow region, but
the average one decreases at all times with the increasing of
roughness height, which means that the resistance force
increases at this time.
3.3. EFFECTS OF ROUGHNESS INTERVAL SPACE
Figure 4 shows EOF velocity influenced by the roughness
interval space at different EDL thickness when the roughness
height h=0.2 m and width w=1 m, the vertical coordinate is
the dimensionless EOF velocity in the bulk flow region of
rough channels in Fig. 4(a), which is the average one in the

589
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

whole channels in Fig. 4(b), the horizontal coordinate is the

dimensionless roughness interval space wr /w. When the
roughness interval space wr is smaller than the roughness
width w, EOF velocity decrease with the interval space, and
the microchannel returns to the smooth channel while wr=0.
When the roughness interval is larger than the roughness width,
a larger interval space leads to a larger EOF velocity. The
results indicate that EOF velocity is influenced most
significantly when the roughness interval space is same as the
roughness height. It can also be calculated that even for very
sparse roughness cases, such as wr = 5w, EOF velocity in the
bulk flow region is lower than 95% and the average one is
lower than 93% that of a smooth channel when the EDL
thickness is =100nm, which shows that the roughness effect
is not negligible in analysis of EOF in microfluidics.

(a)

(a)

(b)
Fig. 4 EOF velocity vs. the dimensionless roughness interval
space wr/w (a) Dimensionless velocity and wr/w, (b)
Dimensionless average velocity and wr/w

(b)
Fig. 3 EOF velocity vs. the dimensionless surface roughness
h/D (a) Dimensionless velocity and h/D, (b) Dimensionless
average velocity and h/D
In addition, the changing rate of the EOF velocity with the
roughness height and interval is different for the different EDL
thickness in Fig. 3 and Fig. 4, which shows that the velocity
can be affected not only by the surface roughness but also by
the EDL thickness. The effects of EDL and roughness on EOF
simultaneously need to be studied more intensively in the
future[11].
4. CONCLUSIONS
The nonlinear Poisson-Boltzmann equation and the
Navier-Stokes equations for EOF in smooth and rough
microchannels were solved by using FEM based on the
non-uniform grid. The effects of surface roughness on EOF
were analyzed with the homogeneously charged rough
channels.
The average velocity varies linearly with the thin EDL
thickness for the EOF in smooth channels, but it does not vary
with the roughness height or interval space or EDL thickness
monotonically in homogeneously charged rough channels. The
EOF velocity decreases quickly when the roughness height is
very small (h/D < 0.05) and slowly after that, and it is
influenced most significantly when the roughness interval
space is same as the roughness height. The changing rate of
the EOF velocity with the roughness height and interval is
different for the different EDL thickness. The results can
provide valuable understanding of EOF characteristics to
achieve accurate flow control in microfluidics.
ACKNOWLEDGEMENTS
The present work is supported by the National Natural
Science Foundation of China (Grant No. 50730007).

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 Effect of Wall Roughness on Electroosmotic Flow in Microchannels
REFERENCES
[1] Stone H.A., Stroock A.D. and Ajdari A, 2004, “Engineering
flows in small devices: microfluidics toward a
lab-on-a-chip,” Annu. Rev. Fluid Mech, 36, pp.381-411.
[2] Chen C.-K., Cho C.-C., 2007, “Electrokinetically-driven
flow mixing in microchannels with wavy surface,” J.
Colloid Interface Sci. 312, pp.470-480.
[3] Santiago, J. G., 2001, “Electroosmotic Flows in
Microchannels with Finite Inertial and Pressure Forces,”
Anal. Chem., 73, pp.2353-2365.
[4] Hu Y., Werner C. and Li D., 2004, “Influence of the
three-dimensional heterogeneous roughness on electrokinetic
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pp. 527-536.
[5] Xuan X. and Li D.,2005, “Electroosmotic flow in
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[6] Hu Y., Xuan X., Werner C. and Li D.,2007, “Electroosmotic
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[7] Wang D., Summers J. L., and Gaskell P.H., 2008,
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Mathematics with Applications, 55, pp.1601-1610
[8] Wang M., Wang J. and Chen S., 2007, “Roughness and
cavitations effects on electro-osmotic flows in rough
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[9] Bhattacharyya S. and Nayak A.K., 2007, “Electro-osmotic
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[10] Hunter, R.J. Zeta Potential in Colloid Science, Principles
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[11] Qiao R., 2007, “Effects of molecular level surface
roughness on electroosmotic flow,” Microfluid Nanofluid, 3,
pp.33-38.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Nanopositioning and Nanomeasuring System: Friction and Its Control

Yonghe Liu/Technische Universitaet Ilmenau

(Institut fuer Physik und Zentrum fuer Mikro- und Nanotechnologien, Ehrenbergstra.e 29,
Postfach 100565, 98684 Ilmenau, Germany)

(Extended Abstract)
ABSTRACT
Nanopositioning and nanomeasuring machine system,
NPMS, is an enabling technology dealing with positioning,
manipulating and measuring with accuracy of nanometers and
in a scanning range of centimeters. Because it depends on the
precision linear ball bearings to transport the positioning stage
to cover the wide scanning distance, the friction of bearings
limits to a large extent its performance. The friction of the
precision linear ball bearings employed by NPMS is
considered. Although the current understanding of
macroscopic tribological behaviour of such bearings often
involves individual events occurring at the micro-scale, when
the motion is itself on micro-scale and less it is necessary to
reevaluate some conventional tribological solutions, for Fig. 1 Schematic diagram of a MPMS with positioning stages
example the tribological coatings and lubrication. While the attached with electromagnetic motor drivers and guided by
absolute loads of NPMS may be small, its operating speed bearings in 3 dimension, the traceable linear and angular
varies from μm/s to hundreds mm/s for nanopositioning and sensors, and the measuring probe or nanotools [1]
wide-range scanning, respectively. The corresponding
tribological requirements, especially in terms of reliability and
repeatability, which may be limited by friction rather than wear, A simple analysis of the kinematics of the positioning
are particularly demanding and will require interdisciplinary stage indicates that the friction from bearings limits to a large
effort including engineering, materials science, surface science extend the positioning accuracy. Due to the lacking of other
and automatic control. transmitting mechanisms, the friction force of the bearings
Keywords: Nanopositioning and nanomeasuring system applies onto the positioning table directly. Neglecting the
(NPMS), Tribology, Friction, Control inertia, a smooth positioning motion is expected if the friction
force is balanced by the driving force. The positioning
INTRODUCTION performance of MPMS is therefore depending on the
performance of drivers and the bearings. While the driving
A typical MPMS is shown in Fig. 1, which is comprised
properties are usually well documented by the suppliers of the
of five main components: the positioning stages, the traceable
drivers, the information on the motion performance of the
linear and angular sensors, scanning probes or nanotools in
bearings is usually limited to an approximate coefficient of
various forms, the control and computing system, and the
friction (COF). The primary concern is whether a one
software. The kernel part of the machine is a positioning stage,
parameter COF is enough to describe the friction of the
based on which the other components are built. One of the
bearings. This is unlikely considering the scanning velocity
most important requirements of the positioning stage is to
ranging from ~μm/s to ~m/s for the nanopositioning and for
cover the increasingly wider scanning range and to ensure a
the wide distance scanning, respectively. In addition, the COF
positioning accuracy of nanometres. Currently, the stage of the
is under the influence of many factors, such as the operation
MPMS is guided by bearings and driven by electromagnetic
conditions, environments, materials, wear and lubrication.
motors attached directly to the stage. A commercial available
The science and technology dealing with friction, wear
NPMS with the trade name of NMM-1™ employs linear ball
and lubrication of the bearings used for the construction of
bearings, and operates in a 3D scanning volume of
positioning stages, constitute the main task of the NPMS
25×25×5 mm3. Though other kinds of bearings, such as air
tribology. In contrary to the traditional tribology, such as the
bearings, magnetic bearing and sliding bearings are also
engine tribology which emphasizes on wear and how to reduce
considered in the construction, the linear ball bearings are still
wear by lubrication, the main task of the NPMS tribology is to
the best candidates for the future designs. This is mainly due to
study the friction and how it is influenced by wear and
the well established construction technology, their easy
lubrication, and how to control the friction. Our approaches are
extension to wide scanning ranges and the compatibility with
two-fold: top-down and bottom-up. The former strives to a
vacuum. These properties are crucial for the further increase of
physical understanding of the frictional behaviour of the
the scanning volume of the NPMS, which is designed to be
bearings (positioning stages) and to investigate the effect of
350×350×(5–50) mm3 and 450×450×80 mm3 in year 2009 and
materials, coatings, lubricants, operating conditions and
2013, respectively, and in vacuum environment [1]. Operating
environments on friction. The later focuses on the construction
in vacuum is reported to be helpful in stabilizing the refractive
of robust mathematic models of friction based on the top-down
index of the medium for laser interferometer, the most
studies, and the final goal is to find an optimized control
important sensors used to measure the linear motion, and hence
strategy for the MPMS.
increase the measuring accuracy [2]. The details of MPMS can
In this contribution, the motion characteristics of the
be found in the thesis by Hausotte [3].
linear bearings for NPMS were examined by microtribometers
*To whom all correspondence should be addressed.
Yonghe.Liu@TU-Ilmenau.de
592
 Nanopositioning and Nanomeasuring System: Friction and Its Control
at first. Two typical modes of motion of the bearings,
corresponding to the nanopositioning and wide-range scanning,
respectively, were determined. Then, tribological coatings
based on diamond like carbon (DLC) were tested in these two
modes simulated by a reciprocating microtribometer and a pin
on disk tribometer, respectively. The results were discussed
with reference to the microstructures of the coatings and the
observation of wear scars. Based on this investigation, the
friction control of the NPMS is discussed.
EXPERIMENTS
In order to characterize the friction on the micro-scale, a
series of instruments for measuring adhesion and friction have
been developed. These instruments usually consist of three
basic units: piezo drivers to exclude friction from driving,
double-leaf springs as force transducers, and laser
interferometers (or fiber optical sensors) as displacement
sensor. This design excludes the influence of friction from
drivers, guidance and the sensors. The lateral piezo drives the
samples to be tested to move reciprocally while the vertical
piezo applies the normal load through the double-leaf-spring. A
spherical counterface is mounted on the tip of the spring and
brought into contact with the flat sample to be tested. The
normal load is obtained by measuring the deflection of the
spring in the normal direction, multiplied by the normal spring
constant. At a given normal load, the friction force produced at
the contact will drive the sphere and hence the spring to a
certain deflection. By measuring the lateral deflection and
multiplying it by the lateral spring constant, the friction force
is obtained. The advantages of these instruments developed
are:
• Piezo actuators provide a frictionless driving motion in
a velocity range of m/s to mm/s and thus exclude the
coupling of friction from the driving side.
• The laser interferometer with a resolution of ~ 0.1 nm
can detect minute changes in displacement or deflection.
• The spring constants of the double-leaf springs can be
adjusted in the range between N/m and kN/m by appropriate
choice of the materials (glass, steel etc.) and the design in
geometry.
• By a combination of the interferometer and force sensor,
the adhesion and friction force can be measured in a variety of
environments (vacuum or liquid lubricants) and operating
parameters.
• The whole setup can be built on an optical microscope,
which can monitor the contact area during the measurement.
This enables the correlation between friction (adhesion) and
the contact area. It is also possible to measure the lubricant
film thickness in the contact zone.
• These setups and their modifications, together with the
tradition pin-on-disk tribometer will be applied in measuring
the friction of bearings and tribological coatings.
• The other apparatus employed in the characterization of
the microstructures and properties of materials include:
• Scanning electron microscope (SEM) (XL30 LaB6
ESEM, FEI) equipped with energy dispersive spectroscopy
(EDS) and electron backscatter diffraction (EBSD)
• Transmission electron microscopy (TEM) (TEC-NAI
S20 LaB6, FEI) and GATAN equipment for specimen
preparation
• Focus ion beam (FIB) microscopy (workstation 200,
FEI) for TEM specimen preparation of the cross-section for the
wear tracks.
• A high-precision mechanical stylus profilometer
(Ambios XP-2) and an AFM (TOPOMETRIX TMX 2000) for
593
measuring the surface roughness
• A Fischerscope H100 with a Vickers indenter for
evaluation of the hardness and indentation modulus.
RESULTS AND DISCUSSION
0.2 1 cycle 2 1 cycle
0.0 0
displacement, μm
displacement, μm
driven motion -2 driven motion
-0.2
2 100
0 0
v=2.3 μm/s
v=2.3 μm/s
-2 driving motion -100 driving motion
0 2 4 6
0 100 200
time, sec
300
time, sec
(a) (b)
Fig. 2 Friction signal (upper panel) and driving signal (lower
panel) for linear sliding bearings measured at driving strokes
of 4 μm (a), and 200 μm (b), respectively
Fig. 2 shows the friction signal and the driving signal
measured at the shaft and bush of a linear bearing, respectively.
The bush was sitting directly on an arm of the PZT driver,
which moved in reciprocating, while the shaft is fixed on a
double-leaf spring (spring constant: 8543 N/m). Due to the
relative motion between the bush and shaft, friction force was
produced, which bent the spring through the shaft. The
deflection of the spring was measured by a laser interferometer.
As can be seen, the friction signal increases linearly with the
driving displacement when the driving amplitude is at 4 μm in
Fig. 2a. In contrast, the friction signal turns into a stick-slip
like manner when the driving amplitude is at 200 μm in Fig. 2b.
Here, it is clearly shown that the friction at small driving
amplitude is more like a flexure that is widely used by the
nanopositioning stages in the scanning range of < 1 mm. This
finding also explains why the nanopositioning of NPMS can be
achieved by linear bearings. When the NPMS works in
wide-range scanning, the stick-slip like friction signal comes
into the system, the influence of which on the motion needs
further studies by considering the driving characteristics and
the system dynamics.
ACKNOWLEDGEMENTS
This research is supported by the German Research
Foundation SFB 622.
REFERENCES
[1] Jager G., "Finanzierungsantrag SFB622," Technische
Universität Ilmenau, Ilmenau 2005.
[2] Fussl R., Grunwald R., and Schmidt I., "Analysis of the
measurement uncertainties of Nanopositioning and
Nanomeasuring Machines (NPM-Machines) by means of a
new vectorial model approach," Tm-Technisches Messen,
vol. 73, pp. 465-471, 2006.
[3] Hausotte T., "Nanopositionier- und Nanomessmaschine,"
in PhD Thesis. Ilmenau: Technische Universitaet Ilmenau,
2002.
 Fundamentals of Friction and Energy Dissipation

Fundamentals of Friction and Energy Dissipation

Yuanzhong Hu
State Key Laboratory of Tribology, Tsinghua University, China

(Extended Abstract)

ABSTRACT
For interfacial or wearless friction, the sliding is in fact a
The paper reviews recent progresses in fundamental studies
process consisting of a series of events of surface
of friction. The topics include the importance for
approach-separation, and it is the energy dissipation during
understanding wearless friction, the origin of interfacial
the process of approach and separation that determines the
friction, and a simple model for stick-slip motion and
magnitude of the interfacial friction. This process can be
energy dissipation. Great efforts have been made to predict
modeled by an oscillator sliding over a sinusoidal potential
friction quantitatively, but the successes are limited to few
as shown in Fig. 2.
cases where continuum mechanics or molecular dynamic
simulations are able to provide numerical results.
Key words: Wearless friction, atomic scale friction, energy
dissipation. k
INTRODUCTION
It is well known that friction used to be accompanied by
wear and sever wear would cause high friction, but middle x
or light wear does not guarantee a low friction either. The x0
existence of high friction in case of very small wear
indicates that energy has been dissipated in an approach
(a)
that has little to do with structural damage and material
removal. The mechanism of energy dissipation in wearless 4
Forward B D
friction has not been revealed, and in this sense the mystery
of friction remains unsolved. This is why scientists are so 2
enthusiastic for the study of wearless friction.
A
Force F

0
C
MODEL AND CONFIRMATION F
It is gradually recognized that when two surfaces are
-2
brought into contact and separated again, as shown
schematically in Fig.1a, the process will associate G E
inevitably with energy dissipation, no matter how carefully -4
Backward
the operation is carried out. Fig.1b shows a force curve
0 4 8 12 16
during separation of two mica surfaces, manifesting a
Distance X0
strong cantilever at the moment of pull-off. (b)
Fig. 2 An oscillator sliding over a periodic potential (a),
and literal force plotted against sliding distance (b).
The model predicts that for a strong spring (large stiffness k)
and a week interfacial interaction (small amplitude V of
potential fluctuation) the sliding will be smooth without
energy loss, but when the ratio V/k exceeds a critical value
the oscillator will slide in a stick-slip way accompanied by
energy dissipation. This phenomenon has been observed
(a) both in experiments and computer simulations [1, 2].

REFERENCES
1. M Ternes, C P. Lutz, C F. Hirjibehedin, et al., The force
needed to move an atom on a surface, Science, 319 (2008)
1066-1069.
2. T Zhang, H Wang, and YZ Hu, Atomic stick-slip friction
between commensurate self-assembled monolayers,
Tribology Letters, 14 (2003), 69-72.

(b)
Fig. 1 Approach and separation of two smooth surfaces (a),
and accompanied energy dissipation (b).

597
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
The Future of Boundary Lubrication by Carbon Coatings and Environmentally Friendly Additives
Mi de Barros Bouchet / Laboratory of Tribology and System
Dynamics,Ecole Centrale de Lyon, 69134 Ecully, France
J Michel Martin / Laboratory of Tribology and System
Dynamics,Ecole Centrale de Lyon, 69134 Ecully, France
ABSTRACT
This paper presents a tribological system that produces
superlubricity under boundary lubrication conditions with
extremely little wear. This system is a thin coating of
Diamond-Like-Carbon in a DLC friction pair lubricated with
OH-containing additives. The DLC material is hydrogen-free
tetrahedrally amorphous DLC (denoted as ta-C).
To identify the mechanism of friction vanishing we performed
ToF-SIMS experiments on the wear scars obtained with
deuterated glycerol and 13C glycerol. The structural
modifications of the ta-C coating that have been induced by the
pressure and shear during the friction were also studied.
Keywords: Boundary lubrication, DLC coatings, Tribochemistry
INTRODUCTION
Among all physical phenomena, friction perhaps poses one of
the greatest challenges to the scientific and industrial
communities. Considering that in most industrialized nations,
the annual cost of friction and wear-related energy and material
losses is estimated to be 5 to 7% of their gross national
products, the further reduction of friction in all kinds of
moving mechanical systems would be extremely beneficial.
Superlubricity was already obtained experimentally with some
systems. In 1993 the friction coefficient on pure molybdenum
disulphide (MoS2) coatings was shown to become
immeasurably small (i.e., below 0.002) in an ultrahigh vacuum
(UHV) [1]. It was later discovered by several authors
independently that some hydrogenated diamond-like carbon
(DLC) coatings exhibit the same super low state under UHV
[2]. Such systems with super low friction are certainly of great
interest to address tribological issues for space applications,
but for industrial machines, it is the friction under boundary
lubrication conditions that is relevant. We report the first
example of superlubricity for such lubrication regime obtained
with carbon coatings in presence of environmentally friendly
alcohols containing additives.
METHODS
FRICTION EXPERIMENTS
Sliding test experiments were performed with a reciprocating,
needle-pin-on-flat-disc SRV tribometer that was lubricated
before the test by wetting it with several droplets (5 cc) of the
test oil heated to 353 K. The reciprocating pins were pressed
against the stationary disc by a force of 400 N that generated
270 MPa of pressure. The length of the track was 3.0 mm and
the reciprocating time was 15 minutes at 50 Hz.
DLC COATING PREPARATION
The ta-C DLC coating was applied to the polished carburized
steel disc and the hardened steel pins to a thickness of 0.5 μm
from a graphite target by arc-ion plating, a physical vapor
deposition process. It is hydrogen-free and displays a
hardness of about 65 GPa and Young modulus of 650 GPa [3].
The hydrogen-containing DLC (a-C:H) coating was applied to
the polished carburized steel disc and hardened steel pins to a
598
C Matta / Laboratory of Tribology and System
Dynamics,Ecole Centrale de Lyon, 69134 Ecully, France
L Joly-Pottuz / INSA de Lyon, MATEIS, 7 avenue Jean
Capelle, 69621 Villeurbanne, France
1μm thickness by a plasma-assisted chemical vapor deposition
process from hydrocarbon gas. It contains 20 at% of hydrogen.
SURFACE ANALYSES
Time of Flight-Secondary Ion Mass Spectrometry (ToF-SIMS)
experiments were performed with a ToF-SIMS V apparatus
from ION-TOF. For Static SIMS analysis (SSIMS), Au+
pulsed ion beam of 25 KeV energy was used for scanning an
area of 100×100 μm2 on the surface. The diameter of the spot
was smaller than 1 μm. In SSIMS, chemical information is
coming from a depth of 0.1-1 nm below the surface.
FIB PREPARATION AND TEM STUDY
Transmission Electron Microscopy sample was prepared by
Focused Ion Beam technique. A transversal cut of ta-C sample
was performed to obtain a 100 nm thick cross-section of the
coating. To preserve the top of coating, a W layer was
previously deposited on the DLC coating before
nanomachining by a Ga+ ion beam. Energy Filtered TEM
experiments were performed on a LEO 912 energy-filtering
equipped with a cold stage holder, in order to avoid irradiation
damage. The microscope equipped with an omega energy filter
was operating with an accelerating voltage of 120 kV. EELS
spectra in the nanoprobe mode (spot size of 0.5 nm) were
acquired using a JEOL 2010F operating with a 200 kV.
RESULTS AND DISCUSSION
FRICTION OF DLC/DLC WITH GLYCEROL AND GMO
We evaluated the effect of the well-known friction-modifier
additive glycerol mono-oleate (GMO) on the friction property
of ta-C, when added in a poly-alpha-olefin (PAO) base oil. The
results are compared with those obtained with a-C:H/a-C:H
and steel/steel pairs in the figure 1. The friction coefficient of
the ta-C/ta-C couple was substantially lower than for
a-C:H/a-C:H and steel/steel combinations. This result suggests
strongly that the ultra-low friction phenomenon involves the
interaction between the ta-C coating and the ester-containing
oil due to the formation of a low-shear-strength tribofilm on
the ta-C sliding surface. Under boundary lubrication, the
mechanism of friction reduction is usually attributed to the
effect of long chain polar (amphiphilic) molecules so-called
“Self-Assembled Monolayer” (SAM model). In our case, the
SAM model could be applied to GMO since this molecule has
a long chain containing more than 10 carbons in its aliphatic
chain. In order to identify the kind of friction mechanism
obtained for ta-C material in presence of OH-containing
additives we used pure glycerol which is a short chain
molecule containing 3 alcohol chemical functions. Figure 1
also reports the friction coefficients of the different material
combinations lubricated with pure glycerol in a SRV test.
Amazing results were obtained for the ta-C combination. As
shown in figure 1, the friction coefficient was below 0.01 in
presence of pure glycerol at 353 K (the exact value could not
be measured with the equipment at hand) and the wear scar is
not visible by optical microscopy. This result suggests that the
superlubricity is only related to the alcohol chemical function
(OH), which is common to both GMO and glycerol molecules.
 The Future of Boundary Lubrication by Carbon Coatings and Environmentally Friendly Additives
1
Friction coefficient
Friction regime
0.1
Ultralow
Friction
0.01
Superlow
Friction
0.001
steel/steel a-C:H/a-C:H ta-C/ta-C
Materials combination
Fig. 1 Steady-state friction coefficients obtained in SRV
tests of steel and DLC couples lubricated with PAO+GMO oil
in dark gray and with pure glycerol in light gray
SUPERLUBRICITY AS STUDIED BY TOF-SIMS
To study the origin of the super low friction observed for
glycerol lubricated ta-C coatings in boundary lubrication, we
performed ToF-SIMS spectroscopy on the wear tracks obtained
after friction of ta-C with pure 13C glycerol and deuterated
glycerol lubricants. For the 13C glycerol, we substituted 13C for
all carbon atoms and in the case of deuterated glycerol only the
hydrogen atom of hydroxyl group was substituted. SSIMS
spectra were recorded inside and outside the tribofilm area to
clarify the material change on the ta-C surface after the super
low friction tests. They show clearly the presence of the 13C
glycerol molecule (13C3H7O3-) and their characteristic ion
fragments (13C2H3O2-, 13CHO-, 13CH2-, 13CH2O-) on the ta-C
surface after the friction experiment [4]. No higher molecular
masses containing 13C obtained by polymerisation of glycerol
were found; thus the hypothesis that super low friction results
are due to long chain molecules lubrication can be rejected in
our case. Also no new species created by the friction were
detected inside the tribofilm in comparison with outside. The
relative intensities of the 13C components versus to the sum of
the cluster ion Cn (with n≥5 that are mostly characteristic of
ta-C material) were found nearly twice higher inside the wear
scar than outside indicating the possible adsorption of glycerol
fragments on ta-C surface. Moreover, the super low friction
experiments performed with deuterated glycerol lubricant on
ta-C coating showed twice more 2H and O2H species inside the
tribofilm than outside [4], suggesting an hydroxylation of the
surface carbon atoms due to frictional processes which leads to
a low energy hydrogen interactions between glycerol
molecules (and H2O and other small molecules due to its
dissociation under the friction) and hydroxylated ta-C surface.
This hydroxylation of the ta-C after friction was also put in
evidence by the better wettability of the ta-C surface after the
friction tests in presence of glycerol as shown by the Fig. 2 that
compares the contact angle of water on the pristine ta-C and on
the tribofilm formed on the ta-C.
Fig. 2 Pictures of wettability a) of the pristine ta-C surface
and b) of the ta-C surface after the friction tests with glycerol
599
STRUCTURAL MODIFICATIONS OF ta-C COATING AFTER
FRICTION AS STUDIED BY EFTEM/FIB
An EFTEM analysis was performed on the ta-C coating after
friction test in presence of glycerol, on the cross-section
prepared by FIB in the tribofilm area. EFTEM results show a
re-arrangement of the DLC bulk structure under the friction
process resulting in the emergence of a lot of tree-like
structures in the carbon film (Fig. 3). These structures start
from a certain depth inside the coating and seem to grow up
and expand towards the top of the surface. An electron
diffraction study performed in these tree-like structures shows
the presence of sp2 carbon clusters present in the percolated
sp3 carbon network [5]. Typically, the transformation of sp3
carbon into sp2 carbon clearly observed permits a
self-adaptation of the coating allowing him to support shearing
without any delamination in spite of important compressive
residual stresses in the coating. Moreover, the formation of
graphitic carbon is evidenced at the top surface after a loss of
the carbon coating thickness of about 75 nm during the friction
test with glycerol. This graphitic layer certainly helps the
lubrication by glycerol in forming OH-termination.
650 nm
Fig. 3 a) Energy filtered TEM image at 30 eV of pristine
ta-C coating (the coating is 728 nm thick and an Cr interlayer
of 32 nm is present between the main coating and the iron
substrate), and b) Dark field image of the ta-C after friction
performed with the diaphragm positioned on the (002) ring.
This image shows the graphitic nature of the tree-like
structures and the presence a well defined layer at the top of
the coating
CONCLUSION
The new mechanism of friction reduction for ta-C material in
presence of OH-containing additives is based on the existence
of a network of H-bond interactions in the confined interface
zone. First, the grafting of the friction surface by hydroxyl
groups is necessary and is brought by a tribochemical reaction
between ta-C surface and OH-containing additives. Second the
polyols molecules intercalate between the two contacting
OH-terminated surfaces, possibly generating water molecules
by pressure and shear. The sliding occurs through rapid
changes of H-bond locations in the whole network.
REFERENCES
[1] J. M. Martin and al., Phys. Rev. B 48, 10583 (1993).
[2] C. Donnet, J.M. Martin and al., Tribol. Int. 29, 123 (1996).
[3] M.I. de Barros Bouchet and al., Tribology –
Materials, Surfaces and Interfaces 1, 28 (2007).
[4] M.I. De Barros Bouchet and al., Journal of Physics:
Conference Series 89 (2007) 012003.
[5] L. Joly-Pottuz, C. Matta, M.I. De Barros Bouchet
and al., Journal of Applied Physics 102, 1 (2007).
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Tribological Behavior of Sputtered Boron Carbon Nitride Coatings and the

Influence of Processing Gas
Youming. Chena,b, Shengrong. Yanga, Junyan. Zhanga*

a. State Key Laboratory of Solid Lubrication, Lanzhou Institute of Chemical Physical, Chinese Academy of
Science, Lanzhou 730000, China
b. Graduate School of The Chinese Academy of Science, Beijing 100039, China

(Extended Abstract)

ABSTRACT Table 1 shows the B, C and N contents in the synthesized

This work describes the composition and bonding
structure of boron carbon nitride (BCxNy) films synthesized
by medium frequency magnetron sputtering from a boron
target in a N2+CH4+Ar gas mixture. Varying the flow rate of
methane in the applied gas mixture was used. The three
elements of B, C and N were bonded each other and an
atomic-level hybridized B-C-N had been formed in the films.
The chemical bonds with carbon (B-C and C=N) were
enhanced as carbon content in the films increased. The
tribological behavior of BCN thin films was investigated
using ball-on-disc tests and 100Cr6 balls as counter-faces. The
coefficient of friction was reduced approximately from 0.8 to
0.18, and wear resistance was considerably improved by
increasing the ratio of CH4 gas component from 0 to 40 sccm.
By adding amount of CH4 (~ 40sccm) in the deposition
process the boron carbon nitride coating exhibited the lowest
friction and highest wear resistance.
Keywords: Boron carbon nitride, Magnetron sputtering,
microstructure, Friction coefficient
boron carbon nitride films evaluated with XPS as a function
of the CH4 flow rate. With the increase in CH4 flow rate, the
B/N atomic ratio first remains constant and then slightly
increases to the maximum at a CH4 flow rate of 40 sccm, the
C atomic ratio drastically increases with the increase in CH4
flow rate. The increase in the CH4 concentration increases the
carbonaceous compound species, and causes the increase of
the C atomic concentration. As the B/N ratio of the films is
relatively constant, this can be ascribed to the limitation of the
chemical composition of the DC plasma. On the other hand,
the more CH4 molecules decomposed increases the plasma
density, and causes the increase of the deposition rate.

INTRODUCTION
Research in the boron carbon nitride area has been mainly
focusing on synthesizing the BCxN compounds based on an
atomic scale mixture of semimetallic graphite and insulating
boron nitride (BN). Apart from predicted variable band-gap
semiconductors, boron carbon nitrides may also prove to be
useful as electron emitters, transparent hard coatings, and
wear-resistant coatings.
Since the first hybrid of composition BC2N has been
synthesized by Kouvetakis et al[1]. using CVD with BCl3 and
CH3CN as starting materials, a large variety of deposition
methods have been employed to grow carbon rich films with
BCxN composition. The works of Caretti et al. and their
subsequent research have demonstrated the possibility of
synthesizing BCxN as thin films (<1 m) with high carbon
contents and good mechanical properties by Ion Beam
Assisted Deposition [2]. Their results indicated that the more
carbon in the structure, the better the wear resistance up to a
composition of BC4N. Tian et al[3]. calculations indicate that
the a large of amount of C-C bonds in the zinc-blende
structured (BN)xC1 x compounds are beneficial to the
enhancement of hardness, and the zinc-blende-like BC6N
compounds are superhard material having larger hardness than
that of cubic BC2N and cubic boron nitride. Fig. 1 FTIR transmission spectra of the BCxNy films
The aim of this work is to review our recent results on
boron carbon nitride films (BCxNy) deposited by medium Fig. 1 shows the FTIR transmittance spectra of the films,
frequency magnetron sputtering. The films microstructure will performed using an uncoated silicon wafer as a reference.
be discussed and special attention will be devoted to the Two effects can be observed with increasing carbon contents.
effects of carbon incorporation in the tribological properties of First, the centre of the B-N-B out-of-plane bend stretching
the films. absorption band moves from 780 cm-1 for BN to 720 cm-1 for
sample D. As the peak position at approx. 700 cm-1 is
* Corresponding author. Tel: +86931 4968295; Fax: +86931 8277088. assigned to a bending bond of graphitic C, it is suggest that
E-mail address: junyanzh@yahoo.com (Junyan Zhang) with increasing carbon contents the boron or nitrogen atoms

600
 Tribological Behavior of Sputtered Boron Carbon Nitride Coatings and the Influence of Processing Gas
replaced by carbon formed a hybrid B-C-N phase. Second, the
shape of the main absorption band spreads. The main
absorption band spreads due to the addition of carbon, what is
consistent with the increase of B-C, C-N and C=N bonds.
Therefore, both energy shift and widening of the spectra
suggest that the BCN films analyzed are new ternary
compounds.
The coefficient of friction of the films is shown in Fig. 2.
It can be observed that the friction coefficient of deposited
boron carbide films considerably decreased with the increase
of CH4, from ~ 0.8 to 0.18 for B1 (0 sccm) and B5 (40 sccm),
respectively. One can also note that the load-carrying ability
and the life of coatings, explained by the number of cycles
beyond which severe damage occurred, showed the same
Fig. 2 Friction coefficient of BCxNy films as a function of
CH4 flow rate
601
trend as the friction behavior. It is considered that the friction
coefficient at the high CH4 partial pressure is low since a
higher content of C-H bonded thus showed lower friction. The
highest wear resistance at the high CH4 partial pressure is
considered that the addition of carbon generates an increase if
the more energetic sp3 bonds giving rise to a reduction of the
wear of the material.
Boron carbon nitride films, produced using magnetron
sputtering technique by adding various amounts of methane
(CH4) gas, were studied to evaluate their tribological
properties. The results could be summarized as follows:
(1) FTIR analysis results showed that B-N, B-C, C-N and
C=N chemical bonds were presented in the synthesized BCN
films presumed to be composed of hybridized B-C-N bonding.
(2) The coefficient of friction was reduced and wear
resistance was considerably improved by increasing the ratio
of CH4 gas component.
(3) Boron carbon nitride films with high carbon contents
show a great promise for tribological applications to protect
the surface from wear and to reduce friction.
REFERENCES
[1] Kouvetakis, J., Sasaki, T., et.al. 1990, “ Novel aspects
of graphite intercalation by fluorine and fluorides and new
B/C, C/N and B/C/N materials based on the graphite
network ,” Synth. Met., 34, pp.1-7.
[2] Caretti, I., Jménez, I., et al. 2004, “Tribological
properties of ternary BCN films with controlled composition
and bonding structure,” Diamond Relat. Mater., 13,
pp.1532-1537.
[3] Luo, X.G., Guo, X.J, et al. 2007, “Ground-state
properties and hardness of high density BC6N phases
originating from diamond structure,” J. Appl. Phys., 101, pp.
083505-1.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Effect of the Prepared Process on Tribological Properties of Multi-Layer
Elastomeric DLC Monolayer
1,2
Ding Jianning ,Cheng Guanggui , Kan Biao ˈFan Zhen , Ling Zhiyong
1
Center of Micro/ Nano Science and Technology, Jiangsu University, Zhenjiang, 212013, China
2
Jiangsu Polytechnic University, Changzhou, Jiangsu, 213016, China
ABSTRACT
Tribological properties between micro/nano
electromechanical systems (MEMS/NEMS) devices are one of
the key problems, severely limiting its reliability and stability.
However, tribological properties may vary from different
surface-dealt procedure. In this paper, structure and
tribological property of three samples were discussed: the first
one is an elastomeric layer (SEBS), the second is DLC film on
an elastomeric substrate prepared by CVD, and the third is
DLC film on an elastomeric substrate prepared by filtered
cathodic vacuum arc (FCVA). The topography, composition
and tribological properties of the two films together with the
elastomeric substrate are studied by AFM, Raman and the
friction tester (UMT-2), respectively. The result showed that
the AFM topography of the sample made by the FCVA(sample
3) was better than that made by CVD(sample2) due to the pure
smaller size ion that was provided by FCVA technique. The
Raman spectrum of the two samples confirmed the existence
of the DLC film on the top surface, and the Id/Ig of sample
3(with 0.36) was twice larger than the sample 2(with 0.19),
indicating more sp3 bonds in sample 3; According to the
friction tests with different loads and speeds, the tribological
property of Sample 3 (with a stable frictional coefficient of 0.1)
was better than that of sample 1, while Sample 2 behaved
worst in frictional property.
Keywords: Elastic Nanocomposite Multi-films, DLC, CVD,
FVCA, Friction
INTRODUCTION
Silicon(Si) is the basic material from which many
electronic and electromechanical components are made due to
the well matured technology of manufacturing Si components
by the wet-etching process[1]. But Si is generally not
considered a good tribological material because it experiences
high friction, adhesion and wear during sliding[2]. Hence,
searching for organic or inorganic coatings and lubricants for
the improvement of tribological properties of Si surface is very
important[3]. It has been revealed that the polymer coatings
onto the Si surface can provide good wear durability because
of their inherent properties such as low surface energy,
molecular flexibility, high toughness coupled with good
strength and damping characteristics and their lower shear
strength [4].
Diamond-like carbon (DLC) films have attracted a great
deal of interest in recent years mainly due to their unusual
tribological, optical, and electrical properties[5-7]. Intrinsically,
the friction and wear of DLC films are dependent on their
chemical, structural, and mechanical properties. In particular,
the ratio between sp2 and sp3 bonds in their structures can
Corresponding Author, Cheng Guanggui, (email: ggcheng@ujs.edu.cn)
1 1 1 1
have a significant effect on their friction and wear performance
[8-10]
.
In the present work, a ternary-layer compound film was
prepared. The tribological properties of the multi-layer of
elastomeric DLC film and the structure of the DLC film made
by different techniques were investigated.
EXPERIMENTAL
Polished single crystal silicon (100) wafers were used as
substrates, and the preparation method were similarity to ref.11.
Couple agent of A187is -(2, 3-epoxypropoxy)
propyltrimethoxysilane (O/\CH2CHC H2OCH2CH2CH2Si
(OCH3)3) which was anchor- ed on the single-silicon crystal
substrate by terminal amino group, and elastomic SEBS
copolymer ([-CH2CH(C6
H5)-]W(-CH2CH2-)x[-CH2CH(C2H5)-]y[-CH2CH(C6H5)-]Z) was
Kraton 1901, The SEBS was chemically adsorbed on A187,
then a DLC film with 3 nm in thickness by CVD and FCVA
methods was deposited finally. We got three samples: sample 1
is Si/A187/SEBS; sample 2 is Si/A187/SEBS /DLC with DLC
film deposited by CVD method; sample 3 is
Si/A187/SEBS/DLC with DLC film deposited by FCVA
method. Tapping-mode (DI Nanoscope ċ ) AFM was
employed to evaluate the surface topography of the samplesˈ
in order to avoid the adhesion and shear effect at the tip-sample
interface, the tip was scanned in the direction orthogonal to the
long axis of the cantilever beam with a scanning speed of 4 μm/s
under the ambient atmosphere (relative humidity (RH): 35%,
room temperature (RT): 23ć). Then Raman spectroscopy with
20 mw and the spectrum range of 1 050~2 000 cm-1 was used to
study the structure of the DLC films. Finally, the tribological
properties of the nancomposite films were performed on a
reciprocating ball-on-disk UMT-2 tribometer. The specimens
were fixed on sample stage and the speeds were 30 r/min, 45
r/min and 60 r/min. The counterpart was a GCr15 steel ball with
hardness HV850 and surface roughness Ra = 50 nm with a
diameter of 3 mm.
RESULTS and DISCUSSION
Figure 1 gives the AFM morphological images of the three
samples. The force constant of Si3N4 probe is 0.15 N/m. It can
be clearly observed that there are islands structure of SEBS on
the surface of A187[Fig.1 (a)] prepared by SAM while Fig.1(b)
and (c) give smoother surface of DLC films made by CVD and
FCVA method, which enhanced the surface quality, furthermore,
the DLC film prepared by FCVA method is more uniform than
that of CVD method. The max vertical depth of the sample 3
was 20nm, while sample 2 was 30 nm. The difference in surface
roughness induced more contact area than sample 2 during
friction tests, which predicted better anti-wear and friction
properties than sample 2.
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 Effect of the Prepared Process on Tribological Properties of Multi-Layer Elastomeric DLC Monolayer

Table 1 D peak and G peak positions and Id/Ig of DLC films

prepared by CVD and FCVA method
Label D-Pos. D-Width G-Pos. G-Width Id/Ig
FCVA 1394.94 294.18 1553.01 213.29 0.36
CVD 1320.87 171.46 1527.16 188.08 0.19

30r/min 0.8N Sample1

0.6

Friction coefficient
Sample 2
(a) Sample1
0.4

Sample 3

0.2

0 50 100 150 200 250 300

t/s
(a)

0.6
Friction coefficient

(b) Sample 2
Sample 2
0.4 30r/min 1.5N
Sample 1

0.2 Sample 3

0.0
0 50 100 150 200 250 300

(c) Sample 3
Fig. 1 AFM image of the three samples
Raman spectrometry of the DLC films was plotted in Fig. 2.
The existence of G peak in the range of 1 400~1 600 cm-1
identifies the successfully preparation of DLC films. Table 1
shows details about the structure of the two DLC films, and the
Id/Ig rate of sample 3(with 0.36) is about twice of sample 2
(with 0.19), and this indicates that there is more sp3 in sample 3.
2400
FCVA-DLC
1800
CVD-DLC
Counts
t/s
(b)
Fig. 3 Friction coefficient of the samples at different loads
Fig 3 are friction coefficient of the three samples against
GCr15 ball with constant speed of 30 r/min and different loads
of 0.8 N and 1.5 N. It can be seen that sample 2 behaves the
worst in frictional properties, while sample 3 behaves the best
and its friction coefficient is about 0.13. This mainly ascribed
to the fact that the grain size of DLC film made by CVD was
bigger and higher than that by FCVA method. These big grains
decreased the contact area and prevented the movement of the
GCr15 ball then the films of the sample were scratched out
after 220 s and the friction coefficient increased to 0.6. In ref
11, the friction coefficient between silicon and GCr15 ball was
0.6. When the sliding speed is 30 r/min and the load increase to

1.5 N [Fig.3(b)], the multi-layer elastomeric monolayers of

1200 sample 2 was scratched out within 50 s. As to sample 1, the
long chain structure of SEBS causes mobility on the
600 surface[12,13], which improved the tribological property and the
coefficient is about 0.15 at the beginning of the test, then after
0 100 s, the monolayer was also scratched out. tribological
1000 1200 1400 1600 1800 2000
properties of sample 1 and 2 were still worse than sample 3 at
given load with different sliding velocities, this could be found
Raman shift/cm-1 in Fig 4. As to sample 3, it exhibited excellent tribological
properties in the experiment and its friction coefficient
Fig. 2 Raman spectrometry of the DLC films
behavied steadily.

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

According to fig 3 and fig 4, as to sample 2, time needed

for scratching out the film decreased with the increasing of
load and velocity. In ref 9, Ali Erdemir proposed a new 0.4
frictional mechanism of DLC film. Good surface quality will 30 r/min 3N

Friction Coefficient
improve the tribological property; large grains and roughness
0.3
of DLC film may deteriorate the friction and have the tendency
to increase the frictional coefficient, because of the existence 30 r/min 2N
of furrow wear. Phase change is another reason that will affect 0.2 45 r/min 1N
the tribolgical properties. In rigorous condition, friction will
induce high temperature and the change of phase, then the
0.1
diamond phase change to graphite phase, as is known to all,
the graphite was a good lubricant material and decrease the
frictional coefficient during the sliding of the samples and 0.0
GCr15 ball. 0 50 100 150 200 250 300
t /s

Fig. 5 Friction coefficient graph of sample3 at different loads

30 r/min 1N
0.6 and velocities
Friction coefficient

Sample 2 CONCLUSIONS
0.4
In conclusion, a novel self-assembled ternary-layer
Sample1 elastomeric film was prepared. The elastome(SEBS) was
0.2 chemically adsorbed onto the self-assembled
monolayers(A187) with terminal amino group on
Sample 3 single-silicon crystal substrate. The SEBS/A187 film can
0.0 reduce the friction force under low load and veolocity at the
0 50 100 150 200 250 300
beginning of the test. DLC film made by FCVA method
t/s provides more sp3 than CVD method. DLC film on sample 2
deteriorated the frictional property of SEBS/A187 film and
(a) decreased the work life of the organic film because of its big
grains. Sample 3 behaved excellent tribological properties
among the three prepared samples and it might find promising
0.6 application in the lubrication of MEMS/NEMS where the load
Friction coefficient

Sample 2
0.4
0.2
0.0
0 50
(b)
Fig. 4 Friction coefficient graph of the samples with different
sliding velocity
Fig. 5 gives friction coefficient graph of sample 3 at
different loads and velocities, there was a sharp increase in
friction coefficient at the beginning of the test with high load,
then decreased to a stable value of about 0.1. Furthermore, the
peak value increased with the load due to the existence of
roughness for both frictional couples. At the first contact, the
rough peak of the couple joggled together and relative
movement of friction couple was embarrassed which result in
the increasing of friction force, then after worn down of the
rough apexes, the friction coefficient dropped to stable value.
However, the stable value increased with the increasing of
applied load, when the load was 1N, the stable value of friction
coefficient was about 0.1, as to 3N, the friction coefficient
increased to 0.15. Although this value is still lower than
common couple, use of this ternary-layer film will be limited
in low load.
is relatively low.
60r/min 1N
ACKNOWLEDGEMENTS
Sample 1
We are grateful to National Natural Science Foundation of
China(50475124&50775101) and the Six Projects Sponsoring
Sample 3 Talent Summits of Jiangsu Province, the Foundation for the
Author of National Excellent doctoral dissertation of P.R
(China200330) and Doctoral Innovative Foundation of Jiangsu
100 150 200 250 300
University (CX07B-03X)for supporting.
t/s
REFERENCES
[1] Spearing S M, 2000, “Materials issues in microelectro
mechanical systems”. Acta Mater, 48, pp. 179-196.
[2] Tsukruk V V., 2001, “Molecular lubricants and Glues for
Micro- and Nanodevices”. Adv Mater, 13,pp.95-108.
[3] Ahn H.S, Julthongpiput D, Kim D.I, Tsukruk V.V., 2003,
“Dramatic enhancement of wear stability in oil-enriched
polymer gel nanolayer”s. Wear, 255, pp. 801-807.
[4] Tsurkuk V V, 2001, “Nanocomposite polymer layers for
molecular tribology”, Tribology Lett, 10, pp. 127-132.
[5] Erdemir A, Donnet C.,2006, “Tribology of diamondlike
carbon films: recent progress and future prospects”. J. Phys.
D: Appl. Phys.,39,pp. R311-R327.
[6] Noda M, Umeno M, 2005, “Coating of DLC film by pulsed
discharge plasma CVD”. Diam Rel Mater, 14pp. 1791-1794.
[7] Robertson J.2002, “Diamond-like amorphous carbon”.
Mater Sci Eng, 37pp. 129-281.
[8] Donnet C. 1998, “Recent progress on the tribology of doped
diamond-like and carbon alloy coatings: a review”. Surf
Coat Technol, 100–101, pp. 180-186.

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 Effect of the Prepared Process on Tribological Properties of Multi-Layer Elastomeric DLC Monolayer

[9] Erdemir A, Switala M, Wei R, Wilbur P.,1991, A tribological [12] Ding J N, Wong P L, Yang J C. 2006, “Friction and fracture
investigation of the graphite-to-diamond-like behavior of properties of polysilicon coated with self-assembled
amorphous carbon films ion beam deposited on ceramic monolayers”. Wear, 260pp. 209-214.
substrates”, Surf Coat Technol, 50pp. 17-23. [13] Xie G X, Ding J N, Zheng B R.,2009, “Investigation of
[10] Donnet C, Grill A. 1997, “Friction control of diamond- adhesive and frictional behavior of GeSbTe films with
like carbon coatings”. Surf Coat Technol, 94 - 95pp. AFM/FFM”, Tribology International, 42pp. 115-121.
456-462.
[11] Cheng G G, Ding J N, Ling Z Y, 2008, “Study on the
Preparation, Characterization and Tribological Properties of
Elastic Nanocomposite DLC Monolayers”, Tribology, 03pp.
207-212.

605
Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

(Extended Abstract)

606
Tribology Behaviors of in situ Nanoparticles Doped Molecular Deposition Films

607
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
The Friction Property of Hydrogenated Carbon with Fullerene Microstructure after Annealing
Qi Wang/State Key Laboratory of Solid Lubrication,
Lanzhou Institute of Chemical Physics, Chinese
Academy of Sciences, Lanzhou 730000, China
Zhou Wang/State Key Laboratory of Solid Lubrication,
Lanzhou Institute of Chemical Physics, Chinese
Academy of Sciences, Lanzhou 730000, China
Extended Abstract
Hydrogenated amorphous carbon films were deposited on
Si (100) substrates by dc-pulse plasma chemical vapor
deposition. Structurally, the as-deposited carbon films could be
considered as nanocomposite thin films with fullerene-like
microstructure in diamond-like carbon matrix based on our
previous result. Here, the evolution of the structure and
tribological properties of hydrogenated carbon film with
fullerene-like microstructure on the annealing in vacuum was
investigated. The friction coefficient of fullerene-like
hydrogenated carbon films in air with 40% relative humidity
remained constant about 0.037 when annealed at 600°C. And
the wear rate of the films decreased sharply when annealed at
200 or 300°C. Structural analysis shows that annealing to 200
and 300°C improved tribological properties originated from
the volume increase of the fullerene-like microstructure.
Keywords: fullerene-like, annealing, hydrogenated
amorphous carbon, Wear
INTRODUCTION
Hydrogenated diamond-like carbon (DLC) films have
attracted increasing attention due to their extraordinary
properties of high mechanical hardness and low friction
coefficient [1,2]. These properties are promising for
low-friction and wear-resistant coatings. In some of these
applications, the films are possibly subjected to localized high
temperature caused by friction or heating dissipation, while
other applications may require them to be operated at elevated
temperature. Therefore, the thermal stability of hydrogenated
DLC films becomes an important issue for their reliable
long-term performance. Unfortunately, previous studies have
shown that the hydrogenated DLC films deposited by general
chemical vapor deposition techniques could not retain their
superior characteristics at higher temperature because of the
irreversible changes in the structure, which limited the
application of these films in practice [4]. It is well known that
the release of hydrogen in hydrogenated DLC films, often at
relatively low temperature in the range of 350-400 °C, leads to
a conversion of sp3 bonds to sp2 bonds and a loss of
diamond-like properties [3].
In this paper, the hydrogenated carbon films were
deposited with dc-pulse plasma chemical vapor
deposition (CVD) system. The as-deposited carbon films
could be considered as nanocomposite thin films with
fullerene-like microstructure in DLC matrix based on
our previous result [4]. Here, hydrogenated carbon films
with thickness of about 1.5 μm were deposited on Si
(100) substrates by dc-pulse plasma CVD. The
annealing of the hydrogenated carbon film with
fullerene-like microstructure in vacuum at different
temperature was carried out. Raman spectrum was used
*To whom all correspondence should be addressed.
zhangjunyan@lzb.ac.cn
Chengbing Wang/State Key Laboratory of Solid
Lubrication, Lanzhou Institute of Chemical Physics,
Chinese Academy of Sciences, Lanzhou 730000, China
Junyan Zhang*/State Key Laboratory of Solid
Lubrication, Lanzhou Institute of Chemical Physics,
Chinese Academy of Sciences, Lanzhou 730000, China
to probe the microstructure evolution of the
hydrogenated carbon film with fullerene-like
microstructure under the annealing treatment.
Ball-on-plate tribometer (UMT) was used to assess the
tribological properties of the films. The friction
coefficient of the films in air with 40% relative humidity
remained about 0.037 even annealed at 600°C. Moreover,
the wear rate clearly decreased when annealed at 300°C,
and then increased with increasing annealing
temperature. We concluded that the improvement in
mechanical properties and tribological properties of the
films came from the fact that the fullerene-like volume
in the films increased when annealed at the temperature
of 200 and 300°C.
MAIN BODY HEADINGS
Figure 1(a) shows the Raman spectra of the fullerene-like
hydrogenated carbon films annealed at different temperature.
Fig 1 (a) Raman spectra of the as-deposited
fullerene-like hydrogenated carbon films and the
annealed films at different temperature. (b) The
fitted Raman spectra of fullerene-like hydrogenated
carbon film
The Raman spectra of as-deposited films were decomposed
into four Gaussian peaks with wavenumber of 1260, 1383,
1470 and 1560 cm-1, respectively, as shown in Fig. 1(b),
according to our previous study [4]. The peaks at 1260 and
1470 cm-1 were attributed to curved graphite structure. Clearly,
the peak at 1260 cm-1 originated from seven-member carbon
rings of curved graphite, and the peak at 1470 cm-1 came
from five-member carbon rings of curved graphite,
respectively. The four peaks at 1260, 1383, 1470 and 1560
cm-1 could be attributed to the vibrational model of 7A1, 6A1g,
5A1 and 6E2g, respectively. Fig. 2 displays the fractional
contribution of each vibrational frequency to the Raman
spectra as a function of annealing temperature. As the
temperature increased, the fractions of 7A1 and 6A1g did not
show any obvious change. However, the fraction of 5A1
increased slightly when annealed at 200 and 300 °C, decreased
slightly when annealed at 400 °C and decreased sharply when
annealed at 500 and 600 °C. The fraction of 6E2g was just on the
608
 The Friction Property of Hydrogenated Carbon with Fullerene Microstructure after Annealing
Fig. 2 Contribution to the carbon Raman band from the
vibrations of five, six, and seven-membered rings vs
annealing temperature
opposite tendency.
Figure 3 shows the tribological properties of as-deposited
fullerene-like hydrogenated carbon films annealed at different
temperature. The friction behaviors of the hydrogenated carbon
films with fullerene-like microstructure sliding against Si3N4
ball were evaluated on reciprocating test rip with a UMT-2MT
test system. The friction tests were performed in air (relative
humidity RH=40 %) at a normal load of 2 N, a sliding velocity
of 5 m/min, and a maximum sliding duration of 30 min. It is
seen that the friction coefficient remained about 0.037 even at
Fig. 3 Friction coefficient and wear volume of the
as-deposited fullerene-like hydrogenated carbon films
and the annealed films at different temperatures
annealing temperature of 600°C. At the same time, the wear
rate sharply decreased at the annealing temperature of 200 and
300°C, and then increased as the annealing temperature further
increased. We attribute this to the increase of volume of curved
fullerene-like microstructure in the film as the annealing
temperature increased to 300°C that the curved fullerene-like
microstructure could exhibit excellent tribological property.
For conventional hydrogenated DLC film deposited by
609
rf-PECVD, the friction coefficient increased gradually with the
increase of annealing temperature, and the wear rates increased
with the increase of annealing temperature [2], which is very
different from our as-deposited fullerene-like hydrogenated
amorphous carbon films.
When the fullerene-like hydrogenated carbon films were
annealed in vacuum, the structures of the films would
reorganize and the film would be endowed excellent
tribological properties. Siegal et al. [5] has found that the
density of the carbon films with the structure of
nanometer-sized regions of high density amorphous carbon
(a-C) embedded in amorphous carbon matrix was reduced after
annealing and the film demonstrated higher hardness. We
proposed in this paper, at the annealing temperature of 200 and
300°C, long term (thermally assisted) relaxation happened via
diffusion or local rearrangement. The way of relaxation is the
transformation of sp3 to sp2, and the graphite plane would be
curved under the highly strained environment. The curved
fullerene-like microstructure can lead to the increase in
tribological properties of the fullerene-like hydrogenated
carbon films.
ACKNOWLEDGEMENTS
The project was financially supported by “863” program of
Chinese Ministry of Science and Technology with grant No.
2007AA03Z338 and “Hundreds Talent Program” of Chinese
Academy of Sciences.
REFERENCES
[1] Gielen, J.W.A.M., Kleuskens, P.R.M., van de Sanden, M.C.
M., Van Ijzendoorn, L.J., Schram, D.C., Dekempeneer,
E.H.A., Meneve, J., 1996 “Optical and mechanical
properties of plasma-beam-deposited amorphous
hydrogenated carbon,” J. Appl. Phys. 80, pp.5986-5995.
[2] Li, H. X., Xu, T., Wang, C.B., Chen, J.M., Zhou, H.D., Liu,
H.W., 2006, “Annealing effect on the structure, mechanical
and tribological properties of hydrogenated diamond-like
carbon films,” Thin Solid Films 515, pp.2153-2160.
[3] Zhang, Q., Yoon, S.F., Rusli, Yang, H., Ahn, J., 1997
“Influence of oxygen on the thermal stability of amorphous
hydrogenated carbon films,” J. Appl. Phys. 83,
pp.1349-1353.
[4] Wang, Q., Wang, C.B., Wang, Z., Zhang, J.Y., He, D.Y.,
2007, “The unique structure of C60 and fullerene
nanocrystal grains embedded in hydrogenated amorphous
carbon films,” Appl. Phys. Lett. 91, pp.141902-141904.
[5] Siegal, M.P., Tallant, D.R., Provencio, P.N., Overmyer,
D.L., Simpson, R.L., Martinez-Mizanda, L.J., 2000,
“Ultrahard carbon nanocomposite films,” Appl. Phys. Lett.
76, pp.3052-3054.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Study of Worn Surface Characterization Based on Singular Entropy
Li Guobin, Guan Delin
Marine Engineering College, Dalian Maritime University, Dalian, PR China, Postcode 116026
(Extended Abstract)
ABSTRACT
A new method based on singular entropy is suggested for
estimating the worn surface using wavelet analysis, singular
value decomposition and information entropy. Low frequency
feature parameter and high frequency feature parameter of worn
surface based on statistical feature were extracted. The
running-in wear test for materials of piston ring against cylinder
liner was conducted on a pin-on-disc tester under CD40
lubrication. It was shown that low frequency feature parameter
Ei
and high frequency feature parameter can be used to reveal the
topography feature of running-in surface. Low frequency
feature parameters reflect contact area of the running-in surface,
the larger low frequency feature parameters, the larger contact
area. High frequency feature parameters reflect roughness of the
running-in surface, the larger high frequency feature parameters,
the smaller roughness. Therefore low frequency feature
parameter and high frequency feature parameter can be
considered as the feature parameter for the running-in surface
evaluation.
Keywords: Singular entropy, Worn surface, Wavelet analysis,
Singular value decomposition, Feature parameter
1. Introduction
A worn surface of machine elements generally accumulates
a lot of information that is useful for investigating the cause of
wear and for predicting the life of the machine elements. A
thorough understanding of the surface topography is essential
when employing surface topographical measurements as a tool
for machine condition monitoring and quality analysis.
In this paper, the worn surface characterization method has
been studied by utilizing wavelet transform, singular value
decomposition and information entropy theory. The worn
surface is quantitatively described by the character parameters
proposed in this paper.
2. Calculation method of character parameter
2.1. Singular entropy algorithm
2.1.1. Method of image processing based on SVD
Taking the image matrix A as mhn’s non-negative matrix,
rank (A)=r, r  mˈthen resolving this to Matrix A’s singular
value. Matrix A’s singular value is the average non-negative real
number and is also unique. The singular value has relative
stability towards disturbance and unchangeableness towards
matrix transformation. In linear algebra, the matrix feature
value shows the matrix feature, while the matrix singular value
is better than its feature value in manifesting its feature. So the
image matrix singular value reflects the image’s “energy
feature” while its corresponding singular vector reflects the
image’s “geometrical feature”.
2.1.2. Singular entropy of image
Entropy is a central concept in the field of Information
Theory and was originally introduced by Shannon in his paper.
*Tel.: +86 411 84726981; fax: +86 411 84726029.
E-mail address: guobinli88@yahoo.com.cn
610
Since then, this concept and variants thereof have been
extensively utilized in numerous applications of science and
engineering. In this paper, we define the singular entropy of
image based on the information entropy and the image matrix
singular value, and its calculation formula.
(1)
In this formula, k is the order of the singular entropy,
is the increment of singular entropy with the order i, and it can
be calculated as follows:
(2)
From the information theoretic perspective, the singular
entropy is a measure of the image complexity. More complex
the image is, larger the singular entropy is, which means the
information amount of image increases. Simpler the image is,
smaller the singular entropy is, which means the information
amount of image decreases. Therefore the singular entropy can
be used to describe the character of image.
2.2. Low frequency character parameter and high frequency
character parameter of image
An image is a muster of two dimensional discrete signals, to
any point (x, y) in worn surface image, there is a grey value f(x,
y), so two dimensional wavelet transform should be applied to
decompose worn surface image at different scale.
Wavelet provides four different texture image, they are one
approximation, one horizontal, one vertical, and one diagonal
details of the original image at one level. The approximation
contains low frequency feature. The details contain high
frequency features, which include horizontal, vertical, and
diagonal edges. The approximation image and the detail image
are respectively named L and H, and they can be obtained as
follows:
(3)
(4)
The low frequency character parameter named kl is
defined as the singular entropy of the approximation image, the
high frequency character parameter, named kh , is defined as
the singular entropy of the detail image. Their values are
performed with the equation (1) and (2). The low frequency
character parameter can be used to described the contact area
of the wear surface, the high frequency character parameter
can be used to described the roughness of the worn surface.
3. Experimental results
Running-in and wear tests of cast iron for cylinder liner
against cast iron for piston ring were conducted on a pin-on-disc
tester, as shown in Fig.1
 Study of Worn Surface Characterization Based on Singular Entropy
Fig.1 The pin-on-disc tester
(1) The principal axis; (2) the special jig; (3) one of three pin samples; (4) the disc sample; (5)the oil box;
(6) the locating pin, (7) the support of disc sample
Numerical analysis of the surfaces of the disc samples was
conducted by using the character parameters improved in the
paper. For comparison, surface roughness parameter Ra was
used to describe the surface features of the wear components.
The worn surface analysis is detailed as the following.
3.1. Different load wear test
The character parameters of worn surface under the
different load in the steady wear stage. are calculated by
applying the method put forward in the paper. Table 1 shows the
low frequency parameter k and the roughness parameter Ra of
h
the wear surface of the disc sample.
Table 1 The character parameters of worn surface under the
different loads
Load(N) Ra(m) kl (h1011) kh (h1011)
400 0.801 17.2961 5.2684
600 0.459 23.8409 7.5219
800 0.353 55.5385 13.7849
The data in Table 1 shows that the average roughness Ra
value of the worn surface of the disc decrease from the load
400N to the load 800N, both low frequency character
parameters and high frequency character parameters of the
worn surface of the disc increase from the load 400N to the
load 800N. According to the definition of low frequency
character parameter, it reveals the contact area of wear surface,
the larger low frequency character parameter, the larger
contact area. The analysis of low frequency character
parameters shows that the contact area of worn surface can be
increased by increasing load in the running-in stage. According
to the definition of high frequency character parameter, it reveals
the texture information of worn surface and corresponds to the
roughness of the worn surface, the larger high frequency
character parameter, the smaller roughness. According to the
results shown in Table 1, it was apparent that worn surface is
smoother by increasing load in the running-in stage.
3.2 Different rotational speed wear test
The character parameters of wear sur different rotational
speed in the steady wear stage are calculated by applying the
method put forward in the paper. Table 2 shows the character
parameters and the roughness parameter Ra of the wear surface
611
of the disc sample. As discussed in previou uency character
parameters and high frequency character parameters describe
respectively the contact area and the roughness of worn surface.
Seen from Table 2, the average roughness Ra value of the worn
surface of the disc decreases from the rotational speed 400rpm
to the rotational speed 800rpm, both low frequency character
parameters and high frequency character parameters of the worn
surface of the disc increase from the rotational speed 400rpm to
the rotational speed 800rpm. The analysis of low frequency
character parameters shows that the contact area of worn
surface can be increased by increasing rotational speed in the
running-in stage. Accordingly, both high frequency character
parameter and roughness Ra value of the worn surface of the
disc suggest the same result, i.e., worn surface is smoother by
increasing rotational speed in the running-in stage.
Table 2 The character parameters of wear surface under the
different rotational speed
Rotational speed (rpm) Ra (μm) kl (h1011) kh (h1011)
400 0.631 18.0082 6.4252
600 0.459 23.8409 7.5219
800 0.389 31.0553 13.5741
4. Conclusion
The running-in and wear tests for material of cylinder liner
against piston ring were simulated by using a pin-on-disc tester
at room temperature to investigate the characteristic evolutions
of worn surfaces before and after running-in, and to estimate the
running-in quality by using the character parameters improved
in the paper.
The results of this study have clearly shown that the
character parameters do reveal the surface characteristics of the
wear components. Low frequency character parameter is usually
attributed to the contact area of wear surface, the larger low
character parameter, the larger contact area. High frequency
character parameter is in good agreement with the roughness
value of the wear surface, which can reflect the evolution of
surface roughness, the larger high character parameter, the
smaller roughness. Therefore both low frequency character
parameter and high frequency character parameter can be used
to describe the characteristics of the wear surface.
Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

(Extended Abstract)

612
An Adaptive Meshless Model for Asperity Thermal Elasto-Plastic Contacts Considering Temperature-Dependent Material Properties

613
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Thermal Oxidized Coating on Surface of Titanium Alloy for Improvement of
Tribological Properties in Vacuum
Yong Liu1, Zhuyu Ye1, Dezhuang Yang1, Shiyu He1
1
Space Materials and Environment Engineering Lab., Harbin Institute of Technology, P.O.Box 432, 92 Xidazhi Street,
Harbin 150001, China,E-mail address: liuy@hit.edu.cn
ABSTRACT
A hardened layer possessing good bonding strength with
substrate has been prepared on the surface of aTi-6Al-4V alloy
using the process of thermal oxidation followed by vacuum
diffusion. The friction and wear tests are performed in vacuum.
The results show that the hardened layer, which thickness can
reach 180m, comprises a thin surface oxide layer and an
oxygen diffusion zone. After vacuum diffusion at 820ć, it is
found that the decrease rate of the hardness becomes slower
with increasing the depth within the diffusion layerˈresulting
from the formation of the Ti3Al phase. The friction coefficient
and the wear rate of the thermal oxidation/vacuum diffusion
treated Ti-6Al-4V alloy against AISI 52100 steel are efficiently
reduced.
Keywords: Titanium alloy, Oxidation, Diffusion, Friction,
Wear, Vacuum
INTRODUCTION
Many non-metallic elements are used to enhance the
titanium alloy surface to improve its tribological properties,
which can form a hardened, interstitially enriched alpha-case
layer with or without an outer surface layer of hard compound
(e.g., TiN, TiC, TiO2 or TiB2) [1]. Attention has been paid to
the beneficial oxidation of titanium alloys for the improvement
of tribological properties of the titanium alloy for its space
application [2-3]. Processes such as iron implantation,
magnetron sputtering, and deposition with laser ablation et al
have been developed to obtain the titanium oxide thin film
[4-7]. However, these surface engineering techniques are not
cost effective for mass production. Thermo chemical process
potentially becomes a low cost and effective surface
engineering technique to modify the titanium alloy surface due
to the diffusion of non-metallic elements into titanium surface
resulting in the formation of tribologically useful surface
compound, which can strength 7-Ti and increase the c/a ratio
[8-9]. Ti-6Al-4V alloy treated using a thermal oxidation
process has exhibited low coefficient of friction and low wear
rate, which is attributed to both the formation a useful oxide
and a hardened diffusion layer [10]. The above tribological
tests on oxidized coatings, however, are performed in air
condition. For the application in space, our study aims to
investigate the tribological properties of the oxidation coatings
in vacuum.
EXPERIMENTAL
1. SPECIMEN PREPARATION
Ti-6Al-4V alloy in the form of hot rolled and annealed bar
of 10 mm is selected as the substrate material. The chemical
composition in weight percent is, 5.5~6.5%Al, 3.5~4.5%V,
0.3%Fe, 0.15%O and balance Ti. Oxidation is conducted in air
at 790ć for 15min, for H. Dong et al have shown that it can
*Corresponding author: Yong Liu
Tel: +86-451-86412462, Fax: +86-451-86415168
E-mail address: liuy@hit.edu.cn
614
*
be obtained the optimism oxide layer under this oxidation
condition. The pre-oxidized samples are further treated 20
hours at 820ć in vacuum (about 10-3 Pa) for diffusion.
The surface and cross-sectional microstructure of the
coating are examined using a Hitachi S-570 scanning electron
microscope (SEM). Phase analyses on untreated and oxidation
with vacuum diffusion treated materials are carried out using a
D/max-8B type of X-ray diffraction spectrometer (XRD). A
Shimadzu Esca750 type X-ray photoelectron spectrometer
(XPS) with Cu-K7 radiation is employed to measure the atom
percents of Ti, Al and O in the surface layer. The
microhardness profile of the surface layers is measured by an
HXD-1000 type electronic micro-hardometer.
2. FRICTION AND WEAR TESTS
The friction and wear tests are performed using a
pin-on-disk tribometer under dry sliding condition in vacuum
of 10-3 Pa. The thermal oxidation/vacuum diffusion treatment
is conducted on pin specimens of Ti-6Al-4V alloy shaped in
9mm×10mm. The disk specimens of AISI 52100 steel with
dimension of 70mm×10mm are chosen as the counter
couples. The normal load ranges from 30 to 90N and the
sliding velocity of 0.2 m /s and 2000 m sliding distance are
chosen.
RESULTS and DISCUSSIONS
1. MICROSTRUCTURE CHARACTERIZATIONS
The surface of the coating has a silver color and the
compact microstructure, as shown in Fig.1 (a). A surface layer
has formed after the vacuum diffusion treatment, as illustrated
in Fig.1 (b). The interface between this surface layer and the
substrate is very clear, applying that it is well bonded with the
Ti-6Al-4V alloy.
(a) (b)
Fig.1 SEM mirographs showing (a) surface morphologies and
(b) cross-section microstructure of oxidation coating
Based on the analysis of XRD spectra, this distinct layer
mainly consists of TiO2. Fig.2 also illustrates that the vacuum
diffusion treatment reduces the amount of TiO2 formed during
the oxidation in air. XPS analysis shows that the coating has
relatively high O composition due to the oxidation and
diffusion treatment, as shown in Fig.3, resulting in only single
7-Ti phase existing in the area closed to the surface layer, as
 Thermal Oxidized Coating on Surface of Titanium Alloy for Improvement of Tribological Properties in Vacuum
shown in Fig.1(b).
The above results indicate that the vacuum diffusion
treatment lead to increase O and Ti content in the interface
zone between the oxidation layer and the substrate of
Ti-6Al-4V alloy [9]. It is noted that a few Ti3Al phase has
formed in the coating after the vacuum diffusion. This change
in composition and phase of the coating results in not only
hardening of the surface but also enhancing the bonding
strength between the oxidation layer and the substrate. Thus,
the microhardness of the coating has a profile from the surface
to the substrate, as shown in Fig.4. Fig.4 also indicates that the
oxidation coating has a hardening depth about 180m,
implying a good wear resistance of the coating.
Fig.2 XRD spectra of oxidized surface at 790ć before and after
vacuum diffusion at 820ć
Fig.3 Profile of Ti, Al and O content of the oxidation coating
Fig.4 Microhardness profiles of the oxidation coating
2. TRIBOLOGICAL PROPERTIES
Fig.5 and Fig.6 compare the friction coefficients and the
wear rates before and after thermal oxidation/vacuum diffusion
615
treatment under various loads in vacuum, respectively. The
results show that the thermal oxidation/vacuum diffusion
treatment distinctly reduces the friction coefficient and the
wear rate of Ti-6Al-4V alloy against AISI 52100 steel in
vacuum.
For both oxidized coating and the untreated Ti-6Al-4V
alloy, load has little effect on the friction coefficient. For the
untreated alloy, the wear rate increases remarkably with
increasing the normal load. However, the wear rate of the
oxidized coating only presents a slight increase with load.
Fig.5 Friction coefficients of the oxidation coating and
untreated Ti-6Al-4V alloy in vacuum
Fig.6 Wear rate of the oxidation coating and untreated
Ti-6Al-4V alloy under in vacuum
Because the coating has much higher hardness than the
untreated Ti-6Al-4V alloy, the ability of bearing load will be
stronger than that of the untreated Ti alloy. The high
concentration of O element in the interface zone will enhance
the interface strength between the surface oxidation layer and
the substrate, leading to a strong bonding for the coating layer
with the substrate materials. Moreover, the Ti3Al phase in the
coating can also improve the distribution of hardness along the
depth direction. All above factors will result in an increase in
the wear resistance of the oxidized coating.
The formation of the surface layer of TiO2 changes the
contact condition from metal to metal to ceramic to metal.
Compared with the case of Ti-6Al-4V alloy sliding against
AISI 52100 steel, lower adhesion prefers to happen during the
sliding contact of the oxidized coating against the steel. Thus,
the oxidized coating show lower friction coefficient than the
untreated Ti-6Al-4V alloy.
3. ANALYSES ON WORN SURFACE AND DEBRIS
The worn surface of the untreated Ti-6Al-4V alloy is
characterized as sever plastic deformation and adhesion, as
shown in Fig.7 (a). The oxidized coating shows slight scratch
after dry sliding in vacuum, as shown in Fig.7 (b). In high
vacuum, the heat induced by friction is hard to diffuse from the
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
surface, leading to a temperature rising on the frictional surface,
especially for Ti-6Al-4V alloy due to its low conductivity of
heat. For this reason, the surface strength of Ti-6Al-4V alloy
will decrease. Under the action of normal load and distinct
adhesion with AISI 52100 steel in vacuum, deformation is easy
to happen in the surface layer during sliding. Thus the
untreated alloy shows higher friction coefficient and more poor
wear resistance in vacuum, as shown in Fig.5 and Fig.6.
However, there is little deformation on the surface of the
oxidized coatings due to its high hardness and thermal
resistance. The oxygen diffusion zone and Ti3Al phase formed
during vacuum diffusion treatment will further harden the
oxidized coating as well as the bonding strength to the
substrate. On the other hand, the hard TiO2 surface layer
formed by the thermal oxidation treatment can reduce the
adhesion trend of Ti-6Al-4V alloy against AISI 52100 steel
comparing to that of the untreated Ti-6Al-4V alloy in vacuum.
(a) (b)
Fig.7 Worn surfaces of (a) untreated (b) oxidation coating
The debris of untreated Ti-6Al-4V alloy is in the form of
big flake, which contains 7-Ti, as show in Fig.8 (a) and Fig.9
(a). It also indicates that sever deformation happens for
Ti-6Al-4V alloy in vacuum, while little wear take places for
the counter specimens of AISI 52100 steel during the sliding.
In contrast, the debris of the oxidized coating consists of small
particle of 7-Ti, , and 7-Fe, indicating that the counter
specimens of AISI 52100 steel also experiences wear, as
shown in Fig.8(b) and Fig.9 (b).
(a) (b)
Fig.8 Debris of (a) untreated (b) oxidation coating
Obviously, the TiO2 particles come from the oxidized
coatings. Although the bulk hardness of the oxidized coating is
higher than that of AISI 52100 steel, there is always some
micro-protruding small enough to crack from the oxidized
coating in the contact area by the mechanical collision during
sliding. Therefore, the debris of TiO2 particle is formed. Some
616
of these TiO2 particles are remained on the friction interface of
the oxidized coating and AISI 52100 steel, playing a role as the
third body to apply abrasive action to both friction surfaces. At
the same time, some of TiO2 particles form the trapped debris
on the friction surfaces, which also have considerable abrasion
against the surface of the oxidized coating, resulting in the
wear of the oxidized coatings. Combining the analysis on the
worn surfaces, it implies that the wear of the oxidation coating
is mainly caused by abrasive effects of hard TiO2 particles
produced by the coating itself in vacuum.
(a)
(b)
Fig.9 XRD spectrum of wear debris of (a) untreated and (b)
oxidation coating produced in vacuum
In a word, the above results imply that the thermal
oxidation treatment reduce the adhesion effect for Ti-6Al-4V
alloy in vacuum and increase its wear resistance.
CONLUSIONS
1 A type of hardened oxidized coating having good bonding
strength to Ti-6Al-4V substrate is prepared by the process of
thermal oxidation followed by vacuum diffusion on the surface
of alloy.
2 The thermal oxidation/vacuum diffusion treatment
distinctly reduces the friction coefficient and the wear rate of
Ti-6Al-4V alloy against AISI 52100 steel in vacuum.
3 The process of thermal oxidation and vacuum diffusion
treatment reduces the adhesion effect of Ti-6Al-4V alloy
against AISI 52100 steel.
4 The wear of the oxidation coating is caused by abrasive
effects of hard TiO2 particles produced by the coating itself in
vacuum.
 Thermal Oxidized Coating on Surface of Titanium Alloy for Improvement of Tribological Properties in Vacuum
REFERENCES
[1] F. Alonso, A. Arizaga, S. Quainton, et al., 1995,
“Mechanical properties and structure of Ti-6Al-4V alloy
implanted with different light ions,” Surface and Coatings
Technology, 74-75, pp.986-992.
[2] Andrew Bloyce, 1997, “Wear protection of titanium alloys,
Surface Performance of Titanium. Edited by J. K. Gregory,
H. J. Rack, and D. Eylon. The Minerals, Metals & Materials
Society, pp.155-169.
[3] R. W. Schutz, 1997, “Surface treatments for expanding
titanium alloy application limits: an review,” Surface
Performance of Titanium. Edited by J. K. Gregory, H. J.
Rack, and D. Eylon. The Minerals, Metals & Materials
Society, pp.1-22.
[4] Giardini-Guidoni, V. Marotta, R. Teghil, et al., 1998,
“Anticorrosion titanium oxide coatings deposited by pulsed
laser ablation,” Surface and Coatings Technology, 100-101,
pp.437-439.
[5] Feng Zhang, Xianghuai Liu, Yingjun Mao, et al., 1998,
“Artificial heart valves: improved hemocompatibility by
titanium oxide coatings prepared by ion beam assisted
deposition,” Surface and Coatings Technology, 103-104,
pp.146-150.
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[6] Nicolas Martin, Dominique Baretti, Christophe Rousselot,
et al., 1998, “The effect of bias power on some properties of
titanium and titanium oxide films prepared by r.f. magnetron
sputtering,” Surface and Coatings Technology, 107,
172-182.
[7] Loinaz, M. Rinner, F. Alonson, et al., 1998, “Effects of
plasma immersion ion implantation of oxygen on
mechanical properties and microstructure of Ti-6Al-4V,”
Surface and Coatings Technology, 103-104, pp.262-267.
[8] Bloyce, P.-Y. Qi, H. Dong, T. Bell, 1998, “Surface
modification of titanium alloys for combined improvements
in corrosion and wear resistance,” Surface and Coatings
Technology, 107, pp.125-132.
[9] H. Dong, X. Y. Li, 2000, “Oxygen boost diffusion for the
deep-case hardening of titanium alloys,” Materials Science
and Engineering, A280, pp.303-310.
[10] D. Siva Rama Krishna, Y Sun, 2005, “Thermally oxidised
rutile-TiO2 coating on stainless steel for tribological
properties and corrosion resistance enhancement,” Applied
Surface Science, 252, pp.1107-1116.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Study on Friction and Wear Properties in Vacuum for -Ray Irradiated PTFE Coatings
1 1
Yong Liu , Zhuyu Ye , Xingdong Yuan , Dezhuang Yang *
1
Space Materials and Engineering Lab., Harbin Institute of Technology, Harbin 150001, China
(Extended Abstract)
ABSTRACT
The friction and wear properties in vacuum for the -ray
irradiated PTFE coatings were measured. The effect of
radiation dose, sliding velocity and load on the friction
coefficient and wear loss of PTFE coatings was studied. The
worn surface was analysis using SEM. The results show that
the friction coefficient is decreased after -ray irradiation and
varied little with the irradiation dose. The friction coefficient is
firstly increased and then decreased with increasing sliding
velocity, while it is firstly decreased and then increased with
increasing load. The wear loss rises after -ray irradiation and
decreases with increasing the irradiation dose under the
irradiation dose is less than 107 rad. When the irradiation dose
reaches 107 rad, the wear loss is lower than that of unirradiated
coating. The wear loss is firstly decreased and then lightly
increased with increasing velocity and load under the
irradiation dose of 107 rad. It is shown by SEM that there are
cracks on the worn surface.
Keywords: PTFE, -ray irradiation, friction, wear, vacuum
INTRODUCTION
Polytetrafluoroethylene (PTFE) coatings are widely used
for tribological applications due to their superior properties such
as low friction coefficient, high temperature stability and high
chemical resistance. With the development of space navigation,
Polytetrafluoroethylene is often used for bearings in spacecraft
[1]. However, its wear loss is relatively high due to the transfer
film on the counter surface, which is formed during the sliding,
being easy to break off. Usually, the way to improve the wear
resistance is to add various dopants into PTFE coatings. These
dotants include metal oxides, ceramic particles, and
nano-particles [2-5]. Recently, -ray irradiation was used to
enhance the wear resistance for PTFE coatings and obtained
good result [6-7]. For most of these tries and property test were
performed in air condition, the effect of -ray irradiation on the
tribolocial properties in vacuum was not clear yet. The aim of
this investigation is to evaluate the friction and wear property in
vacuum for PTFE coatings irradiated by -ray, and primarily
analyze the variation in tribological behaviors of PTFE coatings
after -ray irradiation. The results would be aid to explore new
technique for modification of PTFE coatings.
EXPERIMENTAL
SPECIMEN PREPARATION
The deposition was performed in a parallel-plate electrode
arrangement. A slightly unbalanced magnetron 80mm in
diameter with PTFE target was attached upside down at the top
of the chamber. A parallel component of magnetic field was
400G in the place of target erosion zone of 60 mm in diameter.
Perpendicular component of the magnetic field at the axis of the
target was 600G. The substrate and quartz crystal monitor were
*Corresponding author: Yong Liu
Tel: +86-451-86412462, Fax: +86-451-86415168
E-mail address: liuy@hit.edu.cn
618
1 1
located 50 mm from the magnetron. The PG501 rf supply
(13.56MHz, 500W) powered the magnetron via a matching unit.
The PTFE coatings with approximately 2m and hardness of
24Hv were synthesized on the substrate of 2024 alloys shaped
in disk (70mm×10mm). A 52100 steel ball with diameter in
,10mm and hardness of HRC67 was chosen as the couple
specimen.
The PTFE coatings were irradiated by -ray with dose of
1107 rad produce by Co60 source, and then followed by the
tribological test.
FRICTION AND WEAR TESTS
The friction and wear test were performed using a
-1000 type of ball-on-disk machine. The steel ball was still
with an applied normal load raged from 4212N while the coated
disk was rotating to obtain the sliding velocity raged from 0.2 to
1.6m/s. The mass loss of the coating was measured by a Sartius
Micr type electrical balance with precision of 10-5g. The wear
loss is defined as the mass loss per 1km. All the specimens were
cleaned using acetone.
The friction and wear tests were carried out according the
China Standard GB3960-83 (Friction and Wear Test Method for
Plastics). The vacuum pressure was 110-5Pa. The worn surface
of the coating was examined by a MX2600FE type of scanning
electron microscope (Camscan Company of UK).
RESULTS
TRIBOLOGICALPROPERTIES
Fig.1 and Fig.2 shows friction coefficient and wear loss at
varied sliding velocities under 6N in vacuum after 1×107 rad
-ray irradiation, respectively. Irradiation decreases the friction
coefficient and the wear loss of PTFE coatings in all the testing
velocities. The friction coefficient is decreased with in creasing
sliding velocity except at lower velocity of 0.4m/s and 0.6m/s.
The wear loss is distinctly decreased with increasing velocity up
to 0.8m/s and then slightly increased with the velocity higher
than 0.8m/s.
Fig.3 and Fig.4 show friction coefficient and wear loss
under deferent load under 0.8m/s in vacuum after 1×107 rad
-ray irradiation, respectively. Within the load of 4 to 12N,
irradiation decreases the friction coefficient and the wear loss of
PTFE coatings. The friction coefficient and the wear loss firstly
decline and then slightly ascend with increasing the load. Based
on the data calculation, the change in friction coefficient and
wear loss varied with load is not remarkable, indicating that the
tribological property of irradiated PTFE coatings is not very
sensitive to the load.
It should be noted that the irradiation dose not change the
variation trend of tribological property with the velocity and/or
load. Since the emphases of our study are to evaluate the effect
of -ray irradiation on the tribological property of PTFE in
vacuum under deferent sliding velocities and loads, it implies
that the irradiated PTFE coatings possibly have lower friction
coefficient and wear loss within the tribologocal parameters of
0.8m/s to 1.6m/s and 8 to 12N.
 Study on Friction and Wear Properties in Vacuum for -Ray Irradiated PTFE Coatings
Fig.1 Friction coefficient as a function of velocity
Fig.2 Wear loss as a function of velocity
Fig.3 Friction coefficient as a function of load
Fig.4 Wear loss as a function of load
WORN SURFACE ANALYSIS
Fig.5 shows the scanning electron micrographs of the worn
surfaces of unirridiated and irradiated PTFE coatings produced
in vacuum. The worn surfaces of unirridiated specimen are
characterized by severe plastic deformation, micro cracking,
619
and spalling, as showed in Fig.5 (a). However, the cracking
characteristic is more remarkable on the worn surface of
irradiated coatings, as showed in Fig.5 (b). There is a main
crack being found along the midline of the frictional trace.
Several long cracks are parallel to this main crack. Many fine
cracks are developed as branches of the main crack and long
cracks.
(a) (b)
Fig.5 SEM microphotoes showing morphologies of (a)
unirradiated and (b) 107 rad irradiated worn surfaces
Further SEM analysis shows that the crack is deferent in
microstructure and size between unirridiated and irradiated
worn surface. There are many fibers are visible in the micro
cracks on the unirradiated surface indicating a tearing
deformation during the fracture, as showed in Fig.6 (a). The
fracture results in flakes spalled from the surface and forming
debris. Comparing to Fig.6 (a), the cracks on the irradiated
surface is larger in size and little such fiber is found, as showed
in Fig.6 (b). The edge of crack is broken into small particles by a
brittle fracture and formed debris.
(a) (b)
Fig.6 SEM microphotoes showing cracking morphologies of (a)
unirradiated and (b) 107 rad irradiated worn surfaces
DISCUSSION
The very small contact area in a ball-on plane sliding results
that the temperature possibly exceeds the melting point of PTFE.
In this case, the crosslink reaction is occurred, forming network
and strengthening the PTFE itself [8]. The 8 irradiation induced
strengthening will increase the brittleness of PTFE. According
the Hertz theory, the maximum stress will be obtained in the
midline of frictional trace, which is in favor of nucleation and
prolongation of micro cracking. On the other hand, 8 irradiation
also brings the primary micro cracks on the original surface
including the middle area of frictional trace, they prefer to
prolongate in the areas with high stress. Thus, a main crack
tends to form along the midline of friction trace. Considering
the friction is a dynamic proceed, the increase in temperature is
not uniform at contact areas resulting that the enhance effect of 8
irradiation is not uniform at different contact area. There would
be some areas without enough strengthening but predominant
chain scission. The micro cracking will be nucleated and
prolongated in these week areas and form the branches of the
main crack.
Increasing the sliding velocity and load will cause the
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
temperature of friction surface and facilitate above
strengthening effect. Relatively, increase in the sliding velocity
has a more remarkable temperature and strengthening effect
than increasing the load. As a result, the friction coefficient and
wear loss has a distinct decrease with sliding velocity. However,
when the sliding velocity exceeds a certain value, the
temperature of contact area rises to a higher level and the
strengthening effect reaches a saturation state. In addition, the
PTFE will show viscous characteristic when velocity and load
increase to a certain level, leading to a slight increase in friction
coefficient and wear loss, as showed in Fig.1 to Fig.4.
CONCLUSIONS
1 The friction coefficient and wear loss of PTFE coatings
are decreased within the test sliding velocities and loads when
-ray irradiation dose reaches 107 rad.
2 Within the range of testing conditions, the main variation
in friction coefficient and the wear loss tends to decrease with
increasing sliding velocity and load.
3 There are a lot of cracks on the worn surface of the
irradiated PTFE coatings.
REFERENCES
[1] Makoto Nishimura, Mineo Suzuki, 1999, “Solid-lubrication
ball bearings for use in a vacuum-state-of-the-art,”
Tribology International, 32, pp.637-647.
620
[2] H. Unal, A. Mimaroglu, U. Kadioglu. H. Ekiz, 2004,
“Sliding friction and wear behaviour of
polytetrafluoroethylene and its composites under dry
conditions,” Materials and Design. 25, pp.239-245.
[3] Shi Qunan Lai, Yue Li, Tong Sheng Li, 2006, “The friction
and wear properties of polytetrafluoroethylene filled with
ultrafine diamond,” Wear. 206(4-5), pp.462-468.
[4] W. Gregory Sawyer, Kevin D. Freudenberg, Praveen
Bhimaraj, 2003, “A study on the friction and wear behavior
of PTFE filled with alumina nanoparticles,” Wear. 254,
pp.573-580.
[5] J. H. Jia, H. D. Zhou, S. Q. Gao, J. M. Chen, 2003, “A
comparative investigation of the friction and wear behavior
of polyimide composites under dry sliding and water
lubricated,” Materials and Science Engineering. 251,
pp.48-53.
[6] K. A. Watson and J. W. Connell D, “Space Environmentally
Stable Polyimides and Copolyimides,” NASA Report,
NASA-2002-45sampe-kaw
[7] Brian Menzel, 2005, “Thierry A. Enhanced wear resistance
of gamma-irradiated PTFE and FEP polymers and the effect
of post-irradiation environmental handing,” Wear. 12,
pp.935-941.
[8] Akihiro Oshima, Yoneho Tabata, Hisaaki Kudoh, and
Tadao Seguchi, 1995, “Radiation induced crosslinking of
polyterafluoroethylene,” Radiat. Phys. Chem. 45(2),
pp.269-273
 Friction and Wear Behaviors of Plasma Sprayed Conventional and Nanostructured WC-12Co Coatings at Elevated Temperature

Friction and Wear Behaviors of Plasma Sprayed Conventional and Nanostructured

WC-12Co Coatings at Elevated Temperature

1,2 1,
Bin Yin1,2, Yulong An , Huidi Zhou *, Fengyuan Yan1, Jianmin Chen1
1
State Key Laboratory of Solid Lubrication, Lanzhou Institute of Chemical Physics, Chinese Academy of Sciences,
Lanzhou 730000, China
2
Graduate University of Chinese Academy of Sciences, Beijing 100049, China

conventional and nanostructured WC-12Co coatings

Extended Abstract
The conventional and nanostructured WC-12Co coatings
were deposited by atmospheric plasma spraying with
microstructured and nanostructured WC-12Co feedstock
powders on 1Cr18Ni9Ti stainless steel substrate. Then, the
friction and wear behaviors of the two types of coatings against
silicon nitride ceramic ball were investigated with a sliding,
reciprocating and vibrating SRV tester from 25 ć to 500ć
under dry-friction condition. The microstructure, phase
composition, microhardness, wear volume, worn surface
morphology and wear debris of both coatings were
characterized by combination of field emission scanning
electron microscope (FESEM), X-ray diffractometer (XRD),
microhardness tester, 3D non-contact surface mapping profiler,
and scanning electron microscope (SEM) equipped with
energy dispersive spectroscopy (EDS). The results showed that
as-sprayed nanostructured WC-12Co coating possessed denser
and finer structure, higher microhardness and less surface
roughness than its conventional counterpart, although the
slightly higher decomposition of WC in the former than that in
the latter. In friction and wear test, the friction coefficients for
both coatings took on minor difference including two varied
regimes (25 ć 㨪 200 ć and 300 ć 㨪 500 ć) and the
nanostructured coating exhibited slightly smaller friction
coefficient than the conventional coating at the same test
conditions. Moreover, compared with conventional WC-12Co
coating, the plasma sprayed nanostructured coating showed
better wear-resistance property at elevated temperature. The
wear mechanism of nanostructured WC-12Co coating was
delamination and adhesion wear, the latter was dominant wear
mechanism at high temperature. While in the case of the
as-sprayed conventional coating, it was a combination of
performed on THT high temperature friction and wear tester
from room temperature to 400ć, the results showed that
as-deposited nanostructured coating possessed more excellent
friction and wear properties than its conventional counterpart
due to the superior mechanical property and denser
microstructure. Yang et al. [2] reported wear behaviors of the
conventional WC-12Co coating deposited by high velocity
oxy-fuel spraying with different carbide grain sizes sliding
against Al2O3 at elevated temperature from room temperature
to 400 ć. They reported the wear-resistance of conventional
WC-12Co coating were improved from room temperature to
300 ć due to the formation of dense and adhered tribofilms
on the sliding worn surfaces at elevated temperature as
compared with that at room temperature. However, according
to the best of our knowledge, the micro-sliding wear behavior
of nanostructured WC-12Co coating at elevated temperature
from room temperature to 500 ć have not been studied until
nowDŽIn the present research, an attempt has been made to
assess the potential of the conventional and nanostructured
WC-12Co coatings prepared by atmospheric plasma spraying
as wear-resistance surface coatings. Especially, their friction
and wear characteristics have been examined on SRV-Č at a
range of temperatures from room temperature (designated as
25 ć) to 500 ć, the mechanisms of the two types of
WC-12Co coatings are also discussed.
MAIN BODY HEADINGS
1.5
(a) 25 ć 100 ć 200 ć
1.2 300 ć 400 ć 500 ć
Friction coefficient

brittle micro-fracture, fatigue wear and abrasive wear. Their 0.9

wear behaviors were explained in terms of their microstructure,
mechanical properties as well as wear debris obtained at 0.6

elevated temperature.
0.3
Keywords: Plasma spraying; Nanostructured WC-12Co
coating; Friction and wear; Elevated temperature 0.0
0 300 600 900 1200 1500 1800
Time/s
INTRODUCTION 1.5

Thermal sprayed cermet WC-Co as surface protective (b) 25 ć 100 ć 200 ć

300 ć 400 ć 500 ć
coatings had been extensively investigated in tribological field 1.2
Friction coefficient

due to their excellent wear-resistance in different harsh

0.9
environment for many years [1-3]. In recent years, many
researches [4-7] on thermal sprayed nanostructured coatings 0.6
with nanostructured powders have been attracting significant
and growing interests because of superior property of 0.3
nanostructured coating to their conventional counterparts. The
improved friction and wear properties are mainly attributed to 0.0
0 300 600 900 1200 1500 1800
the finer and denser structure and/or more excellent Time/s
mechanical property. For example, in our previous work [5], Fig. 1 Variation of friction coefficients for (a) conventional
we investigated the tribological behavior of plasma sprayed and (b) nanostructured WC-12Co coatings at elevated
* Corresponding Author. E-mail: hdzhou@lzb.ac.cn; temperature (25 ć 㨪 500 ć)
Tel.: +86 931 4968138; Fax: +86 931 8277088.

621
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

7.5

6.0
Wear volume/10 mm
Nanostructured coating
Conventional coating
-3

4.5

3.0

1.5

0.0 Fig. 4 Typical SEM images of (a), (b), (c) worn surfaces and
25 100 200 300
Temperature / ć
(d), (e), (f) corresponding wear debris of as-deposited
nanostructured coating against Si3N4 at elevated temperature

Fig. 2 Variation of wear volumes for conventional and

nanostructured WC-12Co coatings at elevated temperature ACKNOWLEDGEMENTS
(25 ć 㨪 300 ć) The authors are grateful to the financial support from the
Innovative Group Foundation of national natural science
foundation of China (Grant No. 50421502) and China National
973 Program (2007CB607601).

REFERENCES
[1] Monticelli, C., Frignani, A., Zucchi, F., 2004,
 “Investigation on the corrosion process of carbon steel
coated by HVOF WC/Co cermets in neutral solution,”
Corrosion Science, 46, pp.1225–1237.
[2] Yang, Q.Q., Senda, T., Hirose, A., 2006, “Sliding wear
behavior of WC–12% Co coatings at elevated
temperatures,” Surf. Coat. Technol., 200, pp.4208–4212.
[3] Du, L.Z., Xu, B.S., Dong, S.Y., Zhang, W.G., Zhang J.M.,
 Yang., H., Wang, H.J., 2008, “Sliding wear behavior of the
supersonic plasma sprayed WC–Co coating in oil
containing sand,” Surf Coat Technol,202, pp.3709–3714.
[4] Jia, K., Fischer, T.E., 1997, “Sliding wear of conventional
and nanostructured cemented carbides,” Wear, 203–204,
pp.310–318.
[5] Zhao, X.Q., Zhou, H.D., Chen, J.M., 2006, “Comparative
study of the friction and wear behavior of plasma sprayed
 conventional and nanostructured WC–12%Co coatings on
Fig. 3 Typical SEM images of (a), (b), (c) worn surface and stainless steel,” Mater. Sci. Eng. A, 431, pp.290–297.
(d), (e), (f) corresponding wear debris of as-deposited [6] Chen, H., Xu, C., Zhou, Q., Hutchings, I.M., Shipway, P.H.,
conventional coating against Si3N4 at elevated temperature Liu, J., 2005, “Micro-scale abrasive wear behaviour of
HVOF sprayed and laser-remelted conventional and
nanostructured WC–Co coatings,” Wear, 258, pp.333–338.
[7] Shipway, P.H., McCartney, D.G., 2005, Sudaprasert, T.,
“Sliding wear behaviour of conventional and
nanostructured HVOF sprayed WC–Co coatings,” Wear,
259, pp.820–827.

(The whole paper will be supplied by the authors if reader

needs it.)

622
 Wear Behavior of Chromizing-Titanizing Coating
Wear Behavior of Chromizing-Titanizing Coating
Lou Baiyang*/1
(The MOE Key Laboratory of Mechanical manufacture a
nd Automation, Institute of Material and Surface
Engineering, Zhejiang University of Technology,
Hangzhou 310014, People’s Republic of China)
Xu Bin /3
(The MOE Key Laboratory of Mechanical manufacture a
nd Automation, Institute of Material and Surface
Engineering, Zhejiang University of Technology,
Hangzhou 310014, People’s Republic of China)
(Extended Abstract)
ABSTRACT
The wear behavior of chromizing-titanizing coating is
examined in different media at room temperature and at
elevated temperature, and compared with the wear behaviors
of chromizing coating, titamizing coating and basis carbon
steel. The structure of chromizing-titanizing coating is
analyzed using electron probe, X-ray diffration and hardness.
The results show that the chromizing-titanizing coating has
better wear resistance than that of chromizing coating,
titanizing coating and basis material. The wear resistance of
chromizing-titanizing coating is mainly affected by the
microstructure and composite of the coating which consists of
complex compounds containing chromium carbides and TiC.
The chromizing carbides exist mainly outside the coating and
TiC exists mainly inside the coating. The complex compounds
make the coating have both advantages of chromizing coating
and titanizing coating, resulting in good wear resistance of
chromizing-titanizing coating at room temperature and at
elevated temperature.
Keywords: Chromizing-titanizing coating, Microtructure,
Wear resistance
INTRODUCTION
The surface properties of machine parts and tools, such as
strength, hardness, wear resistance, corrosion resistance and
etc., can be improved by chemical heat treatments which have
been researching actively in recent years. Among many kinds
of chemical heat treatments, chromizing and titanizing on the
surface of steel works have been researched[1-4]. The
chromizing coating and titanizing coating can effectively
improve wear and corrosion behaviors of basis materials. In
this paper the wear resistance of chromizing-titanizing coating
is investigated and relation between structure and wear
resistance of chromizing-titanizing coating is analyzed.
EXPERIMENTAL DETAILS
The carbon steel containing 0.45%C was utilized as basis
material. The wear specimens were in two forms: 6×7×30mm
for testing at room temperature and 6×7×15mm for testing at
elevated temperature. Chromizing and titanizing on surfaces of
wear specimens were performed at 1000ć for 6h by
low-vacuum packing powder method and then cooled in the
furnace to room temperature. The degree of vacuum was about
0.1㨪0.2 mmHg.
Jin Lingchuan/2 (Hangzhou Bureau of City Management
and Execution, Hangzhou 310003, People’s Republic of
China)
Yu Keer /4
(The MOE Key Laboratory of Mechanical manufacture a
nd Automation, Institute of Material and Surface
Engineering, Zhejiang University of Technology,
Hangzhou 310014, People’s Republic of China)
The wearing test were performed using lump-on-disc
machine MM-200 wearing tester. The lump that is wear
specimen was static and disc made of hard alloy was rotary.
The wear behavior of the surface was examined by measuring
the weight loss of both uncoated and coated specimens in
different media at room temperature and elevated temperature.
The hardness of surface of specimen before wearing test
was determined using a Vickers microhardness tester. Vickers
hardness values for the surface were measured using a load of
50 gf, loaded for 10 s.
The structure of chromizing-titanizing coating was
analyzed using electron probe and X-ray diffraction.
RESULTS
1.WEAR PROPERTY
The specimens of four different materials which are basis
steel, chromizing coating, titanizing coating and
chromizing-titanizing coating are tested under unlubricated
contact and lubricated contact conditions. The test results are
shown in Figure 1 and Figure 2. It is indicated that the
chromizing- titanizing coating has high wearability, which is
more four times high than basis steel, improving effectively
wear resistance of basis steel. The chromizing coating,
titanizing coating and chromizing-titanizing coating all have
good wear resistance under both unlubricated contact and
lubricated contact conditions, but the chromizing-titanizing
coating shows better wear resistance than chromizing coating
and titanizing coating as sliding rate and wear time increase.
Figure 1 (a), Figure 1 (b) and Figure 1 (c) show wearing test
results under lubricated contact condition. The applied loads
are 50 Kgf, 50 Kgf and 100 Kgf respectively and rotating rates
of disc are 200 r/min, 400 r/min and 400 r/min respectively.
Figure 1 (d) shows wearing test results under unlubricated
contact condition in which the load is 15 Kgf and rotating rate
is 200 r/min. Figure 2 shows that the chromizing-titanizing
coating has high wear resistance contrasted with chromizing
coating and titanizing coating at elevated temperature. As
temperature reaches up to 100ć, the wear resistances of
chromizing coating, titanizing coating and
chromizing-titanizing coating decrease with temperature
insreases. Of three coatings, titanizing coating shows lowest
wear resistance and the wearability of chromizing coating is
almost as high as that of chromizing-titanizing coating,as
shown in Figure 2.
623
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Basis steel
Chromizing layer 2. STRUCTURE
T itanizing layer
Chromizing-titanizing layer The phase of chromizing-titanizing coating is examined
by XRD. The XRD analysis indicates that six phases exist in
20 different parts of coating. Among them, α-Fe and Fe3C are
main phases in the basis steel, but a small amount of α-Fe
loss (mg)

15
Weight

10 exists in the coating for C atoms conbine with Cr and Ti atoms

5
to form carbides. The coating consists mainly of TiC, Cr23C6
and (Cr,Fe)7C3 which is of high hardness. Because there are
0
different distributions of Cr and Ti in the coating that element
0 1 2 3 4 5 6 Cr is rich outside and element Ti is rich inside, and element C
(a) T ime (h) is more in the coating than in basis steel, as shown in figure 3,
the coating is characteristic of complex compounds that TiC
exists mainly inside and chromium carbides exist mainly
Weight loss (mg)

2
1.5 outside, resulting in different wearability from chromizing
coating and titanizing coating.
1
0.5 
0
0

Time (h)
(b)

12
Weight loss (mg)

10
8
6
4 
2
Fig. 3 Ingredient analysis
0
0 1 2 3 4 5 6
CONCLUSIONS
(c) Time (h)
The chromizing-titanizing coating can be formed in surface
6
of carbon steel by low-vacuum packing powder method. The
Weight loss (mg)

4 coating, which is characteristic of complex compounds that

TiC exists mainly inside and chromium carbides exist mainly
2 outside, has good wear resistance at room temperature and
elevated temperature. Chromizing and titanizing can greatly
0 improve wearability of carbon steel.
0 10 20 30 40 50 60
Time (min) REFERENCES
(d)
[1] S.Kinket, G N.Angelepoulos, and W.Dall, Surf. coat.
Fig. 1 Relation between weight loss and wearing time under Technol., 64(1994) 119
different conditions [2] J.I.Onate,F.Alonso,J.L.Viviente and A.Arizaga, surf.coat.
Technol.,65 (1994)165
[3] A.Darbeida, J.Von Stebut, M.Barthde, P. Belliard, L.Lelait
Chromizing layer
and G.Zacharie, surf. Coat. Technol., 68/69(1994)582.
Titanizing layer
[4] M.Babich and B.Eremich, Sov.J.Friction Wear.,1(1990)114
Chromizing-titanizing layer
Weight loss (mg)

2 [5] Lou Baiyang, Mater.Pro.,4(1991)14

1.5
(The whole paper will be supplied by the authors if reader
1
needs it.)
0.5
0 100 200 300 400 500 600
Temperature ( ć )
Fig. 2 Wear resistance at elevated temperature

624
 Preparation and Polishing Performances of -Al2O3 /Fe2O3 Composite Particles
Preparation and Polishing Performances of -Al2O3 /Fe2O3 Composite Particles
Qionglin Yan, Hong Lei*, Yi Chen, Yuliang Zhu
Research Center of Nano-science and Nano-technology , Shanghai University , Shanghai 200444 , China
ABSTRACT
Chemical mechanical polishing (CMP) is the only finish
machining technique up to date for surface global
planarization. Recently, with the increasing demand of
improving the polishing performances while minimizing
roughness and defects of the polished surfaces, composite
particles as abrasive in slurries have been paid more attention.
In order to decrease micro-scratches because of the
agglomeration and high hardness of -Al2O3 abrasive and
improve surface quality of glass substrate, a kind of novel
-alumina/ferric oxide core-shell abrasive was prepared by
coating a film of Fe2O3 on the surface of -Al2O3 particle with
chemical co-precipitation method. The composite abrasive
was characterized by means of X-ray diffraction (XRD) and
laser particle size analyzer. Results of XRD show that the
crystal type of the coated Fe2O3 shell is hexagonal. Laser
particle size analyzer shows that the dispersibility of the
composite particles is better than that of pure -Al2O3 particles.
The CMP performances of the -Al2O3/Fe2O3 composite
abrasive on glass substrate were investigated by using
SPEEDFAM-16B-4M CMP equipment with different process
parameters. The analyses on the surface of polished glass
substrate indicate that slurries containing the -alumina/ferric
oxide composite abrasive exhibit lower surface roughness,
lower topographical variations and less scratch than pure
-alumina abrasive under the same testing conditions.
Keyword: Chemical–mechanical polishing (CMP); ¢-Al2O3/
Fe2O3 composite abrasive; Glass substrate
1. INTRODUCTION
Chemical mechanical polishing (CMP) is the only finish
machining technique for surface global planarization [1-3]. It
has become a more essential technique in manufacturing of
semiconductor and digital compact disc (CD) glass substrate
[4 ̢ 8]. And it is influenced by 16 process parameters,
including pressure, velocity, type of abrasive, concentrations
of various chemicals and so on. One of the major process
parameters is related to slurry compositions [9]. As the key
component in slurry, abrasive properties such as particle type,
size, shape and concentration play an important role in
determining the optimum CMP performances [10].
The slurry designed for optimal performance should
produce better removal rates, acceptable surface planarization,
low surface defects after polishing, and good slurry stability
[11]. Commonly used abrasive slurries include the
single-abrasive slurry (SAS), the mixed-abrasive slurry (MAS)
and the composite-abrasive slurry (CAS). The single-abrasive
slurry (SAS) consisting of only one type of abrasives, such as
silica, alumina, ceria, etc., has been widely studied [12-14]
and used in the commercial slurries, but just one kind of
inorganic abrasives used in slurries often leads to undesired
CMP performance. The mixed-abrasive slurry (MAS)
consisting of a mixture of two types of abrasives, such as
* Corresponding author
E-mail addresses: hong lei2005@yahoo.com.cn (H.Lei).
625
alumina–ceria and alumina–silica, shows improved CMP
performance in oxide CMP and Cu-CMP, respectively [15–17].
The composite-abrasive slurry contains abrasives which are
prepared by coated a different substance film on the surface of
abrasive particles.
Recently, with the increasing demand of improving the
polishing performances as well as minimizing roughness and
defects of the polished surfaces, composite particles as
abrasive in slurries have been paid more attention [18-21].
Ultra-fine -Al2O3 particles are usually used as the abrasive in
CMP slurryˈbut micro-scratches are often observed in the
polished surface because of the agglomeration and high
hardness of -Al2O3 particles. In order to decrease
micro-scratches and improve surface quality of glass substrate,
a kind of novel -alumina/ferric oxide core-shell abrasive was
prepared by coated a film of Fe O on the surface of -Al O
2 3 2 3
particle with chemical co-precipitation method in the present
paper.
2. EXPERIMENTAL
2.1 PREPARATION OF -Al O /Fe O COMPOSITE
2 3 2 3
ABRASIVE AND POLISHING SLURRY
2.1.1 PREPARATION OF -Al2O3 /Fe2O3 COMPOSITE
ABRASIVE
150 g -Alumina powder was added into 750 mL
deionized (DI) water and milled for 2 h in a vibrator
containing ZrO2 balls as abrasive. Then 15.2 g nitrate ferric
(Fe (NO3)3·9H2O) was added into the prepared -alumina
dispersoid in a three-neck flask under stirring and heating. The
certain amount of 10g/ml urea solution was slowly dropped
into the mixture when it was heated up to 100 ćThe mixture
continued to react at 100 ć for 2 hours until the urea
solution was used up. The mixture was deposited for 24 h, and
then the mixture was separated with a centrifuge to obtain
composite particles. The composite particles were purified by
dispersing in deionized (DI) water and following centrifugal
separation for five times. Finally, the precipitate was dried by
oven and calcined by muffle furnace keeping at 600 ć for 2
hours.
2.1.2 PREPARATION OF THE SLURRY
2.5 wt.% composite particles and 1 wt.% functional
additives were added to DI water in a container under
continuously stirring. Then the mixture was milled for 2 h in a
vibrator containing ZrO2 balls as abrasive. Finally, the mixture
was filtrated with a 0.0308 mm pore strainer.
2.2 CHARACTERIZATION OF -Al2O3/Fe2O3 COMPOSITE
ABRSIVE
The composite abrasive was characterized by means of
X-ray diffraction (XRD) and laser particle size analyzer. The
XRD was performed on a D8 Advance Bruker X-ray
diffractometer (Rigaku D/max2550v) with Cu K (=1.54056
A°) incident radiation. The 2 range used in the measurement
was from 10° to 90°. The sizes of the particles were tested by
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

ZLS380 laser particle size analyzer (NICOMP 380ZLS,

American Particle Sizing Systems).

2.3 POLISHING TESTS

Polishing tests were conducted with SPEEDFAM-
16B-4MCMP equipment (SPEEDFAM Co. LTD, Japan). The
process parameters: processing pressure was varied from100
KG to 140 KG; the lower plate rotating speed was varied
between 21 rpm and 24 rpm; polishing time was varied from
10 min to 180 min. The samples were 170 mm
sodium-calcium ground glass substrates. The polishing pad
was a Rodel porous polyurethane pad.
The polished glass substrates were washed with ultrasonic (a) Size distribution of pure alumina particles
in a cleaning solution. Then the polished surface topography
and roughness were measured by using atomic force
microscopy (AFM) (Digital Instrument Corp., USA) with the
resolution of 0.1 nm in vertical direction and 0.1 nm in
horizontal direction. The AFM operating mode was tapping
mode, and scan area was 5Ph5P. The surface average
roughness (Ra) was measured by using a Wyko optical profiler
(WYKO NT98, VEECO). The measuring vertical direction
area was 0.1 nm – 1 mm. The weight of glass substrate was
measured by using an analytical balance. The difference of
weight before and after polishing is material removal amount.

3. RESULTS AND DISCUSSION

3.1 STRUCTURE OF -Al2O3/Fe2O3 COMPOSITE
ABRASIVE
Fig.1 is XRD spectra of -alumina particles before and
after coating. The result shows that, by comparison with the
XRD spectra of -alumina particles, new diffraction peaks (at
2=24.119, 33.101, 35.511, 40.712, 49.440, 54.004, 62.343,
63.960) appear after coating, which is corresponding to Fe O
2 3
in the hexagonal crystal structure. In addition, the
characteristic diffraction peaks (at 2= 25.540, 35.12, 37.741,
43.32, 52.52, 57.48, 66.499, 68.180, 76.791) of -Al2O3
particles were weakened when they were coated with Fe2O3.
The particle size distribution of -Al2O3 particles before and
after coating is shown in Fig.2. Laser particle size analyzer
shows that the average size of composite abrasive is 328 nm
while that of pure -alumina particles is 528 nm. It implies
that the dispersibility of the composite particles is better than
that of pure -Al O particles.
2 3
Fig.1 XRD spectra of -alumina particles uncoated and
coated with 10 wt% Fe2O3
(b) Size distribution of the composite particles
Fig.2 Size distribution of -Al2O3 particles before and
after coating
3.2 CMP PERFORMANCE OF SLURRY CONTAINING
-Al2O3 /Fe2O3 COMPOSITE ABRASIVE
3.2.1 EFFECT OF DIFFERENT PROCESS PARAMETERS
ON MATERIAL AMOUNT AND AVERAGE ROUGHNESS
(Ra)
The appropriate polishing process parameters are
important to CMP process. The effects of polishing parameters
such as polishing time, down force and rotating speed on
material removal amount (MRA) and average roughness (Ra)
were investigated in glass substrate CMP with the prepared
-Al2O3 /Fe2O3 composite abrasive.
Fig.3 shows effect of rotating speed on material removal
amount and Ra. With the increasing of rotating speed, the
material removal amount of glass substrate increased (shown
in Fig.3(a)), which may be attributed to the increasing of
friction frequency between glass substrate, abrasive and
polishing pad. Fig.3b shows the relationship of the Ra and the
rotating speed. Initially, the Ra of glass substrate surface
decreases with the increasing of the rotating speed, but it
becomes rising beyond the speed of 23 r/min. This implies that
the high rotating speed caused more scratches. The highest
removal amount of 2.2 g was obtained when the rotating speed
was 24 r/min, but the lowest Ra was obtained at the speed of
23 r/min. Therefore, considering the material removal amount
and the surface average roughness, the suitable rotating speed
of glass substrate CMP was 23 r/min.
The relationship of material removal amount of glass
substrate and down force is shown in Fig.4. As the down force
increases, the material removal amount increases. It is seen
from Table.1 that, the lowest surface average roughness of
7.53 nm was obtained when the down force was 140 Kg. And

626
 Preparation and Polishing Performances of -Al2O3 /Fe2O3 Composite Particles
considering the Ra value of the polished glass substrate and
material removal amount, the suitable down force of glass
substrate CMP was 140 Kg.
(a)
(b)
Fig.3 Effect of rotating speed on (a) MRR and (b) Ra
(composite abrasive with 20% Fe2O3 coating, down force
is 140 kg, polishing time is 60 min)
Fig.4 Relationship of material removal amount and down
force
(composite abrasive with 20% Fe2O3 coating, rotating
speed is 23r/min, polishing time is 60 min)
Fig.5 shows the influence of polishing time on Ra and
MRA with composite abrasive (down force is 140 kg, rotating
speed is 23 r/min). At the beginning of polishing process, the
average roughness of the surface decreases rapidly, but it
almost shows no difference when polishing time increasing
627
from 60 min to 180 min. It means that the polishing time of 60
min is enough, and prolonging the polishing time cannot
improve surface planarization any more. The MRA increases
rapidly in initial polishing. When polishing time between 60
min to 120 min, the MRA varies little. After 120 min, the
MRA increases rapidly, implying that the material removal
mechanism may be changed here.
Table 1 Effect of down force on Ra
Down force
120 140 160
(Kg)
Ra (nm) 8.83 7.53 8.77
(a)
(b)
Fig .5 The influence of polishing time on Ra (a) and MRA (b)
(composite abrasive with 10% Fe2O3 coating, down force
is 140 kg, rotating speed is 23 r/min)
3.2.2 EFFECT OF COATED Fe2O3 CONTENT ON content
MRA AND Ra
Fig.6 shows the effect of the Fe2O3 coating content on the
material removal amount and Ra (polishing time is 60 minˈ
down force is 140 kg, rotating speed is 23 r/min). The result
indicates that with the increasing of Fe2O3 coating content,
material removal amount increases gradually, and the Ra value
of the polished glass substrate surface decreases except at 2 %
Fe2O3 coating content. The increasing of the material removal
amount may be attributed to the stronger chemical reaction
when the -Al2O3 particles were coated with Fe2O3. In
addition, the high Fe2O3 coating content may decrease the
hardness of pure -Al2O3 particles, which leads to the decrease
of surface scratches.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

glass substrate surface is 0.578 nm when polished by -Al2O3

/Fe2O3 composite abrasive, while Ra of that is 0.835 nm when
polished by pure alumina abrasive. In other words, the surface
of glass substrate polished by the composite abrasive becomes
smoother than that by pure alumina abrasive.

4. CONCLUSIONS
A kind of novel -Al2O3/ Fe2O3 composite abrasive was
prepared by chemical co-precipitation method. Results of
XRD show that the crystal type of the coated Fe2O3 shell is
hexagonal. The laser particle size analyzer indicates that the
-Al2O3/ Fe2O3 composite abrasive has better dispersion
stability than pure -Al2O3 abrasive. During the chemical
(a) mechanical polishing (CMP) of the glass substrate, the
-alumina/ferric oxide composite abrasive with high Fe2O3
coating content exhibits lower surface roughness, lower
topographical variations and less scratch than that of pure
-alumina abrasive under the same testing conditions.

ACKNOWLEDGEMENTS
The work was supported by National Natural Science
Foundation of China (Grant No 50575131), Natural Science
Foundation of Shanghai (Grant No 07ZR14039), Innovation
Program of Shanghai Municipal Education Commission
(Grant No 09ZZ86) and Leading Academic Discipline Project
of Shanghai Municipal Education Commission Project
(b)
Fig .6 the effect of the coated Fe2O3 content on MRA (a) and
Ra (b)
In order to investigate the difference of polishing
performances between the prepared -alumina/ferric oxide
core-shell abrasive and pure -alumina abrasive, the
morphology of polished glass substrate surfaces was analyzed
by AFM (shown in Fig. 7). It is found that Ra of polished
(a)
(b)
Fig.7 Surface morphology of glass substrates polished with
slurries containing different abrasive.
(a) With pure - Al2O3 abrasive. (b) With -Al2O3
abrasive coated by 10wt %Fe2O3.
628
Number J50102.
REFERENCES
[1] Farid, M., Masood, H., 1995, “Manufacturability of the
CMP process,” Thin Solid Films, 270, pp.612-615
[2] Lei, H., Luo J. B., 2004, “CMP of hard disk substrate using
a colloidal SiO2 slurry: preliminary experimental
investigation,” Wear, 257, pp. 461-470.
[3] Lei, H., Luo J. B., 2006, “Two-step chemical-mechanical
polishing of rigid disk substrate to get atom-scale
planarization surface,” Chin. J. Mech.Eng. 19, pp.496-499.
[4] Patrick, W. J., Guthrie, W. L., Standley, C. L., 1991,
“Application of chemical mechanical polishing to the
fabrication of VLSI circuit interconnections”, J. Electrochem,
Soc,138, pp. 1778-1784.
[5] Steiferwald, J. M., Muraaka, S. P., Getmann, R. J., 1997,
“Chemical Mechanical Planarization of Microelectronic
Materials”, Wiley.
[6] Lei, H., Lu, H.S., 2006, “Sub-nanometer precesion
polishing of glass substrate”, 7th International Conference on
Frontiers of Design and Manufacturing, V1, pp. 445-448.
[7] Lei, H., Zhang, P, Z., Lu, H.S., 2006, “Sub-nanometer
Precision Polishing of Glass Substrate with a Colloidal SiO2
Slurry”, Lubrication Engineering, 173, pp. 31-34.
[8] Wang, L. Y., Zhang, K.l., Song, Z. T., Feng, S. L., 2007,
“Ceria concentration effect on chemical mechanical polishing
of optical glass”, Applied Surface Science, 253, pp,
4951-4954.
[9] Sorooshian, A., Ashwani, R., Choi, H.K., 2004, “Effect of
particle interaction on agglomeration of silica-based CMP
slurries”, Materials Research Society Symposium Proceedings ,
816, pp. 125-131.
[10] Carpio, R., Farkas, J., Jairath, R., 1995, “Initial study on
copper CMP slurry chemistries”,Thin Solid Films, 266 , pp.
238.
[11] Yano, H., Matsui, Y., Minamihaba, G., Kawahashi, N.,
Hattori, M., 2001, Mater. Res. Soc. Symp. Proc. 671, pp. M24.
 Preparation and Polishing Performances of -Al2O3 /Fe2O3 Composite Particles
[12] Wang, J., Liu, Y. L., Zhang, J. X.,2005, “Novel SiO2
Slurry in CMP”, Technology Column,30, pp. 25-26.
[13] He, H.W., Hu, Y.H., Huang, K. L., Xu, J., 2002, “Factors
and Mechanisms Influencing Granularity Uniformity of
Nano-sized -Al2O3 Abrasives for preparing CMP”, Mining
and metallurgical engineering, 22, pp. 42-45.
[14]Chen, Y., Chen, J.Q., Chen, Z. G., Chen, A. L.,2004,
“Study on the CMP Mechanism and Property of Silicon Wafer
by Nan-sized CeO2 Abrasives”, electronic components and
materials, 23, pp. 46-48.
[15] Babu,S.V., Jindal, A., Hedge, S., 2001,US Patent 09/950,
pp.612.
[16] Jindal, A., Hegde,S., Babu, S.V., 2002, “Chemical
mechanical polishing using mixed abrasive slurries”,
Electrochem. Sol. State Lett., 5 ,pp. G48-G50.
629
[17] Jindal, A., Hegde, S., Babu, S.V., 2003 ,“Chemical
mechanical polishing of dielectric films using mixed abrasive
slurries”, J. Electrochem. Soc,. 150, pp. G314-G318.
[18] Singh, R.K., Bajaj. R., 2002, “Advances in
chemical-mechanical planarization,” MRS Bull. 27, pp.743.
[19] Lei, H., Zhang, P. Z., 2007, “Preparation of alumina/silica
core-shell abrasives and their CMP behavior,” Applied Surface
Science, 253, pp. 87548761
[20] Zhang, Z. F., Lei, H., 2008, “Preparation of
-alumina/polymethacrylic acid composite abrasive and its
CMP performance on glass substrate,” Microelectronic
Engineering85, pp.714720
[21] Lei, H., Lu, H.S., 2007, “Preparation of -alumina-g-
polyacrylamide composite abrasive and chemical mechanical
polishing behavior,” Thin Solid Films, 516, pp.30053008
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Effect of Gamma Irradiation on Friction and Wear Behavior of MoS2/Graphite Coatings in Vacuum
Jianqun Yang*, Yong Liu, Zhuyu Ye, Dezhuang Yang, Shiyu He
School of Materials Science and Engineering, Harbin Institute of Technology, Harbin 150001, China
(Extended Abstract)
ABSTRACT
MoS2 based coatings with graphite were bonded on an Al
substrate. the effect of gamma irradiation on the friction and
wear properties of MoS2/graphite coatings in vaccum is studied
under various sliding velocities and normal loads. X-ray
diffraction (XRD) was employed to determine the phase
structure of the coatings. Scanning electron microscopy (SEM)
was used to examine the morphology of the worn surface
before and after the gamma irradiation. The friction test results
show that the average friction coefficient of the unirradiated
and irradiated MoS2/graphite coatings against GCr15 steel is
decreased with increasing sliding velocity and normal load in
vacuum. The average friction coefficient has little changes
with irradiation. The wear test results show that the wear rates
of the unirradiated and the irradiated MoS2/graphite coatings
are increased with increasing both of sliding velocity and
normal load in vacuum. After sliding in vacuum, the worn
surface morphology of the unirradiated and the irradiated
MoS2/graphite coatings has the similar characteristics of
failure and adhesion. The above results show that the gamma
irradiation has limited effect on the friction and wear
properties of the MoS2/graphite coatings in vacuum.
Keywords: MoS2/graphite coatings, Vacuum, Irradiation,
Wear Mechanisms
INTRODUCTION
Molybdenum disulfide (MoS2) with a hexagonal structure
has widely application in space mechanisms as solid lubricant
due to its low friction coefficient and high bearing capacity [1,
2]. However, formation of oxide during the friction of the pure
MoS2 coatings in a humid atmosphere will cause increase in
friction coefficient and decrease in lifetime [3, 4]. Many
investigators have attempted to overcome this drawback. It has
been reported that metal (such as Ni, Au, Ti, Cr ) co-deposition
with MoS2 can improve its tribology performance and enhance
its moisture resistance [5-8]. The graphite possesses excellent
tribology characteristic due to the hexagonal close-packed
crystal structure. In a humid environment, such as water or
organic compounds, the graphite retains easy shear. Used as
solid lubricant, the graphite has been applied for a long time [9].
Composite coatings of MoS2 with graphite have been
investigated [10, 11]. It is reported that the anti-moisture
properties of MoS2-graphite film comparing with pure MoS2
film were improved [12]. However, the effect gamma
irradiation on tribological characteristics of MoS2/graphite
coatings in vacuum is hardly founded in the literature so far.
The purpose of the present investigation is to study the
effect of gamma irradiation on the friction and wear properties
of MoS2/graphite coatings in vacuum.
EXPERIMENTAL
The MoS2/graphite coatings with 20m thickness were
bonded on an Al substrate. The specimens are shaped in disk
with dimension of 70mm×10mm. The MoS2/graphite
Corresponding author: Tel: +86-451-86412462
Fax: +86-451-86415168
E-mail address: yang0903@gmail.com
630
coatings were irradiated by a 60Co gamma-ray source. In order
to study the effect of irradiation doses on tribology
characteristics of MoS2/graphite coatings, irradiation doses of
105, 106 and 107 rad were chosen. Irradiated MoS2/graphite
coatings with irradiation doses of 107 rad were ulteriorly
investigated. To determine the tribology characteristics of
unirradiated and irradiated MoS2/graphite coatings, friction
and wear tests were performed using a ball-on-disk type
tribometer. The counter couple is GCr15 bearing steel balls
(diameter in 10.318 mm). Tests were carried out in vacuum
with environmental pressure of 10-4 Pa at room temperature,
with normal load of 4-16 N, sliding velocity of 0.4-1.2 m/s, a
radius of the wear track of 3 mm and 1500 m sliding distance.
The disk and ball specimens were cleaned with acetone in an
ultrasonic cleaner before each friction and wear test. The
reported results are an average of three tests carried out on
similar samples.
The mass loss was determined by photoelectronic analytical
balance with a precision of 10-5 g. X-ray diffraction (XRD)
using CuK radiation was employed to determine the phase
composition. The wear tracks on the disk and ball specimens
were examined by scanning electron microscopy (SEM).
RESULTS and DISCUSSION
MICROSTRUCTURE CHARACTERIZATIONS
Fig. 1 shows the X-ray diffraction patterns of irradiated and
unirradiated MoS2/graphite coatings. The diffraction peak
positions of both are almost identical. There is slight increase
in intensity of Al diffraction peak of irradiated MoS2/graphite
coatings. It is speculated that the gamma irradiation has effect
on Al substrates and the adhesion of coatings on Al substrate
was improved by gamma irradiation[13]. According to Fig. 1,
the surface of the irradiated and unirradiated MoS2/graphite
coatings grows with the tribologically desired orientation of
the (002) basal plane parallel to the substrate interface[14].
Fig. 1 X-ray diffraction patterns of irradiated and
unirradiated MoS2/graphite coatings
TRIBOLOGICAL BEHAVIORS and MECHANISMS
Fig. 2 shows that the average friction coefficient of MoS2/
graphite coatings against GCr15 bearing steel has little variation
with irradiation doses. However, gamma irradiation reduces
the wear of MoS2/graphite coatings and the wear rate is
increased with increasing irradiation doses, as shown in Fig. 3.
This phenomenon may be attributed to the improved adhesion of
 Effect of Gamma Irradiation on Friction and Wear Behavior of MoS2/Graphite Coatings in Vacuum
MoS2/graphite coatings on Al substrate after gamma irradiation.
The average friction coefficient of unirradiated and
irradiated coatings against GCr15 bearing steel decreases with
increasing both sliding velocity and normal load in vacuum, as
shown in Figs. 4 and 5, respectively.
Fig. 2 Average friction coefficient as a function of
irradiation doses under 10 N and 0.8 m/s
Fig. 3 Wear rate of the coatings as a function of irradiation
doses under 10 N and 0.8 m/s
Fig. 4 Average friction coefficient as a function of
sliding velocity under 8 N
Fig. 5 Average friction coefficient as a function of
normal load under 0.8 m/s
631
The wear rate of unirradiated and irradiated coatings
increase with increasing sliding velocity and normal load in
vacuum, as shown in Figs. 6 and 7, respectively. The wear rate
of irradiated coatings rises quickly to a value of 1.78 mg/km
when load is greater than 12N. According to Fig. 7, it can be
noted that the wear rate of irradiated coatings has little changes
and is negative when sliding velocity is less than and equal
0.6m/s. However, the tranfer material from the counter couple
GCr15 is absent since the worn surface of GCr15 was little
worn and the tranfer flim was formed , as shown in Fig. 8. This
phenomenon may be effect of gamma irradiation on MoS2/
graphite coatings. Gamma irradiation can increase the surface
imperfection of MoS2/graphite coatings. The kind of coatings
is much more prone to absorb moisture from the air and the
wear rate is considerable low.
Fig. 6 Wear rate as a function of sliding velocity under 8N
Fig. 7 Wear rate as a function of normal load under 0.8 m/s
Fig. 8 SEM micrographs of wear tracks on GCr15 steel
Fig. 9 shows that the worn surface morphology of
unirradiated and irradiated MoS2/graphite coatings has similar
feature cracks and adhesion, of which is produced in vacuum.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
(a)
Crack
(b)
Adhesion
(c)
Adhesion
Crack
Fig. 9 SEM micrographs of wear tracks on coatings of
(a) and (b) unirradiated coatings under 8 N, 0.8 m/s;
(c) irradiated coatings under 12 N, 0.8 m/s
CONCLUSIONS
Friction and wear behavior of unirradiated and irradiated
MoS2/graphite coatings have been studied. The following
results were obtained.
(1) The average friction coefficient of MoS2/graphite
coatings against GCr15 steel has little changes with irradiation
doses. Gamma irradiation reduces the wear of MoS2/graphite
coatings and the wear rate is increased with increasing
irradiation doses.
(2) The average friction coefficient of the irradiated
MoS2/graphite coatings also decreases with increasing the
sliding velocity and normal load in vacuum. The wear rates of
the unirradiated and the irradiated MoS2/graphite coatings are
increased with increasing both of sliding velocity and normal
load in vacuum.
632
(3) After wearing in vacuum, the worn surface morphology
of the unirradiated and the irradiated MoS2/graphite coatings
has the similar characteristics of cracks and adhesion.
The above results show that the effect of gamma radiation on
the friction and wear properties of the MoS2/graphite coatings is
unobvious in vacuum.
REFERENCES
[1] Savan, A., Pfluger, E., Voumard, P., Schroer, A.,
Simmonds, M., 2000, “Modern solid lubrication: recent
developments and applications of MoS2,” Lubrication
Science, 12, pp.185-203.
[2] Fleishauer, P. D., Bauer, R., 1988, “Chemical and
structural effects on the lubrication properties of
sputtered MoS2 films,” Tribology Transactions, 31,
pp.239-250.
[3] Junan Wang, Deyang Yu, Jinlin Ouyang, 1994, “Study on
the mechanism of lubrication degradation and failure of
MoS2 sputtered films stored in the moist air,” Tribology,
14, pp.25-32.
[4] Fleishauer, P. D., Hilton, M. R., 1990, “Space tribology
in the USA,” Tribology International, 23, pp.136-139.
[5] Holbery, J. D., Pflueger, E., Savan, A., Gerbig, Y., Luo,
Q., Lewis, D. B., Munz, W. D., 2003, “Alloying MoS2
with Al and Au: structure and tribological performance,”
Surface and Coatings Technology, 169–170, pp.716–720.
[6] Yang Jing, Jianbin Luo, Siqin Pang, 2004, “Effect of Ti
or TiN codeposition on the performance of MoS2-based
composite coatings,” Thin Solid Films, 461, pp.288–
293.
[7] Fox, V. C., Renevier, N., Teer, D. G., Hampshire, J.,
Rigato, V., 1999, “The structure of tribologically
improved MoS2–metal composite coatings and their
industrial applications,” Surface and Coatings
Technology, 116–119, pp.492–497.
[8] Su, Y. L., and Kao, W. H., 2003, “Tribological behavior
and wear mechanism of MoS2-Cr coatings sliding against
various counterbody,” Tribology International, 36,
pp.11-23
[9] Kannel, J. W., Lowry, J. A., Dufrane, K. F., 1991,
Lubricant Selection Manual, NASA Marshall Space
Flight Center, Columbus, Ohio. ISBN 43210-2693.
[10] Jin, Y. S., Zhou, C. H., 1997, “The effectiveness of high
temperature lubrication by in situ formation of
graphite/MoS2 films,” Wear, 205, pp.77-87.
[11] Wilfried J. Barz, Jinfen Xu, 1991, “Wear behaviour and
failure mechanism of bonded solid lubricants,” Wear,
150-152, pp.231-246.
[12] Zeming Gu, 1987, “Investigation of the tribological
properties for MoS2-based co-sputtered films,” Solid
Lubricant, 4, pp.216-220
[13] Amitabh Jain, Sangeeta Srivastav., 1996, “Treatment of
MoS2 film by high-energy heavy ion beams,” Thin Solid
Films, 277, pp.128-131.
[14] Donnet, C., Martin, J. M., Le Mogne, Th., Belin, M.,
1996, “Super-low friction of MoS2 coatings in various
environments,” Tribology lnternational, 29, pp.123-128.
 Preparation of Silica / Alumina Composite Abrasives and Their CMP Behavior on Hard Disk Substrate
Preparation of Silica / Alumina Composite Abrasives
and Their CMP Behavior on Hard Disk Substrate
Fengling Chu, Hong Lei*
(Research Center of Nano-Science and Nano-Technology, Shanghai University, Shanghai, 200444, China)
(Extended Abstract)
ABSTRACT
Abrasives are one of the key influencing factors on the
surface quality during chemical mechanical polishing (CMP).
-alumina particles, as a kind of widely used abrasives in CMP
slurries, often cause surface defects due to their high hardness
and agglomeration. In this paper, silica / alumina composite
abrasives were prepared by co-precipitation and characterized
by means of XRD, XPS, TOF-SIMS and SEM. Further, the
CMP performances of alumina/silica abrasives on hard disk
substrate were investigated by using a SPEED FAM-16B-4M
CMP equipment. After polishing, the slurry containing the
).
prepared abrasives gives much lower topographical variations.
Keywords: Silica/alumina abrasives, Chemical mechanical
polishing, Hard disk substrate
INTRODUCTION
With the increasing higher demand of hard disk, chemical
mechanical polishing (CMP) has become one of the preferred
methods that are currently in use for both planarizing and
smoothing surface [1-5]. Abrasive is one of the key influencing
factors on the surface quality during the CMP. At present, the
traditional inorganic abrasives used in CMP slurries (such as
alumina [6], silica [2, 7], ceria[8]) often lead to undesired CMP
performance. -alumina particle has high material removal rate
(MRR) but its high hardness and agglomeration often leads to
more surface defects[14], and mono-dispersed spheres silica
[2] with narrow size distribution has lower topographical
variations but lower material removal rate (MRR). It has been
proved that the nano-particle impacts during CMP can lead to
nano deformations or damages in subsurface layer of the
silicon single crystal and Ni–P coating surface [5]. In recent
years, composite particles as abrasives in slurry have been paid
much attention [9-12]. Up to date, preparation of silica/
alumina composite abrasive and used in CMP of hard disk
slurry has not been reported. In the present paper, silica/
alumina abrasives were prepared and their chemical mechanical
polishing behavior on disk substrate has been studied.
1. EXPERIMENTAL METHODS
1.1 PREPARATION OF SILICA / ALUMINA
COMPOSITION ABRASIVE
Preparation of silica/alumina composite abrasives were
carried out by co-precipitation: a certain amount of 1.5mol/l
CO(NH2)2 and 0.3mol/l Al(NO3)3Φ9H2O solutions were added
in drops into 5 wt.% colloid SiO2 solution, under continuously
stirring at the reaction temperature of about 100ć, refluxed for
2h. The cooled mixtures were washed four times with
deionize(DI) water using a centrifuge, dried at 80ᲇ in a
vacuum oven and then sintered at 1200 oC for 2h using a heating
rate of 5 oC /min.
* Corresponding author
E-mail addresses: hong_lei2005@yahoo.com.cn (H.Lei).
633
1.2 CHARACTERIZATION OF SILICA / ALUMINA
COMPOSITION ABRASIVE
The purified silica / alumina composite particles were
characterized by X-ray diffraction (XRD), particle size analysis,
X-ray photoelectron spectroscopy (XPS), time-of-flight
secondary ion mass spectroscopy (TOF-SIMS) and scanning
electron microscope (SEM), respectively.
TOF-SIMS is performed with a Physical Electronics
TRIFT II instrument using a pulsed gallium ion beam with the
energy of 15 kV. The analytical region is 200×200 m2, and
post acceleration was 5 kV/5 kV (+/
XPS spectrum is obtained by a KRATOS XSAM 800
electron spectrometer using the Mg K line with pass energy
of 12.5 kV×18 mA. The binding energy of C1s (284.6 ev) was
used as reference.
SEM is accomplished using a JEOL JSM-6700F field
emission scanning electron microscope with the voltage of 15
kV.
1.3 PREPATION OF THE SLURRY
6 wt. % composite particles and 0.3 wt. % functional
additives were added into DI water in a container under
continuously stirring. After adjusting pH value to be between 1
and 4 by adding acid or alkali, the mixture was milled for two
hours in a vibrator containing ZrO2 balls as abrasives. Finally,
the mixture was filtrated with a pore strainer to get the slurry.
1.4 POLISHING TEST
Polishing test was conducted with a SPEEDFAM-16B-4M
CMP equipment (SPEEDFAM Co. Ltd.). The effect of the
slurry in silica / alumina on the polishing performances was
measured under polishing conditions as follows: processing
pressure of 70g/cm2, rotating speed of 25 rpm, processing
duration of 2.8 min, and slurry supplying rate of 300ml /min.
Work piece was 95/1.25mm aluminum alloy disk substrates
with Ni-P plated, the plated layer consists of about 85 wt. %
nickel and 15 wt.% phosphorus elements. The polishing pad
was a Rodel porous polyurethane pad.
After polishing, the substrate was washed with ultrasonic in
a cleaning solution containing 0.5 wt% surfactant in DI water.
Finally, they were dried by a multi-functional drying system.
The disk substrates in the slurry were evaluated by its surface
features by using an optical microscope.
2. RESULT AND DISCUSSION
2.1 STRUCTURE AND DISPERSIBILITY OF SILICA /
ALUMINA COMPOSITION ABRASIVE
Fig.1 shows the TOF-SIMS analysis of the composite
particle. Horizontal axis is ion mass, and vertical axis is number
of ions counted. In the cation ion spectra, it is seen that Si and Al
ions were present in the surface of the composite particles.
Fig.2 shows the XPS spectra of element Al of silica /
alumina composite particles. It can be seen that the binding
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
energy of Al 2p occurs at 79.8ev, corresponding to the
aluminum as Al2O3. It means that Al element exists in the
surface of the composite particles.
Fig.1 The TOF-SIMS spectra of the composite particles
Fig.2 The XPS spectra of element Al of the composite particles
Further, Table1 shows the elements on the surface of silica
and the composition particles. Compared with silica, Al element
exists in the composite particles. Also the concentration of Si
reduced and the concentration of O increased on the surface of
the composite particles. It means that Al element exists in the
surface of the composite particles.
Table 1 Elements on the surface of silica and the composite
particles
Fig.3 shows the XRD patterns of silica and the composite
particles. It is clear that diffraction peaks corresponding to the
peaks of alumina are visible in the diffractograms of the
composite particlesˈindicating that the crystal of alumina shell
on the silica is hexagonal .
Fig.3 XRD spectra of silica and the composite particles
634
The Scherrer equation(R =k/Bcos) was used to study the
crystallite size. Where R equals to the broadening due to small
crystallite sizes,  equals to the wavelength of the X-rays, 
equals to the Bragg angle, L equals to the average crystallite
size, k equals to a constant (at the best assumption, k equals to
1.0). It can be approximately got that the crystal size of the
composite particle is 12.44 nm.
In order to analyze the dispersibility of the composite
particles in aqueous medium, the morphologies were observed
by SEM as shown in Fig.4. It is found that the composite
particles disperse wellˈand It also shows that the average size
of the composite particle is about 400-500nm. In addition, the
size distribution of the composite particles is shown in Fig.5. It
shows that the average size of the composite particle is
525nm .It approximately coincides with the result of the SEM.
Fig.4 SEM images of the composite particles
Fig.5 The size distribution of the composite particles
2.2. CMP BEHAVIOR OF SLURRY CONTAINING THE
SILICA / ALUMINA COMPOSITION ABRASIVE
Micrographs of disk substrates before and after polishing in
the composite slurry are shown in Fig.6, respectively. It shows
that the prepared slurry gives lower topographical variations
than before polishing: the surface before polishing is very rough
with many scratches, after polishing in the prepared slurry, the
surface becomes smoother, and fewer scratches exist.
Fig.6 Surface profiles of disk substrates
 Preparation of Silica / Alumina Composite Abrasives and Their CMP Behavior on Hard Disk Substrate
The CMP performances of the silica / alumina abrasives
may be attributed to their special type structure. The hard -
Al2O3 shell on the softer SiO2 core can reduce the hardness of
only - Al2O3 particles and smooth the particle appearance.
Thus -Al2O3 shell may behave as a hard cushion, which can
increase the material removal rate. The real CMP mechanism
may be very complicated. More works need to be done on these
in the future.
3. CONCLUSIONS
1. SiO2 / Al2O3 composition abrasive with average crystallite
size of 12.44nm was prepared using coprecipitation.And the
abrasive has good dispersion stability in aqueous medium.
2. The slurry containing SiO2 / Al2O3 composition abrasives
exhibits good surface planarization and less scratch in the hard
disk substrate surface.
ACKNOWLEDGEMENTS
The work was supported by National Natural Science Foundation
of China (Grant No 50575131), Natural Science Foundation of
Shanghai (Grant No 07ZR14039), Innovation Program of
Shanghai Municipal Education Commission (Grant No 09ZZ86)
and Leading Academic Discipline Project of Shanghai Municipal
Education Commission ˄Project Number J50102˅.
REFERENCES
[1] B. Zhang, A. Nakajima, 2003, Tribol, Int.36 , pp.291.
[2] H. Lei, J.B.Luo, 2004, “CMP of hard disk substrate using a
colloidal SiO2 slurry: preliminary experimental investigation”,
Wear, 257, pp.461-470.
[3] US Patent 6, 2002,461,227 to Cabot microelectronics Co.,
Aurora, IL.
635
[4]J. Xu et al, 2006, Applied Surface Science 252,
pp.5846–5854.
[5] H.Lei, P.Zhang, 2007, “Preparation of Alumina/Silica
composite abrasive and their CMP behavior”, Applied Surface
Science, 253 pp.8754–8761.
[6] Lei H, Luo J B, Lu X C, 2006, “Two-step chemical
mechanical polishing of rigid disk substrate to get atom-scale
planarization surface”, Chinese Journal of Mechanical
Engineering,19 (4) , pp.496–499.
[7]Lei H, Zhang P Z, Lu H S, 2006, “Sub-nanometer precision
polishing of glass substrate with a colloidal SiO2 slurry”,
Lubrication engineeringˈ31(1) , pp.31-34(in Chinese).
[8]Li X ZˈChen YˈChen Z G, et al, 2007ˈ“Preparation of
CeO2 nanoparticles and their chemical mechanical polishing
as abrasive”, Tribology, 27(1) , pp.1-5(in Chinese)
[9]J.B. Luo, X.F. Xu, J. Yang, et al., 2005, “Movements and
collisions of nanoparticles in two phase flow”, Proceedings of
the World Tribology Congress, vol. III, pp. 355–356.
[10]Sung-WooPark,Chul-BokKim,Sang-YongKim,Yong-JinSe
o, 2003,Microelectron,Eng.66, pp.488-495.
[11]K.Nobuo, H.Masayuki, 2001, “Chemical Mechanical
Polishing 2001-Advances and Future Challenges”,Materials
Research Society Symposium Proceedings, vol.671, p. M 2.2.1.
[12] H.Lei et al, 2008, “Preparationof -alumina-g-
polyacrylamide composite abrasive and chemical mechanical
polishing behavior”, Thin Solid Films, 516, pp. 3005–3008.
[13] Z.Zhang, H.Lei, 2008, “Preparation of a-alumina/
polymethacrylic acid composite abrasive and its CMP
performance on glass substrate”, Microelectronic Engineering,85,
pp. 714-720.
[14] R.Vacassy, R.J. Flatt, H. Hofmann, 2000, “Synthesis of
microporous silica spheres”, J. Colloid Interf. Sci, 227, pp. 302.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Extended Abstract

636
Friction Properties of Laser Surface Texturing and Molybdenum Alloying Duplex-Treated Ni-Based Alloy

637
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Erosion Characteristic in Ultrasonic Cavitation Experiment
Luo Jing / Wuhan Research Institute of Materials
Protection, Wuhan 430030, China
(Extended Abstract)
ABSTRACT
Cavitation erosion is accomplished by a magnetostrictive
transducer at different experiment input powers on a series of
column steel samples. The bubbles on the sample surfaces are
observed on different times. The photo records show that
cavitation bubbles which are distributed on the sample surface
like tree branches. It is analyzed that the treelike patterns are
formed by the viscous fingers branch effect. The experiment
results show that the degree and mode of erosion are decided
by the distribution of bubbles and the input power. The
cavitation erosion appearances of the samples are measured by
a 3D surface measuring system on the given time. By the
analysis of the surface, it is found the single hole is deepening
and expanding to combine and form pits, which are extended
outwards at lower power and inwards at higher power. But in
the late time, the pits are hardly deepening and the erosion is
becoming uniform. It is concluded that the cavitation erosion
appearances are decided by the distribution structure and
thickness of bubbles.
Keywords: Cavitation, Erosion, Bubble, Appearance, Ultrasonic
INTRODUCTION
Ultrasonic cavitation is a phenomenon that nonlinear
time-varying acoustic waves induced into a liquid medium
rupture the liquid apart to create transient bubbles when the
tensile stress exceeds the cavitation threshold [1]. The
cavitation pressure engendered by the violent transient collapse
of cavitating bubbles can cause many physical effects such as
mechanical effects like erosion and pitting of solid surfaces.
Many investigations show the local distribution of bubbles and
their action is inhomogeneous [2]. Acoustic bubbles are
generally localized by the configurations of filaments, clusters,
or layers and their positions are almost stationary and the
bubble field oscillates as a function of the acoustic intensity
periodically [2-5]. However, the ultrasonic cavitation is so
complex that few studies have been devoted to the investigation
of predicting the spatial distribution and properties of cavitation
around a sonic-reactor, which is important and still a
challenging task. In this study, the bubbles distribution on the
surface and the corresponding erosion appearances are
investigated.
EXPERIMENT EQUIPMENT
The experiment of cavitation erosion is accomplished by a
20 kHz horn type magnetostrictive transducer which can
deliver a maximum power of 1000 W. It is implemented as
shown in Fig.1. The diameter and height of sample whose
material is 45steel are 24 mm and 10 mm. The roughness of the
emitting surface (Ra) is around 0.03 μm. The samples was
equipped on the bottom of the horn and immerged into the
water 5 mm. The distance between the sample and the bottom
of the water bath is 140 mm, double of the wave length. The
experimental liquid is pure tap water.
*corresponding author.
E-mail address: lijianwuhan@tom.com.
Li Jian* / Wuhan Research Institute of Materials
Protection, Wuhan 430030, China
Ultrasonic generator
Amplitude transformer
Sample
Water bath
Fig.1 Schematic of the magnetostrictive transducer
EXPERIMENTAL RESULTS
The bubbles distributions on the sample emitting surface
and the cavitation erosion appearances of the samples on the
recorded time at the input powers of 20 W, 80 W and 300 W are
shown in Fig.2, Fig.3 and Fig.4 respectively.
BUBBLE DISTRIBUTION
To the naked eye, the bubble pattern which consists of
individual bubbles appears a fractal structure as connected
filamentary branches at a lower input power as in Fig.2, but the
surface is covered with bubble cloud or cluster that branches is
not apparent except the boundary at a higher input power as in
Fig.4. The bubble layer and branches and the conical shape
streamer where bubbles are centralizing to the center region are
thicker with the increasing of the input power. These
filamentary branches or cloud on the surface are stationary in a
period and becoming uniform as the experiment time is
increasing when the sample surface is rougher. It is concluded
that the roughness of the surface can affect the bubbles
distribution.
When a less viscous fluid is injected into a more viscous
one in a radial Hele Shaw cell⧎the same pressure difference
over a shorter distance where the top of a protuberance of the
less viscous fluid body is closer to the edge of the cell than the
rest of the interface means a greater flow velocity. Because the
velocity depends inversely on this distance, the protuberance
grows faster. In a self-similar mode, subsequent protuberances
grow on to form branches. The mode is defined as viscous
fingers branch [6-7]. Bubbles are generated and centralized
around the surface of sample when ultrasonic is in the negative
phase. As the ultrasonic is in the positive phase, the vibration
direction of the sample is same as the gravity, and the
buoyancy of bubble is up, therefore this condition can be
considered that bubble group in the center region is impacting
the sample surface and injected into the water. Because the
viscosity of bubble is far less than the water, the surface pattern
results the viscous fingers branch effect. Therefore, it is
speculated that the bubble branches is sensitive to the
amplitude of the sample, the roughness of the surface and the
viscosity difference between water and bubble.
638
 Erosion Characteristic in Ultrasonic Cavitation Experiment
30 min 6h
12h 24h 48h
Fig.2 The bubbles distributions on the sample surface and the
cavitation erosion appearances of the sample on the recorded
time at the power of 20 W in the experiment
30 min 6h
12h 24h 48h
Fig.3 The bubbles distributions on the sample surface and the
cavitation erosion appearances of the sample on the recorded
time at the power of 80 W in the experiment
30min 6h
12h 24h 48h
Fig.4 The bubbles distributions on the sample surface and the
cavitation erosion appearances of the sample on the recorded
time at the power of 300 W in the experiment
CAVITATION EROSION APPEARANCE
The differences of the erosion appearances of the samples
generated at different input powers are notable. At the lower
power, the cavitation erosion is started from the center of the
sample surface and expanded to the marginal region as time
increasing. At the higher power, the cavitation erosion exists in
the entire surface except the margin and the erosion is uniform
in the center but severer in the boundary where actinomorphic
pits are generated. It is interesting that severe erosions in
middle power which are in center and boundary simultaneously
639
seem a combination of erosions in a lower and a higher power.
A lossless annular region where the steel is still glazed exists at
each sample margin and whose width changes little with the
increasing of time.
By the analysis of the surface measuring system, it is found
that the single hole is deepening and expanding to combine and
form pits, which are extended outwards at lower power and
inwards at higher power. But in the late time, the holes are
hardly deepening and the erosion is becoming uniform in the
entire surface. It is concluded that the bubble is densest in the
center where the cavitation is intensest, but the cushion and
damper action of bubbles weakens the intensity of shock waves
and the velocity of jet, therefore the damage of the center
region of sample is less than the boundary at a high input power.
In the investigation [8], the cushion and damper action of water
weakening the pressure of bubble to the solid wall is discussed.
So, the cavitation erosion appearances are decided by the
distribution structure and thickness of bubbles.
CONCLUSIONS
The distribution of bubbles and the erosion appearance are
related to the input power and the experiment time. Bubble
patterns are fractal structures by the viscous fingers branch
effect. Accordingly, Erosion appearances are decided by the
distribution of bubbles. Though the cavitation is intensest in the
center where the bubble is densest, the cushion and damper
action of bubbles weakens the erosion intensity as the bubble
layer is too thick, which leads to the differences of erosion
appearances at different input powers.
ACKNOWLEDGEMENTS
The authors would like to thank the support provided by
National Natural Science Foundation of China (No.50432020)
and National Scientific and Technical Project of China (No.
2007CB607603). And we also thank the assistant engineer Mr.
Wang Ding for the experiment.
REFERENCES
[1] Philipp, K., Dagmar, K., Topi, T., Robert, M., Werner, L.,
2004, “Bubble path simulations in standing and traveling
acoustic waves,” 18th International Congress on Acoustics,
pp.3571-3572.
[2] Appel, J., Koch, P., Mettin, R., Krefting, D., Lauterborn, W.,
2004, “Stereoscopic high-speed recording of bubble
filaments,” Ultrasonic Sonochemistry, pp. 39–42.
[3] Moussatov, A., Mettin, R., Granger, C., Tervo, T., Dubus, B.,
Lauterborn, W., 2003, “Evolution of acoustic cavitation
structures near larger emitting surface,” 5th World Congress
on Ultrasonics, pp.955-958.
[4] Robert, M., 2007, “From a single bubble to bubble
structures in acoustic cavitation,” Oscillations, Waves and
Interactions, pp. 171–198.
[5] Mettin, R., Koch, P., Lauterborn, W., 2006, “Modeling
acoustic cavitation with bubble redistribution,” Sixth
International Symposium on Cavitation, pp. 1–5.
[6] Johann, N., 1986, “Fractal viscous fingering: experiments
and models,” Physica, 140, pp.124-133.
[7] Lindner, A., Derks, D., Shelleya, M. J., 2005, “Stretch flow
of thin layers of Newtonian liquids: Fingering patterns and
lifting forces,” Physics of Fluids, 17, pp.072107
[8] Jing, L., Jian, L., Guangneng, D., “Two-dimensional
simulation of the collapse of vapor bubbles near a wall”,
Journal of Fluids Engineering, in press.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Modification Effects of Potassium Titanate Whisker on the Water Absorption and Tribological
Properties of PTFE Composites
Jiahua Zhu, Yijun Shi, Xin Feng *, Huaiyuan Wang, Xiaohua Lu

State Key Laboratory of Materials-oriented Chemical Engineering, Nanjing University of Technology,

Nanjing 210009, China

(Extended Abstract)

ABSTRACT were commercially obtained.

In this work, the modification effects of PTW on the water
2.2 SPECIMEN PREPARATION
absorption and tribological properties were studied.
PTFE and the PTW powder mixtures with mass fraction
n-octadecyltrichlorosilane (OTS), silane coupling agent
(KH-560) and fluoric surfactant (FSK) were used. Water (PTFE: 80%; PTW: 20%) were prepared. The compression
absorption tests reveal that the concentration of water at was carried out under 70 MPa for 5 min. The resulting PTFE
equilibrium increases as the temperature increases. After composite block was sintered at 380ć for 4 hours and cooled
surface modification on PTW, the anti-water capacity improved to the ambient temperature.
for all samples. Tribological results show that PTW (OTS) 2.3 WATER ABSORPTION CHARACTERIZATION
/PTFE composite acquires the lowest wear rate and kept stable The samples were set in an airproof container, the relative
when exposed to varied water content. Optimum water contents
humidity were maintained by controlling the temperature of air
exist for PTW (untreated)/PTFE and PTW (FSK) /PTFE
composites with respect to wear resistance. However, it is a oven under 25, 50 and 80ć, respectively. Samples were
more complex situation of wear rate for KH-560 treated gravimetrically measured each hour till constant weight.
composites and a tribochemical mechanism is also suggested in 2.4 TRIBOLOGICAL CHARACTERIZATION
this work. The friction and wear tests were conducted on a
Keywords: PTFE, Potassium titanate whisker, Water ring-on-ring friction and wear tester. The counter-face material
absorption, Friction and Wear, n-octadecyltrichlorosilane
is steel 45. Sliding was performed under dry friction and
1. INTRODUCTION ambient conditions (temperature: 25ć, humidity: 50±5%) at
sliding velocities of 1.4 m/s, normal load of 150N. Test time:
Humid ageing is widely recognized as one of the main
factors of long-term failure of polymer composites [1]. Industrial 60 min.
facts indicate that water (liquid, gas) play a significant role in
3. RESULTS AND DISCUSSION
the tribological and mechanical properties of polymer
composites. Especially, in dynamic sealing systems, excessive 3.1 WATER ABSORPTION BEHAVIORS
water would introduce detrimental effects on the performance 3.1.1 EFFECTS OF TEMPERATURE ON EQUILIBRIUM
WATER CONCENTRATION
of sealing materials, and ultimately, decrease the duration of life.
Therefore, much relative research work focusing on the water Table 1 Selected experimental data for water absorption test
absorption and other crucial properties of polymer composites
Testing 25ć 50ć 80ć
have been conducted in recent decades [2, 3].
conditions 4h* 8h* 4h* 8h* 4h* 8h*
It is well-known that the presence of water will lubricate the
surfaces in contact and reduce the coefficient of friction. Unmodified 26.6 34.7 34.1 68.6 36.9 81.5
However, water molecules diffuse readily into the free volume OTS 16.8 28.4 20.3 46.9 29.1 57.2
of the polymer and swelling thus occurs due to the penetration FSK 20.1 26.9 21.8 49.4 33.6 60.4
of water molecules into the polymer [4]. Plasticization, which KH-560 9.11 14.0 12.4 35.8 21.6 43.3
results in the reduction of stiffness, hardness and brittleness, * indicates the value is in the unit of 10 -4g/cm3
would be occurred in the surface of polymers. Moreover,
interfacial relaxation occurs due to water absorption in The equilibrium water content increased as the temperature
fiber-polymer composites [5]. Thus, restricting composites increased gradually from 25 ć to 80ć. According to the
from water absorption is significantly important and surface research by I. Merdas [1], we can qualitatively compare the
modification [6] is widely used. results through calculation. And the experimental data well
conformed to the calculated results.
2. EXPERIMENTAL 3.1.2 EFFECTS OF SURFACE MODIFICATION ON
2.1 MATERIAL EQUILIBRIUM WATER CONCENTRATION
PTFE was obtained from Dupont (7A-J, commercial The PTW (unmodified)/PTFE composite exhibits
product). PTW was self-made with an average diameter of significantly larger equilibrium water concentration than other
1m and average length of 20m. OTS, KH-560 and FSK surface modified PTW/PTFE composites (Fig.1). After surface
modification, the -OH groups on the PTW surface would
significantly reduced and this limits the water absorption, which
*To whom all correspondence should be addressed.
can be explained by Han-Seung Yang’s work [3].
xfeng@njut.edu.cn

640
 Modification Effects of Potassium Titanate Whisker on the Water Absorption and Tribological Properties of PTFE Composites
Fig. 1 E* water concentration of PTW/PTFE composites
under different temperatures
3.2 TRIBOLOGICAL PROPERTIES OF COMPOSITES
3.2.1 WEAR PROPERTY
The specific wear rate of PTW/PTFE composites
against contained water is investigated. Composite filled
with OTS modified PTW shows the lowest wear rate and keeps
stable as the water content increases. Similar wear curves are
observed for unmodified and FSK modified PTW/PTFE
composites, optimum water content with best wear resistance
exists around 0.1 wt. %. KH-560 modified composite shows
special wear curve, and a tribochemical mechanism is
suggested.
3.2.2 FRICTION PROPERTY
As seen in Fig. 2, the friction coefficient was obviously
lower and stable under any water content for OTS modified
Fig.2 Friction coefficient under different water content for
unmodified and modified PTW/PTFE composites
641
PTW/PTFE composite, which is in good agreement with the
stable wear rate curve. The other samples show relatively higher
and fluctuant values of friction coefficient as the water content
increases.
4. CONCLUSIONS
(1) Equilibrium water concentration increases as the
temperature increases for various PTW/PTFE composites.
(2) The anti-water capacity of PTW/PTFE composites
enhanced after surface modification. PTW (KH-560) /PTFE
composite exhibited the best anti-water ability and followed by
PTW (OTS) /PTFE and PTW (FSK) /PTFE composites.
(3) Significant improvement of wear and friction properties
would be observed when PTW was modified with OTS.
KH-560 plays a detrimental role in wear resistance under the
existence of water vapor.
REFERENCES
[1] Merdas, I., Thominette, F., Tcharkhtchi, A., Verdu, J., 2002,
“Factors governing water absorption by composite matrices,”
Compos. Sci. Technol., 62, pp. 487–492.
[2] Cantero, G., Arbelaiz, A., Llano-Ponte, R., Mondragon,
I.,2003, “Effects of fibre treatment on wettability and
mechanical behaviour of flax/polypropylene composites,”
Compos. Sci. Technol., 63, pp. 1247–1254.
[3] Yang, H.S., Kim, H.J., Park, H.J., Lee, B.J., Hwang, T.S.,
2006, “Water absorption behavior and mechanical properties
of lignocellulosic filler–polyolefin bio-composites,”
Composite Structures, 72, pp. 429-437.
[4] Scheirs J. 2000, Compositional and failure analysis of
polymers-A practical approach. Chichester: John Wiley and
Sons.
[5] Tsenoglou, C.J., Pavlidou, S., et. al, 2006, “Evaluation of
interfacial relaxation due to water absorption in fiber-polymer
composites,” Compos. Sci. Technol., 66, pp. 2855-2864.
[6] Demir, H., Atikler, U., Balko¨se, D., Thmnloglu, F., 2006,
“The effect of fiber surface treatments on the tensile and water
sorption properties of polypropylene–luffa fiber composites,”
Composites: Part A, 37, pp.447–456.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Influence of the C+-Implantation Dose on the
Wetting and Adhesion Properties of Silicon Surfaces
D. G. Wang1, D. K. Zhang2,*
1
College of Mechanical and Electrical Engineering, China University of Mining and Technology, Xuzhou 221116, China
2
College of Materials Science and Engineering, China University of Mining and Technology, Xuzhou 221116, China
ABSTRACT
Single crystal silicon wafers with the crystal orientation of
(111) were implanted by carbon ion with the energy of 80 keV
and doses of 2×1015 ions/cm2, 2×1016 ions/cm2 and 1×1017
ions/cm2. The crystal structures and chemical bondings of
silicon surfaces after C+-implantation were analyzed by XRD
and XPS, respectively. Distributions of radiation damages to
the single crystal silicon substrate by different C+-implantation
doses were calculated by TRIM program. The
micro-morphologies of silicon surfaces before and after
C+-implantation were observed and their surface roughnesses
were demonstrated by means of MicroXAMTM high-accuracy
3D profiler. Contact angles of silicon surfaces before and after
C+-implantation were measured using JY-82 contact angle
goniometer to evaluate the influence of the C+-implantation
dose on the wetting properties of silicon surfaces. Adhesive
forces of silicon surfaces before and after C+-implantation were
measured using AFM to study the change laws of adhesive
forces with the C+-implantation doses. The results showed that
the crystal structures changed and lots of C and some SiC were
present at the silicon surfaces after C+-implantation.
C+-implantation led to the radiation damage structure and lots
of micro holes of the silicon surface. Their surface roughness
and surface contact angles increased, the wetting properties got
worse and surface energies were lower than those of the single
crystal silicon. With the increase of the C+-implantation doses,
surface damages got heavier, the surface roughness increased,
the contact angle increased at first and then decreased, the
wetting property changed from worse to better and the surface
energy decreased firstly and then increased. The adhesive
forces of silicon surfaces increased with the increase of the
relative humidity. At the same humidity, the adhesive force of
the silicon surface decreased at first and then increased with the
increase of the C+-implantation dose.
Keywords: Single crystal silicon, Ion implantation, Surface
energy, Micro-mophology, Adhesive force
INTRODUCTION
Research on MEMS (Micro-Electro-Mechanical System) is
the frontier field of the mechanical science in the 21st century
with wide application prospects such as biomedical, aerospace,
military, industrial and agricultural fields, etc. Stiction is a
peculiar phenomenon of MEMS and NEMS
(Nano-Electro-Mechanical System). When the strength of
structure materials satisfies the demands, the stiction is one of
the major failure factors of MEMS [1]. Surface modification of
the microstructure materials has been an effective means of
restraining stiction and enhancing the stability of Microsystems
[2]. Silicon materials are widely used in MEMS and many
researchers have focused on surface modification of them by
ion implantation to improve their micro-friction and
micro-mechanical properties. Miyamoto et al. [3] have studied
the micro tribological properties of the silicon wafers before
and after carbon or nitrogen ion implantation and evaluated that
D.K. Zhang, TEL:13952207958
642
ion implantation as a means of surface modification improved
the micro-tribological and wear properties of the single crystal
silicon. Dekun Zhang et al. [4] asserted that C+-implantation
could change the structure of the silicon surface, influence the
mechanical properties and improve the micro-tribological
behaviors of the silicon wafer. Rong Sun et al. [5] claimed that
C+-implantation increased the anti-wear properties and
adhesion of deposited amorphous carbon films on single crystal
silicon substrates significantly. Ueda et al. [6] found that the
nanohardness and the contact angles of silicon wafers
implanted with nitrogen and carbon ion respectively both
increased. Xuemei Xing et al. [7] carried out C+-implantation to
the p type (100) silicon substrate at the high temperature and it
indicated the formation of good crystalline SiC buried layer
after annealing treatment and an epitaxial alignment with
silicon substrates. However, there are few reports about the
wetting and adhesion properties of silicon surfaces after
C+-implantation. In this study, the influence laws of
C+-implantation dose on the wetting and adhesion properties
was investigated according to XRD, XPS, measurement of
contact angles, micro-morphology, radiation damage and the
adhesive force test.
EXPERIMENTAL DETAILS
Single crystal silicon wafers with the crystal orientation of
(111) which have the diameter of 40 mm and thickness of 320
m were selected in the experiment. After cleaned
ultrasonically in acetone and ethanol respectively, these silicon
wafers were implanted with carbon ions on the LC-4 high
energy ion implantor. The implantation energy was 80keV and
according to different implantation doses the samples were
listed as follows: 1#, 0; 2#, 2×1015 ions/cm2; 3#, 2×1016
ions/cm2; 4#, 1×1017 ions/cm2.
The X-ray diffraction tests were carried out by means of the
D/Max-3B X-ray diffraction instrument to measure the crystal
structures of the silicon surfaces applying the continuous
scanning mode and scanning velocity of 39/min. Chemical
bondings of silicon surfaces after C+-implantation were
conducted using the ESCALAB MK II electron spectrometer.
The silicon wafers was sputtered by Ar lance with the scanning
rate of 2 nm/min and energy of 3 keV. Micro-morphologies of
silicon wafers before and after C+-implantation were observed
and their surface roughnesses were obtained with the
MicroXAMTM high-accuracy 3D profiler. Contact angles of
silicon wafers before and after C+-implantation were measured
using JY-82 contact angle goniometer at room temperature and
ambient humidity. The contact angle of each sample was
acquired by averaging the values measured at six different
parts.
Adhesive force tests of silicon surfaces before and after
C+-implantation were performed on a Multimode TM SPM
(Scanning Probe Microscope) at the relative humidity of 33%
and 70%, respectively. The instrument used the NP-S type
silicon nitride veoco nano probe TM tips with the spring
constant of 0.58 N/m, nominal tip radius of curvature of 20~60
nm, length of 100m and the scanning rate of 2.0 Hz.
 +
Influence of the C -Implantation Dose on the Wetting and Adhesion Properties of Silicon Surfaces
RESULTS AND DISCUSSIONS
X-RAY DIFFRACTION ANALYSIS
Figure 1 shows the X-ray diffractions of the single crystal
silicon and silicon wafers implanted by carbon ion with the
dose of 2×1016 ions/cm2 and energy of 80 keV. A weak
diffraction peak emerging at about the 2 angle of 69° for the
C+-implantated silicon wafer can be observed in comparison to
two strong diffraction peaks appearing at about the 2 angles of
29° and 59° for the single crystal silicon. The result
demonstrates that C+-implantation changed the crystal
structures of silicon materials to the structures with the
irregular arrange of silicon atoms and the disorder of the crystal,
which is different from the regular arrange of the crystal and
crystal face of the single crystal silicon.
Fig 1 X-ray diffractions of the silicon wafers before
and after C+-implantation
XPS ANALYSIS
Figure 2 presents the XPS surface spectra of the silicon
wafer after C+-implantation with the dose of 1×1017 ions/cm2
and energy of 80 keV. The result shows that C1s peak value
increases firstly and then decreases and Si 2p as well as Si 2s
peak values both increase with the increase of sputtering levels
Fig 2 XPS surface spectra of the silicon wafer after C+-implantation
643
after C+-implantation to the single crystal silicon. Therefore,
the C+-implanted silicon surface mainly contains lots of carbon
and some oxygen. The carbon atoms in the subsurface decrease
and the silicon atoms increase accordingly. The O1s peak is
estimated to be caused by the physical adsorption of oxygen on
the silicon surface. Other elements in the spectra may be
influenced by the base of Ar+ magnetron sputtering target.
Figure 3(a) and (b) are XPS spectras of Si 2p and C 1s for
the silicon wafer after C+ implantation with the dose of 1×1017
ions/cm2 and energy of 80 keV for different Ar+ sputtering
levels, i.e. in different silicon wafer depths. The characteristic
peak values of the two spectras indicate there are lots of carbon
and some silicon carbides at the silicon surface. That’s because
Si 2p signal shifts from the typical binding energy value for
Si-C bonds(100.9 eV) to the lower binding energy value (99.5
eV) for Si-Si bonds with the increase of the sputtering level.
XPS spectra of Si 2p presents a vanishing C concentration in
the greater depth and shows that Si here is exclusively bonded
to Si. The C 1s peak shifts from the typical binding energy
value for bonded C (284.7 eV) to the lower characteristic
binding energy value for C-Si (283 eV) [8, 9, 10].
RADIATION DAMAGE AND SURFACE MORPHOLOGY
Distributions of radiation damage to the single crystal silicon
surfaces with different C+-implantation doses was calculated by
TRIM program as figure 4 displays. The silicon surface
produces the radiation damage and sputtering effect and forms
the dense dislocation owing to the carbon ion bombardment
caused by C+-implantation. Comparing (a) and (b) in figure 4,
it can be concluded that the larger the C+-implantation dose, the
heavier the carbon ion bombardment as well as the damage of
the surface and the dislocation [11]. However, when the
C+-implantation dose increased to 1×1017 ions/cm2, the damage
zone could efficiently capture the excess interstitial defects
induced by the C+- implantation in order that the radiation
enhanced diffusion was not obvious [12].
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

4
6x10
E tc h L e ve l 0 S i- C S i- S i
4
E tc h L e ve l 1
5x10 E tc h L e ve l 2
E tc h L e ve l 3

Counts / s
4
4x10

4
3x10

4
2x10

4
1x10

0
106 104 102 100 98 96

B in d in g e n e r g y / e v
(a) XPS spectra of Si 2p
5
1 .0 x 1 0 E ta c h le v e l 0
C -C C -S i
E ta c h le v e l 1
8 .0 x 1 0
4 E ta c h le v e l 2
E ta c h le v e l 3
Counts / s

4
6 .0 x 1 0

4
4 .0 x 1 0

4
2 .0 x 1 0

0 .0
292 290 288 286 284 282 280
B in d in g e n e r g y / e v
(b) XPS spectra of C 1s
Fig 3 XPS spectras of Si 2p and C 1s for the silicon wafer after C+ implantation

Figure 5 (a) and (b) show the micro-morphologies of the

silicon surfaces with different C+-implantation doses. The
silicon surface is smooth though there are some micro structure
defects. Lots of micro holes exist at the silicon surface after
C+-implantation because of radiation damage and their surface
roughnesses are larger. With the increase of the C+-implantation
dose, the surface damage becomes heavier and the roughness
increases [13, 14], as figure 6 shows.
WETTABILITY ANALYSIS
Figure 7 displays the histogram of surface contact angles of
silicon surfaces with different C+-implantation doses at room
temperature and ambient humidity. Surface contact angles of
the silicon surfaces after C+-implantation are significantly (a) 80 keV, 2×1015
larger than the surface contact angle of the single crystal silicon. i / 2
With the increase of the C+-implantation dose, the surface
contact angle of the silicon surface increases at first and then
decreases.
Surface contact angles are closely related to bonds and
microstructures of silicon surfaces. The single crystal silicon is
very hydrophilic owing to the natural oxide layer and plenty of
hydroxies of its surface. XRD and XPS analysis show that lots
of C and some SiC which are very hydrophobic are present at
silicon surfaces after C+-implantation. Surface hydrophobic
C-C bonds increased firstly and then decreased with the
increase of the C+-implantation dose. It is found that the surface
roughnesses of the silicon surfaces after C+-implantation are
larger than that of the single crystal silicon from radiation
damages and surface morphologies and surface roughnesses (b) 80 keV, 1×1017 ions/cm2
increase with the increase of C+-implantation dose. Fig 4 Radiation damages of silicon wafers implanted with different
carbon ion doses

644
 +
Influence of the C -Implantation Dose on the Wetting and Adhesion Properties of Silicon Surfaces

(a) Single crystal silicon

(b) 80 keV, 2×1016 ions/cm2

Fig 5 Micro-morphologies of the silicon surfaces with different C+-implantation doses

4
Surface roughness /nm

0
1# 2# 3# 4#
S a m p le

Fig 6 Surface roughness of silicon surfaces with different C+-implantation doses

645
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Fig 7 Histogram of surface contact angles of silicon surfaces with different C+-implantation doses

According to Young Equation [15] whereas there exist the hydrophobic carbon and silicon carbide
¤sg-¤sl=¤lgcos© (1) layers resulting in the bad wetting property and steep slope
i.e. cos©=˄¤sg-¤sl˅/¤lg (2) pull-off force.
sgˉsolid-gas surface tension.
slˉsolid-liquid surface tension.
lgˉliquid-gas surface tension.
©ˉcontact angle.
The formulas indicate that the smaller the contact angle, the
better the wettability. The higher the surface energy of the solid
substrate, the more the liquids which could be the wetting of it
and the stronger the adsorption capacity [6, 16]. Thus the
wetting properties and surface energies of all C+-implanted
silicon surfaces are worse and lower than those of the single
crystal silicon. With the increase of the C+-implantation dose,
the wetting property changes from worse to better and the
surface energy decreases firstly and then increased.
+
INFLUENCE OF C -IMPLANTATION TO ADHESIVE
FORCES
Figure 8 shows the curves of adhesive forces of silicon
surfaces before and after C+-implantation at the humidity of
33%. The curves demonstrate the probe firstly approach the
sample slowly, then is attracted to the sample surface and
finally jumps onto the surface suddenly when the probe
approach to a certain distance. Being away from the sample
surface, the probe can’t retract and be pulled off from the
surface because of its adhesive force until the micro-cantilever
is pulled up further and the interaction force reaches a given
adhesive force. During the pull-off process, the probe firstly
breaks away from the interaction force of the atoms and the
hydrophobic organic layers of the sample surface, and then the
capillary force caused by the water film. The adhesive force is
given by the probe’s pull-off force from the sample surface [2,
17, 18].
The curves demonstrate that the pull-off curve of 1# silicon
wafer has a circular-arc buffering in comparision to the steep (b) Sample 3#
slope pull-off force for 3# silicon wafer. That is because the Fig 8 Curves of adhesive forces of silicon surfaces before and after
single crystal silicon surface has the good wetting property and
large capillary force leading to the slow slope pull-off force; C+-implantation at the humidity of 33%

646
 +
Influence of the C -Implantation Dose on the Wetting and Adhesion Properties of Silicon Surfaces
Fig 9 Histogram of adhesive forces of silicon surfaces before and after
The histogram of adhesive forces of silicon surfaces before
and after C+-implantation at different humidities is shown in
figure 9. At the relative humidity of 33%, the adhesive forces
for 1#, 2#,3# and 4# sample surfaces are 9.8 nN, 6.2 nN, 4.2nN
and 7.0 nN, respectively. When the relative humidity varying
from 33% to 70%, the adhesive forces of 1#, 2#,3# and 4#
sample surfaces increase by 12.2 nN, 8.3 nN, 9.6 nN and 8nN,
respectively.
It is concluded that the adhesive forces of all four sample
surfaces increase with the relative humidity. When the relative
humidity is higher than 20%, the capillary force of water
molecules will increase constantly. Meanwhile, Van derWaals
force will decrease due to the water film so that the capillary
force of water plays a leading role. With the increase of the
relative humidity, the liquid film absorbed between the sample
and the probe will become thicker resulting in the increased
capillary force [19, 20, 21, 22].
At the same humidity, the adhesive force of the
C+-implanted silicon surface is obviously smaller than that of
the single crystal silicon surface. With the increase of the
C+-implantation dose, the adhesive force of the silicon surface
decreases firstly and then increases. The adhesive force of the
silicon surface depends largely on the surface energy. The
higher the surface energy, the larger the adhesive force of the
silicon surface. From the wetting characteristics of silicon
surfaces, 1# silicon surface has the best wetting property and
highest surface energy. With the increase of the C+-implantation
dose, the wetting property changes from worse to better and the
surface energy decreases firstly and then increases which both
contribute to the adhesive force decreasing at first and then
increasing.
CONCLUSIONS
The crystal structures changed and lots of C and some SiC
were present at the silicon surfaces after C+-implantation.
C+-implantation led to the radiation damage structure and lots
of micro holes of the silicon surface. Their surface roughnesses
and surface contact angles increased, the wetting properties got
worse and surface energies were lower than those of the single
crystal silicon. With the increase of the C+-implantation dose,
surface damages got heavier, the surface roughness increased,
the contact angle increased at first and then decreased, the
wetting property changed from worse to better and the surface
energy decreased firstly and then increased. The adhesive force
of the silicon surface increased with the increase of the relative
humidity. At the same humidity, the adhesive force of the
647
silicon surface decreased at first and then increased with the
increase of the C+-implantation dose.
ACKNOWLEDGEMENTS
This research is sponsored by the NSFC (Grant No.
50405042) and the Program for New Century Excellent Talents
in University (Grant No. NCET-06-0479) and State Key Basic
Research Development Program (973 Program, Grant No.
2007CB607604).
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[1] Ma, H.C., Ding, J.N, 2005, “Research on surface effect and
size effect of stiction in MEMS,” Master Degree Thesis of
Jiangsu Uinversity, Abstract.(In Chinese)
[2] Li, X., Tang, Z.A., 2005, “Studies on DLC film’s preparation,
microtribology and application for restraining the stiction in
MEMS,” Doctoral dissertation of Dalian University of
Technology, Chapter five, pp.40-84. (In Chinese)
[3] Miyamoto, T., Miyake, S., Kaneko R., 1993, “Wear
resistance of C+-implanted silicon investigated by scanning
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[4] Zhang, D.K., Ge, S.R., 2007, “Influence of the
C+-implantation on the micro-tribological behavior of
silicon wafer,” Chinese Journal of Materials Reasearch,
21(4), pp. 383-388. (In Chinese)
[5] Sun, R., Xu, T., Zhang, J.W., Xue, Q.J., 2006, “The study of
ion amorphous carbon films on single crystal silicon by C
ion implantation,” Applied Surface Science, pp.4236-4243.
[6] Ueda, M., Lepienski, C.M., Rangel, E.C., et al, 2002,
“Nanohardness and contact angle of Si wafers implanted
with N and C and Al alloy with N by plasma ion
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pp.190-194.
[7] Xing, Y.,M., Yu, Y.H., Lin, Z.X., et al, 2006, “Structure study
of SiC buried layer by high temperature C+-implantation,”
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pp.323-326.
[8] Volz, K., Bala, K., Hatada, R., et al, 2001, “Silicon carbon
and amorphous carbon film formation by plasma immersion
ion implantation: A comparison of methane and toluene as
plasma forming gases,” Surface and Coatings Technology,
136, pp.197-201.
[9] Ensinger, W., Kraft, G., et al, 2007, “Silicon carbide and
boron carbide thin films formed by plasma immersionion
implantation of hydrocarbon gases,” Surface & Coatings
Technology, 201, pp.8366-8369,
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
[10] Deng, Z.W., Souda, R., 2002, “XPS studies on silicon
carbonitride films prepared by sequential implantation of
nitrogen and carbon into silicon,” Diamond and Related
Materials, 11, pp.1676-1682,.
[11] Gart, G., Grant, W. A., 1992, Ion implantation in
semiconductors, National Defense Industry Press, Beijing,
pp.125-171.
[12] Wen, S.Z., 1998, Micro tribology, Tsinghua University
Press, Beijing. (In Chinese)
[13] Zhang, J.Z., Ye, X.Y., Yu X.J., et al, 2001, “Radiation
damage and wettability change of low energy C+-implanted
polytetrafluoroethylene,” Materials Science
Engineering, B84, pp.200-204.
[14] Li, L.H., Tian J.Z., et al, 2005, “Influence of ion energies on
the surface morphology of carbon films,” Surface &
Coatings Technology, 196, pp.241-245.
[15] Luo, X.B., Zhu, D.Y., Shi L.M., 2007, “Progress in the
calculation of solid surface tension based on contact angle
method,” Science Technology and Engineering, 19(7),
pp.4997-5003.
[16] Ma, J.W., Zhang, A.D., Xu, H.y., 2006, “Cleaning of the
gold substrate and the contact angle and surface energy,”
Materials Science, 11, pp.38-39.(In Chinese)
[17] Kanda, Y., Iwasaki, S., and Higashitani, K., 1999,
“Adhesive force between hydrophilic surfaces in
alcohol–water solutions,” Journal of Colloid and Interface
Science,216, pp.394-400.
[18] Meincken, M., Berhane, T.A., Mallon, P.E., 2005,
“Tracking the hydrophobicity recovery of PDMS
compounds using the adhesive force determined by AFM
force distance measurements,” Polymer, 46, pp.203-208.
[19] Qing, T., Shao, T.M., Wen S.Z., et al, 2006, “Effects of
relative humidity on surface adhesion,” Tribology, 26(4), pp.
295-299. (In Chinese)
and [20] Yang, Y., Liu Q.G., Zhao, P., et al, 2001, “A study on the
effect of moisture on surface attractive force using the
AFM,” Journal of Instrument, 22(3), pp.65-66. (In Chinese)
[21] Bhushan, B., 1999, Principles and applications of tribology,
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“Effect of water absorption on microtribological properties
of hydrogenated diamond-like carbon films,” Tribology
Letters, 17, pp.575-580.
648
 The Effect of Laser Induced Oxygen-Diffusion Hardening on the Surface Structure and Scratch Resistance of Commercially Pure Ti

The Effect of Laser Induced Oxygen-Diffusion Hardening on the Surface Structure and Scratch
Resistance of Commercially Pure Ti
Zhang Min / Laser Processing Research Center, Wuhan
Chen Changjun /Key Laboratory for Ferrous University of Science & Technology Wuhan 430081
Metallurgy and Resources Utilization of Ministry P.R.China
of Education, Laser Processing Research
Center, Wuhan University of Science &
Technology Wuhan 430081 P.R.China ,
Zhang Shichang / Laser Processing Research Center, Chang Qingming / Laser Processing Research Center
Wuhan University of Science & Technology Wuhan Wuhan University of Science & Technology Wuhan
430081 P.R.China 430081 P.R.China
(Extended Abstract)
ABSTRACT
been performed.The corrosion resistance was revealed in
Titanium and its alloys are mainly to be found in the the present paper, too.
aerospace field in which their high strength to density ration is
particularly attractive. However, their quite poor behaviour in
RESULTS AND DISSCUSSION
most of the encountered tribological situations, especially
fretting remains a limiting factor. The objective of this research Cross-sction microscope of the treated samples with
was to determine the effect of an oxygen-diffusion hardening ambient Ar together with oxygen is given in Fig.1.
process by laser on the surface morphology, microhardness
and scratch resistance of commercially pure titanium. Pure
titanium substrates have been treated using a pulsed Nd: YAG
laser radiation. The repetition of laser shots at the surface of
the titanium induces the progressive oxidation and to the
formation of oxygen-diffusion coatings. The treated layers
have been characterized by optical and SEM observation,
X-ray diffraction analysis and scratch test. The
oxygen-diffusion hardened samples were obtained in present
work. The treated samples were more resistance to scratch
damage compared to the non-treated samples. The presence of
the surface coating structure has been examined in relation
with the Ti-O phase diagram and consisted of an harden TiO2
surface layer.
Keywords: Laser treatment; Oxygen-diffusion harden;
Titanium; Scratch Fig.1 Microstructure of the sample after laser induced
oxygen-diffusion hardening under Ar+O2
INTRODUCTION
Titanium alloys are characterised by poor tribologyical As shown in Fig.2, the surface phase was identified
properties,which has been a severe barrier to tribological after laser irradiation. The rutile oxide can be obtained
applications. Many surface engineering techniques have been
under Ar+O2 and atmosphere.With decreasing the Ar
investigated and applied to titanium alloys.With the increasing
understanding of the mechanism of oxidation, titanium oxide contration, the amount of the oxide layer increased. The
gradually attracted more research interest.Although laser contrentration of oxygen in the oxygen diffusion layer
radiation have been mainly used in nitride and carbide on was detected by EDX .The oxygen concentration can be
titanium alloys, pulsed lasers also induced a surface oxide on amout to 54.60wt% in the outer surface of the treated
titanium alloy. The relatively thin oxide with a limited layer.The hardness profiles is found to be closely related
diffusion zone can harden a titanium surface deeply without to the laser processing parameters and the ambient gas.
evoking scaling or oxide spallation The hardness of the top layer can be amout to
We report here the formation and characterization of laser 760Hv,while the lowest hardness on the top layer is
induced oxygen-diffusion-hardening on TA2.
about to 450Hv.Scratch tests have been used to measure
EXPERIMENTAL the dynamic load bearing of the laser induced
CP 2mm TA2 plate was used in the present paper.The oxygen-diffusion hardening surface systems[1]. The
irradiations were performed with a 500W Nd:YAG laser results show that the friction force increases linearly
system generating pulses with a nearly Gaussian with the normal load at the beginning and meanwhile the
temporal shape. The gas used in the present study are Ar, first deviation of friction is steady, implying that the
Ar+O2 and atmosphere.Several different laser friction coefficient was nearly constant at the
parameters have been used during this study. Surface beginning[2].
and cross section observation have been carried out by
optical and SEM microscopy. X-ray diffractometer was CONCLUSIONS
used for the XRD analysis.Harness measurements were Charization of laser induced oxygen-diffusion
made using a vickers tester under a load of 50g with a hardening on the surface structure and scratch resistance
holding time of 15s.EDX analyses and scratch test have of commerically pure Ti in Ar, Ar+O2 and atmosphere

649
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

has been studied, the produced compounds have been

(b)
indentified and their formation, wear resistance has been 600 O2/Ar

Microhardness/HV0.05
,UUDGLWLRQ]RQH ,QWHUIDFH J=160
explained based on the Ti-O phase diagram. The main v=1.1mm/s
500
results can be summarized as follows:
The thickness of the oxygen-diffusion zone induced 400 6XEVWUDWH
by the pulsed laser irradiation is a formation of a melted
pool reacted with oxygen. Due to the oxygen diffusion 300

in the iradiation target, oxygen-rich phases are formed. 0 100 200 300 400 500
The hardness is found to be closely to the laser Depth/nm

processing parameters and the ambient gas. Both the

corrosion and scratch test show that the load bearing 800 (C)
capacity and corrosion resistance is highest for the Atmosphere

Microhardness/HV0.05
700 J=200
treated samples. ,UUDGLWLRQ]RQH
v=2.0mm/s
600

(a) Ar 1
500
J=160/V=1.1
,QWHUIDFH
2 1 AlTi3
S 2 Ti3Al 400
6XEVWUDWH
Intensity/CPS

S ¢- Ti
300

0 50 100 150 200 250

1 1 Depth/nm
2 2 1
2 1
S S 2
S 2
S S
S Fig.3 Hardness profiles of the samples with different
treatment conditions: (a)Ar,(b)Ar+O2 and (c)atmosphere
20 40 60 80
©

2 /deg

(b) O2/Ar S
ACKNOWLEDGEMENTS
J=160/V=1.1 S - a - Ti
1 - TiOx
The author Chen Changjun thanks Dr Ma
Intensity/CPS

Hongyan(Shenyang Institute of Aeronaultical Engineering) for

her help in the experimental.
1

S
S REFERENCES
S S S
S
1
[1] Lavisse L., Grevey D., Langlade C., B. Vannes.
20 40
2? /deg
60 80 2002, “The early stage of the laser-induced
oxidation,” Applied Surface Scinece, 186,pp.
(C)
Atmosphere
J=200/V=1.5
S 1 TiO1.04
150-155.
2 TiN
[2] Dani Gustaman Syarif, Atsumi Miyashita, Tetsuya
Intensity/CPS

S a - Ti

S
Yamaki, Taishi Sumita, Yeongsoo Choi, Hisayoshi
1
1
2 2
S
1
1
Itoh. 2002 , “Preparation of anatase and rutile thin
2 S
S
2
S
S 2 films by controlling oxygen partial pressure,”.
S S
Applied Surface Science, 193,pp. 287-292.
20 40 60 80
©

2 /deg

Fig.2 XRD phases for the samples with (a)Ar,(b)Ar+O2

and (c)atmosphere
600
(a) ,QWHUIDFH Ar
Microhardness/HV0.05

J=160
500 ,UUDGLWLRQ]RQH v=1.1mm/s

400
6XEVWUDWH

300

0 100 200 300 400

Depth/nm

650
 Structure and Tribological Characterization of TiB2 / TiBN Multilayer Coatings Deposited by Magnetron Sputtering
Structure and Tribological Characterization of TiB2/TiBN Multilayer Coatings
Deposited by Magnetron Sputtering
W. S. Lin, J. Chen, J. Zhou
School of Material Engineering, Shanghai University of Engineering Science, Shanghai 201620, China
(Extended Abstract)
ABSTRACT
TiB2/TiBN multilayer coatings were deposited on Si(100)
wafers by reactive magnetron sputtering technology. The
microstructure and microhardness of the multilayer coatings
have been studied with X-ray diffraction (XRD), atomic force
microscopy (AFM) and microhardness tester. The friction and
wear behaviors of the multilayer coatings sliding against Al2O3
balls were evaluated on a pin-on-disc tribometer under dry
friction condition. The results showed that the single layer TiB2
consists of a hexagonal TiB2 phase with the strong (001)
texture, and the Ti-B-N film is XRD-amorphous. Structural
analysis confirmed that (001) preferential orientation of TiB2
phase is reduced, and the crystal structure of TiBN existed in
the structure of TiB2/TiBN multilayer coatings. The smallest
friction coefficient and the best wear resistance were measured
in TiB2/TiBN multilayer coatings with the modulation of 30
nm.
Keywords: Magnetron sputtering, Multilayer coating,
Tribological properties, TiB2/TiBN
INTRODUCTION
With the unique combination of excellent mechanical
properties, high melting point, good chemical stability and
reasonable conductivity, titanium diboride predetermine itself
as a perspective material for protective coatings [1]. However,
titanium borides have not been studied intensively, particularly
compared to metal nitrides and carbides. Previous studies of
titanium borides thin films deposited by magnetron sputtering
were focused mainly on the deposition process and structural
properties [2]; only few of those studies dealt with the
tribological properties of titanium borides [3]. Moreover, most
of those studies dealt with only the monophase layers and
revealed that the coatings seem to be having a drawback of
high macrostress. It is well-known that multilayers are capable
of improving the properties compared to the individual single
layer films [4]. In these materials, repeating layered structures
of two different materials with nanometer-scale dimensions
exhibit unique properties [5-7]. Designing of nanostructured
multilayer coatings needs consideration of many factors, e.g.
the interface volume, crystallite size, single layer thickness,
surface and interfacial energy, texture, epitaxial stress and
strain, etc., all of which depend significantly on materials
selection, deposition methods and process parameters.
However, the properties of multilayer coatings are greatly
dependant on the bilayer thickness or modulation wavelength
(L). Therefore, the present study is focused on the tribological
behavior of TiB2/TiBN multilayer coatings with different
modulation period compared with single layer coatings of TiB2
or TiBN deposited by magnetron sputtering.
EXPERIMENTAL DETAILS
TiB2/TiBN multilayer coatings of thickness about 2 μm
were deposited by reactive magnetron sputtering from a
sintered TiB2 target of diameter 50 mm. Pure argon and
nitrogen were used as sputtering and reactive gases,
651
respectively. Polished Si(100) wafers were ultrasonically
cleaned in acetone and then dried in blowing dry nitrogen prior
to deposition. The films were deposited under the following
process parameters: target-to-substrate distance was 65 mm;
the base pressure about 2×10-4 Pa; and the sputtering power
100 W. During the reactive sputtering period, flow rates of
argon (30 sccm) and nitrogen (18 sccm) were kept constant.
The silicon substrates were kept cooled by circulating water
during the deposition process. Thus, the only variable for
different depositions was reactive magnetron sputtering time,
which was in range from 0, corresponding to single layer TiB2
deposition, to all in time during the deposition process,
corresponding to single layer TiBN reactive deposition.
Before TiB2/TiBN multilayer coatings were deposited, the
deposition rate of single TiB2 or TiBN layer was measured
accurately by step profiler. A titanium interlayer was always
deposited first on the substrate and the films thereon to
improve the adhesion of the coatings. TiB2/TiBN multilayer
coatings were deposited alternately by modulating N2 gas flow
and the individual layer thickness was carefully controlled with
a shutter. The anticipated TiB2/TiBN multilayered films with
various modulation periods were synthesized. The modulation
ratio of TiB2/TiBN was designed to be 1:1 in this test, which
was obtained through exact control of the deposit time for each
layer. For this purpose, there is ten minutes recess to stabilize
the gas pressure between depositing of each layer.
The structure of the films was investigated on a Rigaku
D/Max-2000 instrument with CuK radiation ( = 1.5418 ),
in the Bragg –2 geometry, the XRD patterns were collected
using angular step sizes of 0.02º (2) from 20 to 80º.
Morphological features of the films were determined by AFM.
The hardness of the coatings were measured using a HX-1
microhardness tester with a load of 200 mN applied for 15 s.
The adhesion of the coatings was evaluated by scratch-testing
technique using a WS-2005 Instruments. The load was
increased linearly from 0 to 100 N at a loading speed of 100
N/min and scratch speed of 10 mm/min. The scratch process is
monitored using an acoustic emission. Optical microscopy was
used to confirm the starting point of the adhesive failure along
the scratch track.
Wear testing was done using a pin-on-disc tribometer under
dry friction condition. Al2O3 balls (HV hardness 15.5 GPa)
with a diameter of 3 mm was used as counter-parts. The
surface roughness Ra of the ceramic balls was lower than 15
nm. All measurements were provided with a load of 5 N and a
linear speed of 0.05 m/s. The standard number of cycles was
5000. The maximum depth of the wear track reached in the
tests was not than about 50% of the thickness of the coating.
The wear rates of the coatings were calculated by the coating
mass-loss. For this purpose, the specimens were cleaned with
ethylic alcohol and weighted before and after wear tests.
RESULTS AND DISCUSSION
The XRD diffractograms of single layer TiB2 or TiBN film
and typical TiB2/TiBN multilayer coatings with modulation
periods (mp) from 10 nm to 100 nm are shown in Fig 1. It can
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

be seen that TiB2 film consists of a hexagonal TiB2 phase with
the strong (001) texture, and the TiBN film is XRD-
amorphous.
higher than that of TiB2 single layer films. The results
observed from above experiments have shown that there were
“superhardness effects” existed in TiB2/TiBN multilayer
coatings, even though the superhardness effects were not so
obvious as other multilayer coatings reported in other
literatures. The strain coherent theory [10] has been used to
explain the superhardness effects of the multilayer films. It
considered that the coherent strain caused by lattice mismatch
in epitaxial growth can produce alternating stress fields which
inhibit the generation and motion of dislocations, leading to
the strength and hardness increase of the films. The maximum
hardness occurred at a range of modulation period where
coherent stresses exist. Interdiffusion or composition
intermixing between TiB2 and TiBN layers at smaller
modulation period decreased the hardness of the multilayer
coatings because of the decrease of sharpness of the interfaces.
The decrease of hardness at larger modulation period may be
the results of the stress relaxation in incoherent interface.
The highest critical load was observed in the multilayer
film with modulation period 20 nm is, because the film has a
good coordination in hardness and the internal stress inside the
film possibly. It can be seen from Table 1 that multilayer
sample with modulation period 30 nm in this test had the
smallest friction coefficient and the best wear resistance. Low
friction coefficient could be partly ascribed to the smooth
surface of the film. Fig. 2 is AFM image of TiB2/TiBN
multilayer coatings with mp=30 nm. The roughness value
estimated from the image is about 10 nm, which shows that the
films are smooth. Since the film with mp=30 nm has a
property of high hardness, low friction coefficient as well as
smooth surface, the lowest wear rate was measured at this film.

Fig. 1 X-ray diffractograms of (a) TiB2 or TiBN single layer

films and (b) TiB2/TiBN multilayer films with various mps
It is believed that the hexagonal TiB2 phase transformed
into TiBN amorphous in the reactive sputtering process
because of the low-packing density of TiB2 phase[8]. As
compared with single layer TiB2 film, (001) preferential
orientation of TiB2 phase in all the multilayer coatings is
reduced. The crystal structure of TiBN is detected at mp<40nm.
It is possible that the internal residual stress existed in the
multilayer coatings results in crystallization of the TiBN
phase[9]. Therefore, with the film thickness increasing, the
residual stress relaxes, and the structure of TiBN layer returns
to be amorphous. Fig. 2 AFM image of a typical TiB2/TiBN multilayer
Shown in Table 1 was the microhardness, critical load, coating with mp=30 nm
friction coefficient and wear rate of the coatings.
Table 1 Summary of the scratch, friction and wear test data CONCLUSIONS
for TiB2-TiBN multilayer films TiB2/TiBN multilayer coatings and or TiBN were
Modulation Hardness Critical Friction Wear rate deposited on Si(100) wafers by reactive magnetron sputtering.
period (nm) (GPa) load (N) coefficient (mg/Nm) Structural analysis using XRD reveals that the single layer TiB2
consists of a hexagonal TiB2 phase with the strong (001) texture,
Single TiB2 16.4 75 0.66 3.12 which is reduced in the structure of TiB2/TiBN multilayer
Single TiBN 12.0 78 0.40 3.58 coatings. The smallest friction coefficient and the best wear
10 17.2 89 0.47 1.45 resistance were measured in TiB2/TiBN multilayer coatings with
20 18.5 92 0.41 1.43
the modulation period of 30 nm.
30 18.1 88 0.35 1.17
40 18.2 85 0.46 1.32
60 16.8 79 0.49 1.54 ACKNOWLEDGEMENTS
80 16.1 75 0.48 1.78 This research was supported by Leading Academic
100 15.0 74 0.55 1.86 Discipline Project of Shanghai University of Engineering
Science (No. xk0706) and the Nano-Technology Foundation of
It is found that the microhardness of multilayers reached to Shanghai Science & Technology Commission (No. 07zz159).
a maximum of 18.5 GPa at modulation period 20 nm, a little

652
 Structure and Tribological Characterization of TiB2 / TiBN Multilayer Coatings Deposited by Magnetron Sputtering
REFERENCES
[1] Mitterer C., Mayrhofera P. H., 1999, “Microstructure and
properties of nanocomposite Ti-B-N and Ti-B-C coatings”,
Surface and Coatings Technology, 120-121, pp.405-411.
[2] Zhang S., Sun D., Fu Y., 2003, “Recent advances of
superhard nanocomposite coatings: a review”, Surface and
Coatings Technology, 161, pp.113-119.
[3] Kunc F., Musil J., Mayrhofer P.H., 2003, “Low-stress
superhard Ti–B films prepared by magnetron sputtering,”
Surface and Coatings Technology, 174-175, pp.744-753.
[4] Xu J., Gu M., Li G., 2003, “Microstructure and mechanical
properties of polycrystalline NbN/TaN superlattice films”, J.
Mater. Sci. 35, pp.3535-3538.
[5] Veprek S., Niederhofer A., Moto K., et al., 2000,
“Composition, nanostructure and origin of the ultrahardness
in nc-TiN/-Si3N4/-and nc-TiSi2 nanocomposites with HV
 105 GP”, Surface and Coatings Technology, 133-134,
pp.152-159.
653
[6] Musil J., Karvankova P., Kasl J., 2001, “Hard and superhard
Zr-Ni-N nanocomposite films”, Surface and Coatings
Technology, 139, pp.101-109.
[7] Barshilia H. C., Rajam K. S., 2003, “Deposition of TiN/CrN
hard superlattices by reactive d. c. magnetron sputtering”,
Bull. Mater. Sci., 26, pp. 233-237.
[8] Jung D. H., Kim H., Lee G. R., 2003, “Deposition of Ti-B-N
films by ICP assisted sputtering”, Surface and Coatings
Technology, 174-175, pp.638 - 642.
[9] Zhao W. J., Kong M., 2007, “Effect of SiO2 crystallization
on AlN/SiO2 nano-multilayers with superhardness effect”,
Acta Physica Sinica, 56, pp.1574-1580.
[10] Anderson P. M., Foecke T., Hazzledine P.M., 1999,
“Dislocation based deformation mechanisms in metallic
nanolaminates”, MRS Bull, 24, pp.27-33.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
First Principles Investigation of Water Adsorption on
Fe (110) Crystal Surface Containing N
W. Zhao*, J.D. Wang, F. B. Liu, D. R. Chen*
State Key Laboratory of Tribology, Tsinghua University, Beijing, China, 100084
ABSTRACT
Understanding the interaction of water with iron is crucial to
explore the nature of subsequent corrosion of iron-based
structural materials. However, because of the lack of the
comprehensive understanding about the water behavior on iron
surfaces, the detailed knowledge about the role of water in
corrosion processes is still unclear. In the process of researches
of water adsorption on clean iron surfaces, foreign particle of N
is easier brought into the system. In this work, in order to
explore water chemistry on the surfaces of the iron containing N,
water adsorption on N/ Fe (110) based on first principles
calculations are comparatively investigated. Geometry structure
and electronic structure are calculated using the method of
density functional theory. The calculation results reveal that the
existence of N atom has not got the significant changes of the
geometry structure of Fe (110)/ H2O interface. And the
existence of N atom has not significantly affected the
interaction of H2O molecule Fe (110) surface.
Keywords: First Principles, Fe (110), H2O, N, Molecule
Adsorption
1 INTRODUCTION
Water chemistry on metal surface is of fundamental
importance in many natural processes [1-2], which include
corrosion science. Electrical double layer structure of
metal/solution interface is the significant factor of corrosion [3-4].
Studies of water adsorption on metal surfaces in atom scale can
provide the critical theoretical basis of mechanism research on
electrochemical corrosion. Although reports on water
adsorption on iron metal surface are fewer no matter by
theoretical or experimental methods, water adsorption on noble
metal such as Au, Pt, Ru, Rh, Pd, Cu, Ag have been extensively
researched based on the mechanism studies of catalysis[5-17]. In
order to provide the new idea about the relationship between
electrical double layer of Fe/water solution interface and
mechanism of corrosion, our group detailed researched the
adsorption of water on Fe surfaces. In the process of researches,
foreign particle of N is easier brought into the system. But we do
not know that if N affects the geometric or electronic structure
of Fe/H2O interface. Therefore, for further understanding the
effect of N on Fe/H2O interface, the theoretical calculation
based on first principles are used to research it in this paper.
2 COMPUTATIONAL METHODS
Calculations are based on the DFT-slab models using the
GGA-PW91 exchange-correlation functional. The electronic
states were expanded in a plane wave basis set, with a cutoff
energy of 340eV. A 3-layer slab, separated by a vacuum spacing
of 15nm thickness, was employed to mimic the Fe (110) surface.
A p (2×2) surface supercell which corresponds to coverage of
1/4 was employed in these calculations. The Brillouin zone is
:
E-mail: w-zhao05@mails.tsinghua.edu.cn
chendr@tsinghua.edu.cn
654
sampled using a grid of 3×3×1 Monkhorst-Pack special k points
for adsorbates structure. N and H2O were arranged on one side
of the slab. Electronic self-consistent field (SCF) cycles are
converged to 1.0×10-6 eV and the geometry was converged to
1.0×10-5eV for quasi-Newton and conjugate-gradient
optimizations.
3 RESULTS AND DISCUSSION
3.1 GEOMETRY STRUCTURE AND ENERGIES
The adsorption energies of the three possible adsorption
sites for H2O molecule and N atoms on the Fe (110) surface are
listed in Table 1. It has been drawn the conclusion that the
favorite site for H2O monomer adsorbed on the Fe (110)
surface is atop site and H2O prefers to lie parallel to the
substrate surface based on our former researches[18]. For H2O
molecule and N atom co-adsorption on the Fe (110) surface
system, the three possible adsorption sites for N atoms on Fe
(110) surface are atop, bridge and hollow sites respectively.
The adsorption energy is calculated as follows:
Ead  Eslab /( H 2O  N )  Eclean  EH 2O  EN ,
Where Eslab /( H O  N ) is the total energy, Eclean is the energy
2
of the clean Fe (110) surface, EH O is the energy of the gas
2
H2O molecule, and EN is the energy of the gas N atom.
Table 1 Three possible adsorption sites for
N atom on the Fe (110) surface
Possible adsorption sites Adsorption energy/eV
N-atop -7.59
N-bridge -8.03
N-hollow -8.05
Fe (110)/ H2O -1.46
According to Table 1, when the initial sites for N atom are
atop site, bridge site and hollow site, the adsorption energies
are -7.59eV, -8.03eV and -8.05eV respectively. The lowest
adsorption energy is hollow site. Therefore, from the viewpoint
of energy, the favorite position of H2O molecule and N atom on
Fe (110) surface is H2O-atop site and N-hollow site for Fe
(110)/ (H2O+N) adsorption system. The absolute value of the
adsorption energy of Fe (110)/ (H2O+N) system is 8.05eV,
which 6.89eV higher than that of H2O adsorbed on clean Fe
(110) surface. This indicates that the addition of N atom into
the Fe (110)/ (H2O+N) make the total energy rise.
The geometric structure parameters of H2O and the
substrate of Fe (110)/ H2O and Fe (110)/ (H2O+N) system are
listed in Table 2, where dO-H is the bond length of the H2O
molecule; ğ(HOH) is the bond angle of the H2O molecule;  is
the title angle between the H2O molecule and the substrate; d12
is the distance between the first and the second layer of Fe
 First Principles Investigation of Water Adsorption on Fe (110) Crystal Surface Containing N

atoms; d23 is the distance between the second and the third layer 3.2 ELECTRONIC STRUCTURE
of Fe atoms.
3.2.1 WORK FUNCTION ANALYSIS
Table 2 Geometric structure parameters of
the adsorption systems The surface work function reflects the stability of the
surface electrons. The larger the value of the work function is,
dO-H/ ğ(HOH)/ / d12/ d23/ the more stable the surface electrons are. The formula for the
Surface work function is as follows:
Å ° ° Å Å
H2O 0.97 104.5 - - - ;  Evacuum  E Fermi ,
Clean Fe (110) - - - 0.26 0.62 where Evacuum is Vacuum energy, and EFermi is Fermi
Fe (110)/H2O 0.98 106.2 9.9 1.70 1.77 energyDŽ
Fe (110)/
(H2O+N) 0.99 107.2 8.21 1.64 1.94 The work functions of the Fe (110)/ (H2O+N) co-adsorption
system and the Fe (110)/ H2O adsorption system are listed in
Compared with H2O adsorbed on clean Fe (110) surface, Table 3.
for Fe (110)/ (H2O+N) adsorption system, bond length and Table 3 The work function of the Fe (110)/H2O and Fe (110)/
bond angle of H2O molecule increase a little bit, which bond (H2O+N) adsorption system
length of H2O molecule is 0.01 Å longer and bond angle of
H2O molecule is 1ebigger than those of H2O adsorbed on Adsorption system Work function/eV
clean Fe (110) surface. And the title angle between H2O and
Clean Fe (110) -6.58
the image plane of substrate has a little bit change, which is
only 1.69esmaller than that of H2O adsorbed on clean Fe (110) Fe (110)/H2O -5.84
surface. Furthermore, the distance between layers of substrate
atoms change a bit, which d12 decrease 0.06 Å and d23 increase Fe (110)/(H2O+N) -5.79
0.17 Å. And the displacements of substrate atoms change a
little bit in X and Y direction, as shown in fig 1. These imply The work function of the clean Fe (110) surface was
that the slightly reconstruction occurs. H2O molecule adsorbed calculated to be 6.58eV and the work function of Fe (110)/ H2O
was calculated to be 5.84eV, 0.74eV lower than that of clean Fe
on Fe (110) surface containing N atom can not make the
(110) surface, suggesting a charge transfer from water to substrate
interface geometry structure have obvious change, especially
surface and coinciding with the Milliken population analysis.
for H2O molecule, but make the substrate atoms reconstructed. However, for Fe (110)/ (H2O+N) adsorption system, the work
function are only 0.05eV lower than that of Fe (110)/ H2O
system, which imply that N atom on Fe (110) surface can not
influence the interaction between H2O and Fe (110) surface.
0.262nm
0.251nm
0.247nm

0.250nm

3.2.2 MüLLIKEN POPULATION ANALYSIS

0.262nm

0.240nm
0.246nm
0.251nm

0.243nm

Mülliken charges population of the Fe (110)/ (H2O+N)

0.246nm

0.249nm
0.251nm

co-adsorption system and Fe (110)/ H2O adsorption system is

0.243nm

listed in Table 4.
0.246nm

Table 4 Mülliken charges population of the Fe (110)/ (H2O+N)

and Fe (110)/ H2O adsorption system

Gas H2O and Fe(110)/ Fe(110)/

Atom layers
Clean Fe(110) H2O (H2O+N)
0.242nm 0.263nm
0.246nm 0.265nm H2O 0 0.03 0.05

0.270nm 0.245nm N -0.64

The first Fe atom
-0.09 -0.04 0.53
0.267nm 0.245nm 0.243nm 0.265nm layer
The second Fe
0.18 0.11 0.16
atom layer
(a) Fe(110)/H2O (b) Fe(110)/(H2O+N)
The third Fe
-0.09 -0.08 -0.09
Fig. 1 The equilibrium geometric structure for the atom layer
Fe (100)/ (H2O+N) co-adsorption system. The big purple balls, The total surface
0 -0.04 0.60
green balls and orange balls represent Fe atoms in the first, atoms
second and third layer, respectively. The small white balls and
According to Table 4, the interaction between H2O and Fe
red balls represent H atoms and O atoms, respectively,
(110) surface make the Fe surface have more electrons, which
which comprise the H2O molecule. The small blue balls
charge negative charges and H2O molecule lost more electrons,
represent the N atom.
which charge positive charges for H2O adsorbed on clean Fe
(110) surface. The electrons of sp hybridized orbitals of H2O

655
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

molecule may exchange with the electrons of 3d orbitals of 14

surface iron atoms. However, the addition of N into the Fe
(110)/H2O adsorption system significantly change the charge 12 Fe(110)/H2O
population of the interface of Fe (110)/H2O, which make both Fe(110)/H2O+N)
surface iron atom and H2O molecule lost more electrons and 10

PDOS/electrons/eV
charge more positive charges. Therefore, the existence of N 8
atom in the Fe (100)/ (H2O+N) adsorption system change the
charges population of the metal side of the Fe (100)/ (H2O+N)
Fe4s
6
interface, because of the electronegative N atom. In addition,
according to the analysis of geometry structure, it can be seen 4
that the existence of N atom in the Fe (100)/ (H2O+N)
2
adsorption system can not make the big orientation changes of
H2O molecule in the interface of Fe (100)/ (H2O+N), which 0
demonstrate that N atom did not result in big dipole effect on -25 -20 -15 -10 -5 0 5
14
the interface. And the work function of Fe (100)/ (H2O+N) also
changes litter. Thus, it can be inferred that the changes of 12
Fe(110)/H2O
surface charges may result from the induced charges of

PDOS/electrons/eV
10 Fe(110)/H2O+N
electronegative N atom, but not the electrons exchanges of
surface electrons. 8
Fe3p
3.2.3 DENSITY OF ELECTRONIC STATE ANALYSIS 6
The PDOSs of H, O, Cl and Fe atoms for Fe (110)/ H2O and
4
Fe (110)/ (H2O+N) adsorption systems are shown in figure 2.
2
4.0
0
-25 -20 -15 -10 -5 0 5
3.5 Fe(110)/H2O 40
3.0 Fe(110)/H2O+N
35 Fe(110)/H2O
PDOS/electrons/eV

2.5 Fe(110)/H2O+N

30
H1s
PDOS/electrons/eV

2.0
25
1.5 Fe3d
20
1.0
15
0.5
10
0.0
-25 -20 -15 -10 -5 0 5
4.0 5
3.5 Fe(110)/H2O 0
-25 -20 -15 -10 -5 0 5
3.0 Fe(110)/H2O+N
(E-EF)/eV
PDOS/electrons/eV

2.5

2.0 O2s Fig. 2 PDOSs of the Fe (110)/ H2O and

Fe (110)/ (H2O+N) adsorption system
1.5

1.0 The analysis of PDOS indicate that the addition of N

atom into the Fe (110)/(H2O+N) adsorption system can not
0.5
make the H 1sˈO 2s orbital energy of H2O molecule obviously
0.0 changes. But for O 2p orbital, it can be seen that at the energy
-25 -20 -15 -10 -5 0 5
14 of -5eV, DOS obviously changed. It is clear that these are the
Fe(110)/H2O contribution of N and the 1b1 orbital of H2O. The analysis of
12
Fe(110)/H2O+N electron density difference shows that the electron densities at
10 the energy of -5eV come from the contribution of N atom.
PDOS/electrons/eV

Besides, for the DOS of 4s, 3p, 3d orbitals of substrate Fe

8 atoms, although the existence of N atom can not make the
O2p
6
DOS of outmost 4s, 3p, 3d orbitals of surface Fe atoms
significantly increase, the shape of the apex of DOS near
4 Fermi energy and at energy of -2.5eV have the obvious
changes. According to the charge distribution at this energy, it
2
can be seen that the DOS of this energy are all the contribution
0 of the surface Fe atoms, which indicate that no matter the O
-25 -20 -15 -10 -5 0 5 atom of H2O molecule or N atom did not contribute to the
DOS of surface Fe atoms. On the other hand, N atom have not
contributed to the electronic states of the surface Fe atoms, but

656
 First Principles Investigation of Water Adsorption on Fe (110) Crystal Surface Containing N
the adsorption of N atom on the substrate make the substrate
atoms restructured, which result in the obvious shape changes
of the apex of DOS of the outmost orbitals of Fe atoms. These
imply that N atom did not affect the interaction between H2O
molecule and surface Fe atom more.
4 CONCLUSIONS
By the means of first principles method, H2O molecule
adsorption on N/Fe (110) crystal surface was studied. The
results indicate that the favorite stable structure for Fe (110)/
(H2O+N) adsorption system is H2O-atop and N-hollow and
H2O molecule prefers to lie parallel to the substrate surface.
The calculation results of adsorption energy and geometry
structure show that in contrast to Fe (110)/ H2O system, the
absolute value of adsorption energy is bigger for Fe (110)/
(H2O+N) adsorption system, the geometry structure of H2O
molecule and the orientation of H2O molecule on Fe (110)
surface had no more changes, but the substrate Fe atoms
restructured, which indicate that the existence of N atom have
not got the significant changes of the geometry structure of Fe
(110)/ H2O interface. However, the restructure of the substrate
atoms may lead to the change of the electronic states of the Fe
(110) surface. The calculation results of DOS demonstrated
this hypothesis. The electronic structure results indicate that
the work function of Fe (110)/ (H2O+N) adsorption system
have no obvious changes, compared with Fe (110)/ H2O
system. Mulliken charge population analysis indicate that the
changes of substrate charges result from the induced charges of
electronegative N atom, but not the electrons exchanges of
surface atoms. The DOS analysis imply that the orbital energy
of H2O molecule have not changed significantly for Fe (110)/
(H2O+N) adsorption system, but the restructure of substrate Fe
atoms made the obvious changes of DOS of outmost orbitals.
In a word, the existence of N atom has not significantly
affected the interaction of H2O molecule Fe (110) surface, but
it makes the substrate Fe atoms restructured.
ACKNOWLEDGEMENTS
This work was supported by the National Natural Science
657
Foundation of China (NSFC) Project under grant number
50675112ˈ50505020 and 50721004.
REFERENCES
[1] Thiel P. A., Madey T. E., 1987, Surf. Sci. Rep. 7, pp.211 and
references therein
[2] Henderson M. A., 2002, Surf. Sci. Rep. 46, pp.1and
references therein
[3] Cao C N, 2004, Principles of electrochemistry corrosion,
Beijing: Chemical Industry Press, pp. 45
[4] Talbott D., 2002, Corrosion science and technology, (New
York: Plenum Publishers) pp.134
[5] Menzel D., 2002, Science, 295, pp.197
[6] Feibelman P. J., 2002, Science, 295, pp.99
[7] Feibelman P. J., 2003, Phys. Rev. Lett. 90, pp.186103-1
[8 ] Michaelides A., Ranea V. A., Andres P. L. and King D.
A. ,2003, Phys. Rev. Lett., 90, pp.216102-1
[9] Michaelides A., Ranea V. A., Andres P. L. and King D.
A. ,2004,Phys. Rev. B, 69, pp.075409
[10] Michaelides A., Appl. Phys., 2006, A 85, pp.415-425
[11] Meng S., Xu L. F., Wang E.G. and Gao S. ,2002, Phys. Rev.
Lett. 89, pp.176104
[12] Meng S., Wang E. G. and Gao S., 2004, Phys. Rev. B, 69,
pp.195404
[13] Ranea V. A., Michaelides A., Ramírez R., Vergés J. A.,
Andres P. L. and King D. A., 2004, Phys. Rev. B, 69, pp.205411
[14] Pozzo M., Carlini G., Rosei R. and Alfè D., 2007, J. Chem.
Phys. 126, pp.164706
[15] Schiros T., Hap S., Ogasawara H., Takahashi O., Öström
H., Andersson K., Pettersson L. G. M., Hodgson A. and Nilsson
A., 2006, Chem. Phys. Lett. 429, pp.415
[16] Taylor C. D., Wasileski S. A., Filhol J-S and Neurock
M. ,2006, Phys. Rev. B 73, pp.165402
[17] Taylor C. D., Kelly R. G. and Neurock M., 2007, J.
Electrochem. Soc. 154, pp.F217
[18] Zhao W., Wang J. D., Liu F. B. and Chen D. R., 2008,
ACTA phys., in publishing.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Research on Fabrication and Tribological Properties of Ti-Al Intermetallic Compound

Lubricate Film
Zhang Ye, Li Changsheng, Tian Mingxia
Key lab of Tribology, Jiangsu University, Zhenjiang, Jiangsu, 212013, P.R. China

Extended Abstract
EXPERIMENT DETAILS
Ti-Al intermetallic compound solid lubricate
films were fabricated on substrates of stainless steel Films were fabricated using PSI double electronic

by double-target reactive magnetron sputtering. controlled microwave PVD system. By changing the

Chemical composition of the films ranged from 43.20 relative position of substrates to targets(showed in

to 67.89at%Al by changing the relative position of Fig.1) ,different Ti-Al intermetallic compound films at

substrates to the targets. According to Ti-Al various chemical composition were gained. After heat

equilibrium diagram, the influence of chemical treatment of 650ć h 1h, the microstructure and

composition of films on friction coefficient was chemical composition of the films were respectively

studied by EDS, SEM and friction test in air without investigated by SEM, EDX and XRD. Ball-on-disc

lubricant. These results prove that the friction friction coefficient experiments of different chemical

coefficient of the films ranged from 0.05 to 0.3 at composition films were carried out at room

various chemical composition. Ti-Al intermetallic temperature in air without any lubricant using UMT-3

compound film of Ti-45.59at%Al show the lowest multifunctional friction and wear tribometer.

friction coefficient (0.05) and in the range from 43.20

to 48.23 at% of Al, friction coefficient is also lower
than 0.1.But friction coefficient of films outside the
range increases gradually to 0.3.It is suggested that
films ranging from 43.20 at% to 48.23 at% of Al
forms α2-Ti3Al+γ-TiAl phase. Films with this
stratified structure show better tribological properties
by effectively reducing friction and wear.
Keywords: Lubricate film, Magnetron sputtering, Fig. 1 Relative position of substrates to the targets
Friction coefficient, Lubricant mechanism
RESULTS
INTRODUCTION
Recent years, Ti-Al intermetallic compound films CHEMICAL COMPOSITION

are well studied in order to be widely applied in

machine, chemical industry and aviation areas[1].
Most of these research focus on the fabrication
method, structure, anti-oxidation, anti-corrosion,
hardness and so on[2 ̚ 6],but most of these
investigations put emphases on structure or property
of films with single chemical composition and few
systematic research on tribological properties of the
film was found. In this article, tribological properties Fig. 2 Variety curve of chemical composition along
of Ti-Al intermetallic compound films at various with relative position
chemical composition prepared by double-targeted
co-deposition is systematicly investigated with Ti-Al As shown in Fig.2, from position 1 nearest Ti to

equilibrium diagram. position 4, content of Al decreased rapidly from 67.89

658
 Research on Fabrication and Tribological Properties of Ti-Al Intermetallic Compound Lubricate Film

at% and reached the bottom (43.20 at%) between shows the lowest friction coefficient as 0.045,and in
position 4 and position 5,then became increasing the range from 43.20 to 48.23at% of Al, friction
evidently until position 6.It is estimated that there coefficient is lower than 0.1,outside the range it
exists great difference in sputtering choice during increases rapidly to 0.3.
double-targeted co-deposition sputtering progress. Fig. 5 indicated that wear resistance of films could
XRD RESULTS be effectively improved by heat treatment.
Fig.3 (a) shows when content of Al is 56.78 at%,
γ-TiAl phase is formed in the film.As is showed in
Fig.3 (b),when the content of Al decreased to 45.59
at%, duplex microstructure of α2-Ti3Al+γ-TiAl came
out in the film in accord with Ti-Al equilibrium
diagram.

Fig.5wear rate of films before and after heat treatment

REFERENCES
[1] Von, R., Cremer, R.,1998, “Composition
binding states structure and morphnology
of the corrosion layer of oxidized
Ti0.46Al0.54N film,” Thin Solid Films,
312,pp,190-194.
[2] Bin, Y.A., Chen, G.X., 2001, Effect of
Fig. 3 (a) XRD of film with Ti-56.78 at% Al TiC additions on the formation of Al3Ti
of in situ TiC/Al,” Composites Materials
and Design, 225, pp, 645-650.
[3] Jiang, X.Y., Liu, Q.S., 2002, “The
crystallization kinetics of amorphous
Ti-rich NiTi film,” Journal of Functional
Materials, 33, pp, 389-390.
[4] Kimura, A., Masahiro, K., 2003,
“Anisotropic lattice expansion and
shrinkage of hexagonal TiAlN and
Fig. 3 (b) XRD of film with Ti-45.59 at% Al CrAlN films,” Surface and Coatings
Technology, 169, pp, 367-370.
FRICTION REASULTS
[5] Hampshire, J., Kelly, P. J., Teer, D. J.,
2004, “The tribological properties of
co-deposited aluminium-titanium alloy
coatings,” Thin solid films, 447, pp,
392-398.
[6] Ai, T.T., Wang, F. , 2006, “Preparations
and applications of intermetallic
compounds,” Rare Metals Letters, 25, pp,
Fig. 4 Variety curve of friction coefficient along with
5-8.
chemical composition of films
(The whole paper will be supplied by the authors
if reader needs it.)
It can be seen in Fig.4 that the film of Ti-45.59at%Al

659
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
XPS and SEM Analyses of Self-Repairing Film Formed by Mineral Particles as Lubricant Additives
on the Metal Friction Pairs
*
Wengang Chen1,2 , Yuzhou Gao2 , Huichen Zhang2
1
Southwest Forestry University(College of Communication, Machinery and Civil Engineering Kunming 650224, China)
2
Dalian Maritime University(Electromechanics and Materials Engineering College Dalian 116026, China)
ABSTRACT
The characteristics of the 1045 steel pairs using serpentine
particles as oil additive were investigated by an AMSLER
friction and wear tester. The surface topographies and
composition of the worn surface of 1045 steel rings were
identified by SEM and XPS. The results show that the
additives can form a self-repairing film with a large number of
micro-hole on the worn metal surface, which reduces the wear
extent of the friction pairs significantly. The main elemental
compositions of the film are Fe, O, Si, C and Mg, which
indicates that the additives directly take part in the formation
of the self-repairing film. The mechanism is that the rubbing
action of the asperities between the two contact surfaces makes
the surface of the particles generate a large numbers of
dangling bonds during the process of friction. At the same time,
the activated surface formed on the contact metal friction pairs
make the particles adhered to it. Under the action of shearing
stress on the contact surfaces, the particles spread on the worn
metal surface to form self-repairing film.
Keywords: Serpentine; Self-repairing; Lubricant
Additives; Wear; XPS
INTRODUCTION
Put introduction text here. Please use the
number-in-bracket [1] reference format throughout the paper.
Friction and wear induces severe damage in the industry of all
the world. Many researchers have conducted a great deal of
studies in order to reduce the damage in maximum limit. A
quite effective method among the studies is adding
wear-resistant and antifriction nano-particle or micro-particle
additives into the lubricant. The nano-particles had been
studied include: (a) nano-metal, such as Cu [1], Ni [2], Pb [3].
(b) nano-metal sulfide, such as MoS2 [4], WS2 [5], ZnS [6]. (c)
nano-inorganic borate, such as Mg2B2O5 [7], Zinc borate [8],
aluminum borate [9]. (d) nano-inorganic carbonate, such as
CaCO3 [10]. (e) nano-Oxide, fluoride and hydroxide, such as
TiO2 [11], SiO2 [12], CaF2 [13], cobalt hydroxide [14]. (f)
nano- rare-earth compound, such as LaF3 [15], La(OH)3 [16].
All of the above mentioned studies have obtained good results.
However, the production process of all the nano-particles are
complex and unfit for mass production.
Recently, an material named worn metal self-repairing
additive has been studied extensively. The additive is made of
particles that prepared out of natural minerals, which can
effectively solve the above problem. It does not react with base
oil and change the viscosity and properties of the oil. The
additives can finish the self-repairing process of the worn
metal surface during the operation process without
disintegrating the mechanical equipment[17, 18, 19]. At the
present time, many researchers have studied self-repairing
technology of the worn surface of metal friction pairs and
concluded that a self-repairing protective film can be formed
on the worn surface by adding self-repairing additives into the
lubricant [20, 21]. But for the film-forming mechanism, some
*Corresponding author. Tel: +86 871 3862648.
E-mail address: FKHQZHQJDQJ#FRP
660
researchers believe that the self-repairing additives directly
take part in the formation of self-repairing film, whereas others
believe that the self-repairing additives themselves promote the
formation of the protective film instead of participating in the
formation process. In order to further investigate the formation
mechanism of the self-repairing film, this work conducted the
friction and wear test on an AMSLER friction and wear tester
using serpentine particles modified by oleic acid as lubricant
additives. The morphology, mechanical performances and
chemical states of the self-repairing film were characterized.
With these results, the possible formation mechanism of the
self-repairing film on the worn metal surfaces was discussed.
1. EXPERIMENTAL DETAILS
1.1 LUBRICANT
The main constituent in the serpentine formulation
chemistry is magnesium silicate hydroxide of empirical formula
Mg3Si2O5(OH)4, which was first pulverized into particles with
sizes of less than 0.07 mm, then uninterruptedly ground for 24 h
using a QM–BP planetary ball-milling machine. Then added the
resulting fine particles with size smaller than 10 m and oleic
acid into acetone and ultrasonically oscillated for 20 min. So
surface-modified serpentine particles were obtained after the
evaporation of acetone. Finally, the particles modified by oleic
acid and N46 machine oil were added into the ball-milling
machine with the 2 wt% particles of the N46 machine oil. Then
a highly dispersive lubricant containing self-repairing particles
additives was prepared after 2 h ball milling.
1.2 APPARATUS AND TEST PROCEDURE
The friction and wear test were conducted on an AMSLER
friction and wear tester under load of 750 N with the fixed
upper sample and the lower sample rotating at 200 r/min for 100
h. The friction pairs were made of 1045 steel. The hardness of
HRC 43–45 could be attained after heat treatment. The size of
the upper sample was 10 mm×10 mm×16 mm. The lower
sample was 40 mm in diameter and 10 mm in thickness. The
diagrammatic sketch of friction wear test was shown in Fig. 1.
The lower sample was cleaned ultrasonically in acetone before
and after the test. Weight loss was measured by weighing the
lower samples to an accuracy of 0.1 mg by using electronic
balance.
Fig. 1 Diagrammatic sketch of friction wear test.
 XPS and SEM Analyses of Self-Repairing Film Formed by Mineral Particles as Lubricant Additives on the Metal Friction Pairs

1.3 TRIBOLOGICAL PERFORMANCE EVALUATION 2.2 SEM ANALYSIS

The worn surface topography was examined using a Philips Figure 3 shows the SEM images of the steel rings lubricated
XL–30 scanning electronic microscope (SEM). The chemical with different lubricants. Obviously, there are many deep
state, or molecular compositions in the film were identified on a scratches on the surface of the 1045 steel ring lubricated with
Thermo VG ESCALAB250 X-ray photoelectron spectroscopy N46 machine oil. For the sample lubricated with lubricant
(XPS). An Al Ka line at 1486.6 eV was used with the pass containing additives, there are only a few scratches on the local
energy of 50.0 eV. The vacuum of the analysis chamber was area and the majority of its surface is covered by membranous
2×10-8 Pa. The depth analysis of the self-repairing film substance with a great deal of micro-holes.
chemical composition was conducted by using sputter-ion
method. An Ar ion beam was used to depth sectional corrosion
with energy voltage of 2 kV and current of 2 A. The vacuum of
the analysis chamber was 1×10-5 Pa in the corrosion process.
The binding energies of the peaks were referenced to C1s
binding energy at 285 eV.

2 RESULTS AND DISCUSSION

2.1 FRICTION COEFFICIENT AND WEIGHT LOSS

Figure 2 shows the variation of friction coefficient of the
friction pairs lubricated with different lubricants. It can be seen
that the friction coefficient of the friction pairs lubricated with
N46 machine oil gradually decreases with friction time
increasing and eventually remains at 0.05 as the friction test
time reaches 100 h. However, the friction coefficient of the
sample lubricated with lubricant containing serpentine particles (a)
additives decreases first, then basically remains at about 0.118.
The friction coefficient of the sample lubricated with lubricant
containing serpentine particles is higher than that of the sample
lubricated with N46 machine oil during the friction process.
Namely, the addition of the serpentine particles makes the
friction coefficient of the friction pairs increase. The reason for
this phenomenon had been analyzed in the previous studies [22]
that the self-repairing film forms on the worn surface during the
friction test process and the interfaces of the friction pairs are
transformed from steel/steel to self-repairing film/self-repairing
film. The friction coefficient of the self-repairing film is higher,
therefore it causes an increase in the friction coefficient for the
friction pairs lubricated with lubricant containing serpentine
particles.

(b)
Fig. 3 SEM images of worn surface of 1045 steel rings with
different lubricants((a) Lubricant without additive, (b)
Lubricant with additive).

2.3 XPS ANALYSIS

Fig. 2 Friction coefficient vs. test duration with different
lubricants.
The weight loss of the samples lubricated with N46 machine
oil and lubricant containing serpentine particles was 2.9 mg and
1.8 mg, respectively. The weight loss of the latter sample
decreased 37.9%. It indicates that the addition of serpentine
particles into the lubricant can reduce the weight loss of the
sample significantly.
In order to explore the elemental composition and the
chemical state of the membranous substance, XPS analysis was
conducted. The scanning area of the surface with a great deal of
micro-hole was shown in the Fig. 4. Fig. 5 shows XPS survey
spectrum of the sample surface and the surface after 12 min, 24
min etching. It can be seen that the main composition elements
of the membranous substance are Fe, C, O, Mg and Si. The
presence of the major constituent elements of the serpentine,
Mg and Si, confirm the existence of the self-repairing film and
the serpentine particles take part in the formation of the
self-repairing directly. The composition elements of the
self-repairing film is different with the study of Yu [17] and
Yang [20], The study of Yu displays that the film made up of C,
Si and O elements and the study of Yang displays that the film
made up of Fe, C and O elements.
In order to investigate the chemical state of the composition
elements at different position in the film, the fine XPS spectrum
of the Fe2p, O1s, Mg1s, Si2p and C1s of the sample surface, 12 min
and 24 min etched surface was collected and shown in the Fig. 6.

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

substrate produced by the friction and wear action.

Fig.6(c) and Fig.6(d) were the fine XPS spectrum of the Si2p
and Mg1s, respectively. It can be seen from the Fig.6(c) that the
peak position of the Si2p was all at the binding energy of
102.3eV. It indicates that the Si element presented as silicate
phase in the film. And it can be seen from the Fig.6(d) that the
peak position of the Mg1s was all at the binding energy of
1304.9 eV. It also indicates that the Mg element presented as
silicate phase in the film. Fig. 6(e) shows the fine XPS spectrum
of the O1s. It can be seen that the O element mainly presented as
organic relic in the surface. After 12 min and 24 min etching, the
O element mainly presented as silicate phase in the inner of the
film.

Fig. 4 SEM image of the worn surface after 100h test.

(a)

Fig. 5 XPS survey spectrum of the sample after 100h test.

Fig.6(a) shows fine XPS spectrum of C1s. It can be seen that

the C element presents as organic relic in the surface of the film.
The organic relic mainly derived from the heat decomposition
of the lubricant during the friction and wear process. The
presence phase of the C element changed to graphite
phase(284.8eV) after 12min and 24min etching. The graphite
mainly derived from the heat decomposition of the lubricant and
the particles surface modifier during the friction and wear
process. (b)
Fig.6(b) shows fine XPS spectrum of Fe2p. It can be seen
from the figure that the Fe element presents as Fe2O3(712.4 eV)
corresponding to Fe2p3/2 in the surface of the film, and the
intensity of the peak was weak, which indicates that the content
of the Fe element in the surface of the film is lower. It can be
seen that Fe2O3(724 eV), FeOOH(724.3 eV) and Fe(720.3 eV)
corresponding to Fe2p1/2 and Fe2O3(710.4 eV),
FeOOH(711.5eV) and Fe(707.4 eV) corresponding to Fe2p1/2
appeared in the XPS spectra after 12 min and 24 min etching
obviously. The appearance of the Fe simple substance can be
attributed to the abrasive on the substrate surface or the grinding
produced during the friction and wear process, which can form
self-repairing film together with the additives under the actions
of the frictional force and tribochemistry action in the friction
and wear process. The appearance of the FeOOH may be
attributed to the chemical action between the hydroxyl group
produced by the dissociation of the serpentine particles during (c)
the friction and wear process and the fresh surface of the

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 XPS and SEM Analyses of Self-Repairing Film Formed by Mineral Particles as Lubricant Additives on the Metal Friction Pairs
(d)
(e)
Fig. 6 The fine XPS spectrum of the Fe2p, O1s, C1s, Si2p and Mg1s
of the self-repairing film((a) C1s, (b) Fe2p, (c) Si2p, (d) Mg1s, (e)
O1s).
From the above analyses, it can be generalized that the
additive particles directly took part in the formation of the
self-repairing film and constituted the main component of the
film. The following conclusion can be drawn about the
mechanism of self-repairing film formed on the sample surface:
(a) the serpentine particles can be ground into smaller size in the
friction process by the surface asperities of the two contacting
surfaces. Serpentine minerals are Mg-rich trioctahedral 1:1
phyllosilicate. The ideal chemical formula of serpentine is
Mg3Si2O5(OH)4. Sheets are bonded by van der Waals forces.
There are unsaturated Si-O-Si, O-Si-O and magnesium bonds
on the fracture surface of the serpentine [23, 24]. In addition,
brucite lamina ruptures during the dissociation process of the
particles and formed hydroxyl group. The particles possess a
large number of surface dangling bonds after ground. At the
same time, the friction produces fresh surfaces of the steel
where the activity of friction pairs and the grindings is enhanced.
(b) The serpentine particles with activated surface react with the
fresh surface. So a great deal of particles adhere on the steel
surface. The activatory grindings and activatory particles adhere
to each other, then deposit on the pits of the friction pairs. At the
same time, a few of particles with bigger size also deposit on the
pits of friction surface. (c) The particles, which adhered on the
activatory surface and deposited on the pits bring tribochemistry
and calender action under the process of the mechanochemistry,
tribochemistry, triboheat and load. Then a self-repairing film
formed on the local area of the friction pairs surface. (d) The
particles continually spread on the friction pairs surface under
the process of the mechanochemistry, tribochemistry, triboheat
and load until self-repairing film covers with the friction pairs
surface. The spreading phenomenon can be seen clearly in Fig.7.
663
Afterward, the wear and the self-repairing film formation
process reaches dynamic balance. Actually, further work needs
to be done to accurately present the details of the formation of
the film.
Fig. 7 The micro-pattern of the junction between the
self-repairing film and 45 steel rings.
3 CONCLUSION
(1) The serpentine particles as lubricant additives can
effectively reduce the weight loss of the metal friction pairs
after 100 h friction and wear test.
(2) The serpentine particles directly take part in the formation of
the self-repairing film and constituted the main component of
the film. The film formed by serpentine particles with a great
deal of micro-holes.
(3) The appearance of the FeOOH indicated that the serpentine
particles decomposed during the friction and wear process and
formed hydroxyl group and a large number of surface dangling
bonds. The hydroxyl group and the large number of surface
dangling bonds reacted with the fresh surface and the grinding.
Then the serpentine particles spread on the worn metal surface
under the process of the friction force, friction chemistry,
friction heat and load.
ACKNOWLEDGEMENTS
This work is supported by the National Natural Science
Foundation of China under Grant No.50472025.
REFERENCES
[1] Tarasov S, Kolubaev A, Belyacev S, et al. 2002, “Study of
friction reduction by nanocopper additives to motor oil,”
Wear, 252(1-2), pp.63-69.
[2] Qiu S Q, Zhou Z P, Dong J X, et al. 2001, “Preparation of Ni
nanoparticles and evaluation of their tribological
performance as potential additives in oils,” Transactions of
the ASME. J. Tribology, 123(3), pp.441-443.
[3] Zhao Y., Zhang Z., and Dang H. 2004, “Fabrication and
Tribological Properties of Pb Nanoparticles,” J.
Nanoparticle Research, 6, pp.47-51.
[4] Chhowalla M., and Amaratunga G A J. 2000, “Thin films of
fullerene-like MoS2 nanoparticles with ultra-low friction
and wear,” Nature, 407(6801), pp.164-167.
[5] Rapoport L., Lvovsky M., Lapasker I., et al. 2001, “Friction
and wear of bronze power composites including
fullerene-like WS2 nanoparticles,” Wear, 249, pp.149-156.
[6] Liu W., Chen S. 2000, “An investigation of the tribological
behavior of surface-modified ZnS nanoparticles in liquid
paraffin,” Wear, 238(2), pp.120-124.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
[7] Hu Z., Lai R., Lou F., et al. 2002, “Preparation and
tribological properties of nanometer magnesium borate as
lubricating oil additive,” Wear, 252(5-6), pp.370-374.
[8] Dong J., and Hu Z. 1998, “A study of the anti-wear and
friction-reducing properties of the lubricant additive,
Nanometer Zinc borate,” Tribol. Int., 31(5), pp.219-223.
[9] Hu Z., Shi Y., Wang L., et al. 2001, “Study on antiwear and
reducing friction additive of nanometer aluminum borate,”
Lubrication Engineering, 57(3), pp.23-27.
[10] Dong J., Chen G., and Qiu S. 2000, “Wear and friction
behaviour of CaCO3 nanoparticles used as additives in
lubricating oils,” Lubr. Sci., 12, pp.205-212.
[11] Gao Y., Chen G., Li Y., et al. 2002, “Study on tribological
properties of oleic acid-modified TiO2 nanoparticle in
water,” Wear, 252, pp.454-458.
[12] Li X., Cao Z., Zhang Z., et al. 2006, “Surface-modification
in situ of nano-SiO2 and its structure and tribological
properties,” Appl. Sur. Sci., 252 (22), pp.7856-7861.
[13] Wang L., Wang B., Wang X., et al. 2007, “Tribological
investigation of CaF2 nanocrystals as grease additives,”
Tribol. Int., 40, pp.1179-1185.
[14] Chen G., Hu Z., Dong J., et al. 2001, “Study on antiwear
and reducing friction additive of nanometer cobalt
hydroxide,” Lubrication Engineering, 4, pp.36-39.
[15] Zhang Z., Yu L., Liu W., et al. 2001, “The effect of LaF3
nanocluster modified with succinimide on the lubricating
performance of liquid paraffin for steel-on-steel system,”
Tribol. Int., 34(2), pp.83-88.
[16] Zhang Z., Liu W., and Xue Q. 2001, “The tribological
behaviors of succinimide-modified lanthanum hydroxide
nanoparticles blended with zinc dialkyldithiophosphate as
664
additives in liquid paraffin,” Wear, 248(1-2), pp.48-54.
[17] Yu Y., Gu J., Kang F., et al. surface restoration induced by
lubricant additive of natural minerals. Appl. Sur. Sci., 2007,
253, pp.7549-7553.
[18] Guo Y., Xu B., Ma S., et al. 2004, “Effect of hydroxyl
silicate particulates as an additive on the friction and wear
behavior of mild steel/ductile cast iron pair,” Tribology, 24
(6), pp.512-515.
[19] Tian B., Wang C., Yue W., et al. 2006, “Influence of the
wear-self-repairing effect on the Cr-plated cylinder liner by
a cermet additive in lubricating oil,” Tribology, 26(6),
pp.574-579.
[20] Yang H., Zhang Z., Li S., et al. 17-20 May 2004,
“Generation and Characterization of a Protective Layer on
Steel Tribosurfaces in Presence of Mg6Si4O10(OH)8,” 2004
STLE Annual Meeting Conference proceedings, Sheraton
Centre Toronto, Toronto, Ontario, Canada, Preprint.
M(NP)-04-28, pp.946-957.
[21] Jin Y., Li S., Zhang Z., et al. 2004, “In situ
mechanochemical reconditioning of worn ferrous surfaces,”
Tribol. Int., 37, pp.561-567.
[22] Chen W., Gao Y., Zhang H., et al. 2008, “Influence of
heat-treated serpentine particles on wear properties of metal
surface,” J. chinese ceramic society, 36(1), pp.31-34.
[23] Li X., Wang L., Lu A.ˈet al. 2003, “A discussion on
activation mechanism of atom groups in serpentin,” Acta
Petrologica Et Mineralogica, 22 (4), pp.386-390.
[24] Peng T., Dong F., Li G., et al. 2000, “Nanostructure effect
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Mineralogica, 19(3), pp.280-286.
 Study on the Characteristics of Transferred Lubricating Thin Films on Ceramic Surfaces Generated in Liquid Nitrogen

Study on the Characteristics of Transferred Lubricating Thin Films

on Ceramic Surfaces Generated in Liquid Nitrogen

Le Gu / Harbin Institute of Technology, gule@hit.edu.cn Liqin Wang / Harbin Institute of Technology

Dezhi Zheng / Harbin Institute of Technology Xiaomei Jia / Harbin Institute of Technology
Box 424, Harbin Institute of Technology, No. 92, Xidazhi Street, Harbin, 150001, China

(Extended Abstract)

ABSTRACT operating loads were detected by OM, AFM, XPS and Roman
The ceramic bearings operated in liquid nitrogen are mainly spectrometry.
lubricated by the thin films transferred from the PTFE based Table 1 Parameters of test bearings
composite retainers. The thin films on silicon nitride balls Dimension /mm ž25hž52h15
surfaces are generated by the friction and interaction among Initial contact angle /deg. 20-23
the composite retainer, the balls and the ANSI 440C stainless Retainer guidance Outer land-guided
steel rings.
Rotational speed /rgmin-1 40000
The characteristics of transferred lubricating films on silicon
Operating load /GPa 2.4 GPa , 2.8GPa
nitride ball surfaces which generated by working in liquid
nitrogen at 2.4GPa and 2.8GPa are analyzed. The distribution
of thin films on silicon nitride balls surfaces are observed by
metallic microscope. The profiles of transferred thin films are RESUTLTS AND DISCUSSION
measured by atom force microscope. The component and In liquid nitrogen, the hybrid bearings operated well at
structure of transferred thin films are detected by X-ray 2.4GPa while failed with raceway peeling at 2.8GPa. The
photoelectron spectroscopic and Roman spectrometry. The optical microscopic inspection of disassembled bearing
results show that the transferred thin films are interrupted elements shows that all ceramic balls adhered transfer film,
distribution on silicon nitride ball surfaces and the thickness is with partially appeared black wear band. Fig 1 shows the
about half to one micron. The surface layer of transfer films, photograph of transfer film on ball surfaces at different loads.
about 100nm thickness, degraded under heavy load with metal The XPS analysis of the transfer film and black band showed
fluoride generation. The bonding strength between the that the lubricating film degradation occurred with metal
degradation layer and the transfer film is very weak. fluoride generation (Fig 2).
Keywords: Transfer film, Ceramic bearing, PTFE, Liquid
nitrogen

INTRODUCTION
The high-speed ball bearings operating in cryogenic liquid
media, such as liquid hydrogen and liquid nitrogen, are
self-lubricated by a thin film transferred from the bearing
retainers because of the shortage of hydrodynamic lubrication (a) Max load 2.4GPa (b) Max load 2.8GPa
due to the temperature limit and low viscosity of cryogenic Fig. 1 photograph of transfer film on silicon nitride balls
liquids [1]. To ensure the good lubrication in the bearing, many
types of retainer materials, such as HF-etched glass-cloth
reinforced PTFE [2], Ekonol and Aramid fibre enhanced PTFE
[3], were introduced. Also hybrid ceramic bearings, made out
of silicon nitride balls and ANSI 440C stainless steel rings,
have been proven to have better performance than all steel
bearings in cryogenic conditions [4-5]. The fatigue behavior of
ceramic bearings in liquid nitrogen was revealed[6], and the
critical load capacity of PTFE transfer film without bearing
damage in liquid hydrogen was determined to be about 3.0 682 684 686 688 690 692
GPa for the hybrid ceramic bearing and about 2.0GPa for the
F1s binding energy, eV
all-steel bearing[7]. The primary goal of this research is to
Fig. 2 XPS analysis for the surface layer of transfer film
study the transfer films on silicon nitride balls at different
loading conditions in liquid nitrogen. The degradation layer and whole transfer film were
measured by AFM with silicon probe. Fig 3 shows the
EXPERIMENTS
degradation layer characteristics and the thickness
The details about the bearing tester show in [6]. The test measurement. The degradation layer has been moved
bearings are angular-contact, 25-mm-bore ball bearing of easily and piled up by the probe even though negative
precision grade 4 (P4). The ring material is ANSI  440C
normal force applied to the probe. The interface of
stainless steelˊThe ball material is hot-pressed silicon nitride.
scanning once and twice is show in Fig3-b. The interface
The retainer is made of Ekonol and Aramid fiber enhanced
PTFE composites. The main design and operation parameters maximum vertical distance is about 68nm. According to
of the test bearing are listed in Table 1. the scanning process, the probe needs one or two loops
The transfer film on silicon nitride balls at different to move the degradation layer completely. Thus the

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

degradation layer thickness should be in the degree of

about 100nm.
Fig 4 shows the shape and thickness measurement of
the whole transfer film. The transfer film is stack at
2.4GPa while it is sturdy at 2.8GPa. The film thickness
is about 500 to 800nm at 2.4GPa and about 439nm at
2.8GPa. The difference of film thickness may be related
(c) transfer film shape at 2.8GPa
to the press function.
The Roman spectrometry of transfer film also discover
the partial degradation.

(d) transfer film thickness at 2.8GPa (439nm)

(a) Scanning characteristics
(b) Scanning interface
Fig. 4 Shape and thickness measurement of transfer film
CONCLUSIONS
1. The surface layer of transfer films had degraded both at
2.4GPa and at 2.8GPa load. The degradation layer thickness is
about 100nm and their bonding strength is very weak.
2. The real thickness of transfer films is related to the press
function of operating load and it is approach half to one micron.
Thus the degradation only occurs at the surface layer.

(c) Degradation layer thickness measurement˄68nm˅
Fig. 3 Degradation layer of transfer film
(a) transfer film shape at 2.4GPa
(b) transfer film thickness at 2.4GPa (567-818nm)
ACKNOWLEDGEMENTS
Project Supported by 973 Program (No. 2007CB607602),
NSFC (No. 50605014), and Development Program for
Outstanding Young Teachers in Harbin Institute of Technology
(HIT.2006.36).
REFERENCES
[1] Nosaka M., Kikuchi M., Oike M., et al, 1999,
“Tribo-Characteristics of cryogenic hybrid ceramic ball
bearings for rocket turbopumps: bearing wear and transfer
film,” Tribology Transaction, 42, 1, pp106-115
[2] Kannel J W, Dufrane K F, Barber S A, et al, 1988,
“Development of improved self-lubricating cages for
SSME HPOTP bearings, In Advanced Earth-to-Orbit
Technology,” NASA Conference Publication #3012, NASA,
Huntsville, AL, pp175-189.
[3] Jia X, Wang L, Gu L, et al, 2005, “Study on friction and
wear behavior of Ekonol filled PTFE composites under dry
conditions,” Lubrication Engineering, 171, pp16-18,42. (In
Chinese)
[4] Wang L, Snidle R. W., Gu L, 2000, “Rolling contact silicon
nitride bearing technology: a review of recent research,”
Wear, 246, pp159㨪173.
[5] Wan G.T.Y., Gabelli A., Ioannides E., 1997, “Increased
performance of hybrid bearings with silicon nitride balls,”
Tribology Transaction, 40, pp.701-707.
[6] Nosaka M., Takada S., Kikuchi M., et al, 2004,
“Ultra-high-speed performance of ball bearings and
annular seals in liquid hydarogen at up to 3 million
DN(120,000 rpm),” Tribology Transactions, 47, pp43-53.
[7] Gu L, Wang L, Jin Y, Li X, 2003, “Fatigue behavior of
hybrid ceramic ball bearings in liquid nitrogen,” Tribology
Transaction, 46, pp494-498.
(The whole paper will be supplied by the authors if reader
needs it.)

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 Cr17Ni14Mo3 Powder Laser Cladding on 45Steel Substrate

Cr17Ni14Mo3 Powder Laser Cladding on 45Steel Substrate

Zhao Fangfang/ School of Mechanical and Electronic

Sun Huilai /School of Mechanical and Electronic
Engineering, Tianjin Polytechnic University or School of
Engineering, Tianjin Polytechnic University
Management, Tianjin University
Lin Shuzhong/ School of Mechanical and Electronic Qi Xiangyang/ School of Mechanical and Electronic
Engineering, Tianjin Polytechnic University Engineering, Tianjin Polytechnic University

(Extended Abstract)

ABSTRACT
0.6
The relationship between laser power, scan-rate, thickness V=220mm/min

thickness of coating(mm)
of pre-placed powder particles, overlap, preheating and laser D= 0.3mm
0.5 H=0.5mm
cladding coating quality was analyzed. Laser cladding of
Cr17Ni14Mo3 stainless steel powders on 45steel substrate was
0.4
conducted, and microstructure of laser cladding coating was
analyzed. The micro-hardness and wear testing of laser
0.3
cladding layer were examined. The results showed that
microstructure of laser cladding zone was exiguous dentrite,
0.2
and there were dispersion of hard spots in the laser cladding
zone. Performances of erode-resistant, surface hardness and
wear-resistant were improve obviously. The residual stress in 240 260 280 300 320 340
cladding coating usually was tensile stress, with the further
increasing depth of coating, the residual stress began to fall laser voltage (power)(V)
and stabilized gradually, and the residual stress values in Fig.1 The relation between thickness of laser cladding coating
substrate was smaller than in cladding coating. and laser voltage (power)
Keywords: laser cladding, technics parameters, microstructure,
micro-hardness, wear-resistant The relationship between scan-rate and the thickness of
coating is shown in figure 2.
INTRODUCTION 0.6
P=700W
The laser cladding technology as surface modified methods
thickness of coating(mm)

D= 0.3mm
has been developing in recent years. The laser beam melts the 0.5 H=0.5mm
powder particles and a thin coating of substrate to deposit a
coating of the powder particles on the substrate. A great variety 0.4
of materials can be deposited on substrate using laser cladding.
Currently, the coating materials mainly were Ni-based alloys,
0.3
Co-based alloys and Fe-based alloys, coated micro-hardness,
wear-resistant and erode-resistant performance are
significantly enhanced. 45 steel was an example, the 0.2
technology of Cr17Ni14Mo3 stainless steel (namely 316L)
laser cladding was carried out. And it showed that laser 180 200 220 240 260 280
cladding coating with substrate had a nice metallurgical combo,
compact crystal structure, and had even higher hardness, scan-rate (mm/min)
wear-resistant and erode-resistant. Fig.2 The relation between thickness of laser cladding coating
and scan-rate
TECHNICS PARAMETERS OF LASER CLADDING
Figure 3 showed the relationship curves between the
In this paragraph it was detailed that the relationship
thickness of powder and depth of cladding coating.
between laser power, scan-rate, thickness of pre-placed powder
particles, overlap, preheating and laser cladding coating quality
0.6
was analyzed. Laser power increase resulted in increasing P=700W
depth of laser coating(mm)

depth of coating, deformation and cracking, and in decreasing D= 0.3mm

0.5 v=220mm/min 
the number of pore. Scan-rate increase resulted in decreasing
coating height and width, and specific energy decrease was
0.4
conducive to reduce the dilution rate. That thickness of
pre-placed powder particles was less than depth of cladding
0.3
coating was conducive to form nice metallurgical combo.
Overlap rate increase was conducive to obtain smooth surface 0.2
cladding coating, however the coating equality turned worse in
the depth of cladding coating. Preheating can significantly
reduce the thermal stress, prevent deformation and warping 0.2 0.3 0.4 0.5 0.6 0.7 0.8
and improve forming precision. thickness of pre-placed powder(mm)
Figure 1 was showed that the relationship between
thickness of laser cladding coating and laser voltage (power) Fig.3 The relationship between the thickness of powder
relationship curve. and depth of cladding coating

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
EXPERIMENTAL RESULTS & ANALYSIS
The fig.5 showed that microstructure of combo between
Cr17Ni14Mo laser cladding and surface of 45 steel. Laser
cladding coating was mainly composed with three zones:
cladding zone, melted zone and substrate heat affected zone.
Microstructure of the cladding zone was exiguous dentrite that
had compact/uniform crystal structure and no disfigurement off
air-hole and crack. Melted zone was transitional zone from
cladding zone to substrate heat affected zone, no obvious limit.
It was white band in fig.6. The melted zone mainly contained
Fe, Ni, Cr and Si elements. It was dentate interface combo with
cladding zone and substrate, and the dentate structure embed
cladding zone like chock. Combinative intensity was enhanced
and residua stress was reduced to avoid crack in embedded
zone of cladding zone and substrate. Nice metallurgical combo
was obtained. The substrate heat affected zone was acicular
martensite crystal.
Fig.5 Microstructure of laser cladding combo 400×
Fig.6 Microstructure of laser cladding layer 400×
Figure 7 was micro-hardness distribution of laser cladding
coating along the depth, after measurements micro-hardness
value HK of different regions, it can be obtained that the
micro-hardness presented a gradient distribution from cladding
zone, melted zone to substrate. The hardness value of laser
cladding coating and melted zone was significantly more
enhanced than substrate.
220
200
180
Microhardness(HK)
160
140
120
100
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
cladding melted substrate
coating zone
Distance from coating surface(mm)
Fig.7 Micro-hardness distribution of cladding coating
668
And the Figure 8 shows the surface aspect of coating and
substrate. The surface present plough furrows aspect. The
plough furrows were slender and shallow in laser cladding
coating as 8a shows, and the plough furrows were wide and
deep in substrate materials as 8b shows.
The residual stress in cladding coating usually was tensile
stress, with the further increasing depth of coating, the residual
stress began to fall and stabilized gradually, and the residual
stress values in substrate was smaller than in cladding coating.
The Figure 9 showed that Residual stress distribution of laser
cladding coating.
a b
Fig. 8 The surface aspect of coating and substrate
residual stress(MPa)
melted substrate
cladding coating
zone
Distance from coating surface(mm)
Fig.9 Residual stress distribution of laser cladding coating
REFERENCES
[1] Liu Jichang; Li Lijun, 2004, “In-time motion adjustment in
laser cladding manufacturing process for improving
dimensional accuracy and surface finish of the formed
part ,” Optics and Laser Technology, 36,pp. 477-483
[2] SUN Huilai, LIN Shuzhong, WANG Tao, 2005, “Research
on OEF Geometry Control Algorithm in
Dual-Galvanometric Laser Scanning Manufacturing,”
Chinese Optics Letter, 3, pp.302-304
[3] Yakovlev A., Bertrand P., Smurov I, 2004, “Wear-Resistant
Coatings with Engineered Structure by Laser Cladding,”
Tribology Letters, 17, pp.705-708
[4] Tsui TY, Oliver W.C., Pharr G.M, 1996, “Influences of
stress on the measurement of mechanical properties using
nanoindentation: Part 1. Experimental studies in an
aluminum alloy,” Journal of Materials Research, 11, pp.
752-759
[5] Bolshakov A., Oliver W.C., Pharr G.M, 1996,þInfluences
of stress on the measurement of mechanical properties
using nanoindentation: Part II. Finite element simulations,”.
Journal of Materials Research, 11, pp. 760-768
(The whole paper will be supplied by the authors if reader
needs it.)
 Microstructure and Tribological Properties of Plasma Sprayed NiCr/Cr3C2 and NiCr/Cr3C2-BaF2·CaF2 Composite Coatings

Microstructure and Tribological Properties of Plasma Sprayed NiCr/Cr3C2 and

NiCr/Cr3C2-BaF2·CaF2 Composite Coatings

Chuanbing Huang 1,2, Lingzhong Du 1, Weigang Zhang 1,*

1
State Key Laboratory of Multi-Phase Complex SystemsˈInstitute of Process Engineering, Chinese Academy of Sciences,
Beijing 100190, China
2
Graduate University of Chinese Academy of Sciences, Beijing 100049, China

ABSTRACT solid lubricant materials have been developed to meet

NiCr alloy coated BaF2CaF2 eutectic and Cr3C2 powders
(NiCr/Cr3C2 and NiCr/BaF2·CaF2) are prepared by pressurized
hydrogen reduction and solid state alloying process.
NiCr/Cr3C2 and NiCr/Cr3C2-BaF2·CaF2 coatings are fabricated
by atmospheric plasma spray technology. Both the coatings
exhibit low porosity, high micro-hardness and high cohesive
strength. Compared with NiCr/Cr3C2 coating, the
NiCr/Cr3C2-BaF2·CaF2 coating shows much more superior
wear resistance and noticeably lower friction coefficient under
dry sliding wear test conditions at high temperature. The
friction coefficient of both two coatings are high (=0.7-0.8) at
room temperature, and decreases with the increase of load.
However, the friction coefficient of NiCr/Cr3C2-BaF2·CaF2
coating reduces to 0.38±0.03 when temperature is up to 500ć,
which is significantly lower than NiCr/Cr3C2 coating
(=0.62±0.02). Brittle fracture and delamination are the
dominant wear mechanisms of the two coatings at low
temperature. BaF2·CaF2 eutectic, acting as a solid lubricant
above 500ć, obtains a much lower shear strength to effectively
reduce friction and wear rate of both coating and coupled Si3N4
balls by forming a lubricating film in the wear track.
Keywords: Plasma spray, Self-lubricant coating, Microstructure,
Tribological properties
1 INTRODUCTION
Coatings can be applied to surfaces to improve the surface
characteristics and are widely used in tribological applications
either to reduce wear and/or to modify friction during sliding
contact. Thermally sprayed Cr3C2-NiCr coating with high
erosion resistance, high hardness and wear resistance, has been
used to prevent oxidation effect up to 800ć, so it is a
promising coating applied for the strict service environment at
high temperature. Several investigators have studied the
friction and wear behaviors of Cr3C2-NiCr coatings [1-6].
However, because of the high sliding friction coefficient of
Cr3C2-NiCr coatings, the counter materials have significantly
high wear rate during long sliding process, which greatly
limited the application on high speed rotation devices. Recently,
Ni(NH3 ) n SO4  H 2  Cr3C 2 >surfactant
>> >' Ni/Cr3C 2  (NH4 ) 2 SO4  (n - 2)NH3 (n < 2)
engineering requirements [7], and soft noble metals, inorganic
fluorides and some metal oxides have been successfully
employed as solid lubricants to prepare composite coatings
[8-12]. CaF2/BaF2 eutectic possesses adequate thermophysical
properties and stable thermochemistry at elevated temperatures,
as well as low shear strength properties, and a series of
plasma-sprayed high temperature self-lubricating coatings such
as PS212 and PS300 with a working temperature limited up to
800ć have been developed by NASA. In their work,
self-lubricating composites doped with solid lubricants of
CaF2/BaF2 eutectic and silver in a metal-bonded chromium
carbide (Cr3C2) matrix have been developed by plasma
spraying and powder metallurgy methods [12-14]. However,
there are problems that in plasma spray process, the
decarburization and oxidation of carbide usually happen on
in-flight period in the flame and depositing process of spray
droplet from impact on surface to cooling down to substantially
low temperature[15-17], which have adverse effects on the
properties of coatings. To solve the problem and reduce the
ablation of low melting point solid lubricant, in this work we
use pressurized hydrogen reduction and solid state alloying
process to prepare NiCr coated Cr3C2 and BaF2·CaF2 eutectic
powders instead of traditional mechanical mixed or sintered
powders, and fabricate NiCr/Cr3C2 and NiCr/Cr3C2-BaF2·CaF2
coatings by plasma spray. The microstructure and tribological
properties of two coatings from room temperature to 500ć
have been systematically studied.
2 EXPERIMENTAL
The powder materials used in this investigation are
75%Cr3C2-25%NiCr, and Cr3C2-NiCr-10% BaF2·CaF2 eutectic
at weight percent. These powders have a particle size in the
range of 38-90m. The powder preparation method is
hydrothermal pressure hydrogen reduction and solid state
alloying process. The basic reaction of this process is shown as
Eqs.(1) and (2), which in essence is hydrogen reduction at high
pressure with Cr3C2 (or BaF2•CaF2 eutectic) particles as cores.
(1)

Ni(NH 3 ) n SO 4  H 2  eutectic >surfactant

>> >' Ni/eutecti c  (NH 4 ) 2 SO 4  (n - 2)NH 3 (n < 2)
Chromizing process of nickel-coated Cr3C2 and BaF2•CaF2
eutectic powders has been done in a tube furnace in an inert
argon atmosphere for four hours at 950ć.
The sprayed coatings are deposited on low carbon steel
substrates by APS-2000K plasma spray system. The spray
power is 30-40kw, spraying distance is 110mm, with a powder
feed rate being 30g-40g/min. Before being coated, the substrate
*Corresponding author. E-mail:wgzhang@home.ipe.ac.cn
(2)
is blast cleaned with coarse Al2O3 particles and then plasma
sprayed with a NiAl bond layer about 0.1mm thick. The
NiCr/Cr3C2 and NiCr/Cr3C2-BaF2·CaF2 coatings are then
applied at a thickness of approximately 0.4mm.
Microstructure characterizations of the as-sprayed layers are
observed using FEI Quanta 200 FEG scanning electron
microscope (SEM) equipped with energy dispersive X-ray
analysis system (EDX). For SEM observations, plasma-sprayed
specimens are carefully sectioned using an abrasive wheel

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flooded with water. The cross-sectioned samples are ground

and then polished successively using a special metallographic
procedure. a b
The carbon and oxygen contents in both the starting powder
and as-sprayed coating are analyzed using a Leco
carbon/sulphur determinator (model CS-344) and
nitrogen/oxygen determinator (ModelTC-136), respectively.
The coating for the carbon and oxygen analysis is detached
from substrate after spraying.
An HX-1000TM Vickers hardness tester with 1.96N test
load and a dwell time of 15s on polished cross-sections is used
to test coating’s microhardness. To evaluate coating’s tensile
strength, a commercial WDW-100E microcomputer controlled
universal material testing machine is used at a cross head speed
of 1mm/min.The sample size is Ø25mm×5mm. 50m
The reciprocating friction and wear tests are carried out
using an Optimal SRV “ball-on-disk” test equipment,
consisting of a ball oscillating on a static disk (24×7.88 mm2).
In these tests, the coated samples are used as static disks and
the ball is Si3N4 ceramic. All tests are commenced at a load of
10-150N, a time of 15min, a frequency of 30Hz, and a stroke of
b
1.5mm. The friction coefficient is recorded during each test,
and the mean values are calculated. The wear volume is
measured using Rank Taylor Hobson Talysurf 5P-120 system.
The worn surface morphologies of two coatings are observed
by SEM with EDX.

3 RESULTS AND DISCUSSION

3.1 CHARACTERISTICS OF COATINGS
Figure 1 shows the representative cross-section micrographs of
the NiCr/Cr3C2 (a) and NiCr/Cr3C2-BaF2·CaF2 (b) coatings.
100m

Fig.1.SEM backscattered micrographs of as-sprayed coatings

of NiCr/Cr3C2 (a) and NiCr/Cr3C2-BaF2·CaF2 (b).

Table 1 Properties of as-sprayed coatings

Coating Porosity(%) Microhardness(HV0.2) Cohesive strength(MPa)
NiCr/Cr3C2 5.2±1.1 940±50 26±1.5
NiCr/Cr3C2-BaF2·CaF2 5.8±1.6 830±45 24±2

Table 2 Comparison of carbon and oxygen contents in starting powders and deposited coatings
Carbon content (wt.%) Oxygen content (wt.%)
Starting powder Deposited coating Starting powder Deposited coating
NiCr/Cr3C2 8.780 5.525 0.169 3.931
NiCr/Cr3C2-BaF2·CaF2 7.365 5.711 0.203 2.008

Cr3C2, and the dark areas are voids and pores. There are fewer
The plasma spray process produces a fairly uniform "splat"
oxides in the interlayer. In Fig. 1(b), the bright areas are NiCr,
type coating with some residual low level porosity. As shown
the grey areas are Cr3C2 and the black areas are voids and
in Fig. 1, layer structure in NiCr/Cr3C2 coating are more
BaF2/CaF2 eutectic. Some properties of two as-sprayed
obvious than in NiCr/Cr3C2-BaF2·CaF2 coating. This may be
coatings are shown in Table 1. It can be found that both
due to the density difference of Cr3C2 and BaF2·CaF2 core
coatings have low porosity, high microhardness and cohesive
particles, which leads to the non-uniformity between
strength. The high microhardness of coatings is very helpful to
NiCr/Cr3C2 and NiCr/BaF2·CaF2 particles. When mixed to
improve the wear resistance. NiCr/Cr3C2 coating has higher
prepare spray powders, the difference amount NiCr/Cr3C2
cohesive strength which may be due to the more uniform
powders is smaller than that amount NiCr/Cr3C2-BaF2·CaF2
coating structure.
powders.
In the spraying process, NiCr is in a melt state, covering the
In Fig. 1(a), the bright areas are NiCr, the grey areas are
surface of the core particles, which can effectively isolate the

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 Microstructure and Tribological Properties of Plasma Sprayed NiCr/Cr3C2 and NiCr/Cr3C2-BaF2·CaF2 Composite Coatings
core with O2. Compared to core particles directly exposing to
the atmospheric environment, oxidation and decomposition
have fewer opportunities, which can significantly reduce the
decarbonization and oxidation of carbide, as well as the
ablation of fluoride eutectic, to ensure the integrality of all
designed compositions. This often reflects on the variation of
carbon and oxygen content between starting powder and
deposited coating. Table 2 shows the carbon and oxygen
contents in both the deposited coatings and the original starting
powders. The carbon content in the deposited coating is lower
than that in starting powders. This implies the decarburization
occurred during in-flight of the particle and the deposition
process. The main mechanism for the carbon loss of in flight
particles is the oxidation of the carbon dissolved in the matrix
and carbide in the particle. However, compared the change rate
of carbon and oxygen in thermal spray Cr3C2-NiCr coatings
with other literature [16, 18], this result is equivalent to HVOF
process but lower than that in other plasma spray process,
which shows the dense coated NiCr plays an important role in
plasma spraying process and the starting powder will be of
significant influence on the carbon loss of Cr3C2 carbide during
plasma spraying. The excellent mechanical properties of the
coatings can be partially due to the decreasing of oxidation,
decarburization and ablation of Cr3C2-BaF2CaF2 during
spraying because of a protection of NiCr layer of the
composites powders.
3.2 SLIDING FRICTION AND WEAR BEHAVIOR
Fig.2 shows the friction coefficient of the two coatings sliding
against Si3N4 ball under normal load from 10N to 150N at
room temperature. With the increase of the normal load, the
friction coefficient of both two coatings decreases. For
NiCr/Cr3C2 coating, the friction coefficient almost keeps at
0.76 to 0.82 when the load is changed from 10N to 50N.
Fig.2. Effect of load on the friction coefficient of two as-sprayed coatings (at room temperature).
671
However, it significantly decreases when the load is above 50N.
For NiCr/Cr3C2-BaF2·CaF2 coating, the friction coefficient
always decreases with the increase of load from 10N to 150N.
'Load' or the contact stress is the first, most obvious and easily
monitored parameter that can affect wear process. The
magnitude of the normal load or the contact stress is important
since it increases both the area of contact and the depth below
the surface at which the maximum shear stress occurs as well
as affects the elastic or plastic deformation states. Moreover,
the temperature increase on the sliding surface owing to
frictional heating contributes to reduce friction as ambient
heating of the surface. As the load increases, the temperature of
frictional surface increases. This leads to the decrease of plastic
deformation resistance of frictional pairˈand the decrease of
mutual hindering effect between micro peaks in the surface,
which directly reduces the friction coefficient.
Fig.3 presents the friction coefficient of two coatings sliding
against Si3N4 ball from room temperature to 500ć. It can be
seen that both coatings exhibit high friction coefficient at room
temperature. With the increase of temperature, the friction
coefficient of two coatings decreases. At elevated temperature
(above 400ć), however, the friction coefficient of
NiCr/Cr3C2-BaF2·CaF2 coating is significantly reduced. At
500ć, it’s reduced to about 0.38. This may be due to the
lubricating effect of the high temperature lubricant additive in
NiCr/Cr3C2-BaF2·CaF2 coating, BaF2/CaF2 eutectic. The
eutectic has been shown to be effective solid lubricant above
400ć [11]. BaF2•CaF2 eutectic undergoes a transition at high
temperature, from brittle to plastic state with decreased shear
strength, which results in the formation of a continuous
lubricating layer in the wear track when the ambient
temperature is above 400ć.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

0.85
0.80
0.75
0.70

coefficient of friction 0.65

0.60
0.55 NiCr/Cr3C2
0.50 NiCr/Cr3C2-BaF2CaF2
0.45
0.40
0.35
0.30
0 100 200 300 400 500

Temperature ć
Fig.3. Effect of temperature on the friction coefficients of two as-sprayed coatings (Load=50N).
Fig.4 shows the wear rates of the two as-sprayed coatings at
different load at room temperature. The wear rates of both
coatings are shown in Fig.4, and exhibit the same trend with
load variation at room temperature. The wear rate of
NiCr/Cr3C2-BaF2·CaF2 coating is higher than that of
NiCr/Cr3C2 coating, which is due to the difference of hardness
and structure compactness . Increasing load increases adhesion
between materials, reflected in a rise in wear rates. Since load
affects the depth and position of the maximum shear stress, at
greater loads more material will tend to be displaced. Moreover,
the interaction between the contacting materials will increase as
the contact area increases. It is believed that some of the wear
occurs due to the decohension of the splats that form the
coating. Higher load also causes greater plastic deformation. As
the material is worn away, the generated wear debris remains in
the wear track and influences the remainder of the test. The
coating wear debris comprises hard carbides and metal particles
that act as abrasives during further sliding. Thus, these
50
NiCr/Cr3C2
45
NiCr/Cr3C2-BaF2CaF2

abrasives dig deeper into the coating at high loads than at low
loads and cause a greater amount of the coating material to be
removed. The experiments also show that the wear rate is not
directly proportional to the applied load, implying that the
extent and manner of material removal is not constant.
Fig.5 shows the wear rates of the two as-sprayed coatings at
different temperature. In Fig.5, it can be seen that the wear rates
of the two as-sprayed coatings increase with the temperature
increases from room temperature to 500ć. When temperature
is below 400ć, the wear rates of both coatings exhibit the
same trend with temperature changing. And the
NiCr/Cr3C2-BaF2·CaF2 coating has a higher wear rate than
NiCr/Cr3C2 coating. However, when temperature is up to 500ć,
the wear rate of NiCr/Cr3C2-BaF2·CaF2 coating has a dramatic
decrease and becomes lower than that of NiCr/Cr3C2 coating.
The wear rate of NiCr/Cr3C2 coating is still increasing with the
increase of temperature.
Wear rate 10-6mm3N m 
-1 -1

40

35

30

25

20

15

10

0
0 20 40 60 80 100 120 140 160
Load (N)

Fig.4. Effect of load on the wear rates of two as-sprayed coatings (at room temperature).

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 Microstructure and Tribological Properties of Plasma Sprayed NiCr/Cr3C2 and NiCr/Cr3C2-BaF2·CaF2 Composite Coatings

80

NiCr/Cr3C2
70
NiCr/Cr3C2-BaF2CaF2

Wear rate 10-6mm3N m 

-1 -1
60

50

40

30

20

10

0
0 100 200 300 400 500

Temperature ć
Fig.5. Effect of temperature on the wear rates of two as-sprayed coatings (load=50N).

3.3 WORN MORPHOLOGY ANALYSIS
Fig.6 shows the micrographs of the worn surface of the two
coatings tested at room temperature. The worn surfaces of two
coatings exhibit a similar morphology including rough region
and a few fine scratching. Furthermore, on the worn surface,
there are many cracked particles and pullout pits, which are
resulted from brittle fracture. The worn surface at room
temperature appears to be similar to a fracture surface,
including inter-splat fracture and delamination. It presents that
brittle fracture and delamination are the dominant wear
mechanisms of the two coatings at room temperature.
Fig.7 shows the micrographs of the worn surface of the two
coatings tested at 500ć. When the test temperature is 500ć,
the worn surfaces of two coatings appear to be different. From
Fig.7 (a), it can be seen that the worn surface is still rough and
contains some plastic deformation. However, as shown in Fig.7
(b), a continuous glaze lubricating film plus small wear debris
and mild scratching is a general feature of the worn surface.
EDX indicates that more and more self-lubricants flowed and
formed glaze film. As the ambient temperature is increased, the
fluorides soften and are able to develop a lubricous transfer
film on the Si3N4 ball since fluorides do wet ceramics [19].
Under the actions of friction and pressure, BaF2·CaF2 can form
a thin film on the worn surface due to the plastic deformation.
The high superficial temperature rises at the contacting surface
which has effectively activated the self-lubrication property of
the BaF2•CaF2 phase and subsequently greatly enhanced the
wear resistance and reduced the friction coefficient of the
coating. Plastic deformation and continuous formation of
BaF2•CaF2 transfer films became the dominant wear
mechanisms at 500ć.

a b

50m 20m

Fig.6. Worn surface of NiCr/Cr3C2 coating (a) and NiCr/Cr3C2-BaF2·CaF2 coating (b) at room temperature.

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

a b

50m 20m

Fig.7. Worn surface of the coatings of NiCr/Cr3C2 (a) and NiCr/Cr3C2-BaF2·CaF2 (b) at 500ć.

Fig.8 presents the worn surface of Si3N4 balls at room
temperature and 500ć. EDX analysis of the worn surface of
Si3N4 corroborates the hypothesis of formation of lubricating
layer. Little or no detectable transfer of eutectic occurs during
room temperature sliding. At 500ć, the temperature at the
asperities could be sufficiently high enough to greatly soften
the self-lubricating films, and part of films transfers to the
surface of the Si3N4 ball during sliding process. Noticeable
X-ray signals from the lubricants Ba, Ca, Ni and Cr are,
however, detected on tribological Si3N4 specimens from high
temperature tests (see Fig.8 (d)). BaF2•CaF2 eutectic is
non-lubricating in the brittle condition, but becomes lubricating
above 500ć, when it undergoes an internal structural change
of the brittle-to-ductile transition, which functions to reduce
abrasive wear.

a b

20m 20m

c d

Fig.8. Worn surface of Si3N4 surface after sliding against with NiCr/Cr3C2-BaF2·CaF2 coatings at room temperature (a) and 500ć (b);
(c) and (d) are corresponding EDX analyses of Si3N4 wear surface in (a) and (b), respectively.

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 Microstructure and Tribological Properties of Plasma Sprayed NiCr/Cr3C2 and NiCr/Cr3C2-BaF2·CaF2 Composite Coatings
4 CONCLUSIONS
(1)NiCr dense coated powders can reduce the decarburization
of carbide, oxidation and ablation in plasma spray process,
which leads to an improved quality of the derived coating.
(2)NiCr/Cr3C2-BaF2•CaF2 composite coating exhibits an
improvement in tribological properties at high temperature
than NiCr/Cr3C2 coating. Brittle fracture and delamination
are the dominant wear mechanisms of both coatings at low
temperature. Plastic deformation and continuous formation
of BaF2•CaF2 transfer films become the dominant wear
mechanisms of NiCr/Cr3C2-BaF2•CaF2 coating at elevated
temperature.
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[13]. Dellacorte C, Sliney H.E., 1987, “Composition
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composite coatings for use to 760ć,” ASLE Transactions,
30, pp.77-83.
[14] Dellacorte C., Sliney H.E., 1991, “Tribological properties
of PM212, a high temperature self-lubricating, powder
metallurgy composite,” Lubrication Engineering, 47, pp.
298-303.
[15] Matthews S., Hyland M., James B., 2004, “Long-term
carbide development in high-velocity oxygen
fuel/high-velocity air fuel Cr3C2-NiCr coatings heat treated
at 900ć,” Journal of Thermal Spray Technology, 13, pp.
526-536.
[16] Ji G..C., Li C.J, Wang Y.Y., Sonoya K., 2002, “Dominant
effect of carbide rebounding on the carbon loss during high
velocity oxy-fuel spraying of Cr3C2-NiCr,” Thin Solid Films,
419, pp. 137-143.
[17] Sobolev V.V., Guilemany J.M., 1999, “Effect of oxidation
on droplet flattening and splat-substrate interaction in
thermal spraying,” Journal of Thermal Spray Technology, 8,
pp.523-530.
[18] Li J.F., “Study on properties of plasma sprayed
Cr3C2-NiCr coatings,” PhD thesis, ShangHai Institute of
Ceramics, Chinese Academy of Sciences, Shanghai, China,
1999.
[19] Levin E.M., Robbins C.R., McMurdic H.F., 1984,Phase
Diagrams for Ceramists #1673, American Ceramic, Society,
USA.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Friction and Wear Property of Amorphous Carbon Films Prepared by Ion Beam Assisted Deposition

Rong Sun*/Shenzhen Institute of Advanced Technology, Shuhui Yu/Shenzhen Institute of Advanced Technology,
Chinese Academy of Sciences, Shenzhen 518067, P. R. Chinese Academy of Sciences, Shenzhen 518067, P. R.
China China

Ruxu Du/Shenzhen Institute of Advanced Technology, Qunji Xue/ State Key Laboratory of Solid Lubrications,
Chinese Academy of Sciences, Shenzhen 518067, P. R. Lanzou Institute of Chemical Physics, Chinese
China Academy of Sciences, Lanzhou 730000, P. R. China;

(Extended Abstract)

ABSTRACT beam and substrate temperature. The energy of the

Ion-beam assisted deposition method (IBAD) has argon-ion beam and the value of internal stress play
become popular in the synthesis of many thin-film the key role in the increase of adhesion strength and
materials with distinguished properties. In the anti-wear life of the amorphous carbon film. The
comparison with plasma techniques, IBAD is a friction and wear mechanism of the amorphous
method which allows us to control more carbon film under dry friction condition was also
independently many essential deposition parameters discussed.
(e.g. atom flux, ion energy, and ion incidence angle). Keywords: amorphous carbon film; IBAD; single-crystal
Therefore, IBAD is a proper method for a silicon; friction and wear
fundamental study of the influence of these
parameters on deposition processes and properties of
their products[1-4].
In this study, amorphous carbon (a-C) films with a
thickness of 100 nm were deposited on a
single-crystal silicon (Si100) substrate by vacuum
vapor deposition system using IBAD(Fig 1) with
different Ar ion assisted bombardment energy (0eV;
150eV; 300eV; 450eV; 600eV; 750eV). The
micro-structure (Table 1), micro-mechanical
properties (Table 3), surface morphology (Fig 2),
Fig.1 Diagram of the IBAD system
adhesion strengths (Fig 3) and friction behavior (Fig
4), of the a-C films were examined making use of Table 1 ID/IG at different Ar ion bombardment energy
atomic force microscopy (AFM), ball-on-disk
reciprocating friction tester and nano-indentation Ar ion bombardment ID/IG

system. The Raman spectra of the a-C films were energy㧔eV㧕

recorded on a Jobin Yvon T64000 spectrometer 0 0.771

operating with a 514.5 nm Ar laser as the excitation 150 0.753

source (Table 1). The internal stress of the a-C films 300 0.712

were calculated from the Stoney equation (Table 2). 450 0.716
The results show that the anti-wear life and adhesion 600 0.759
of the a-C films on the Si substrates were significantly 750 0.755
increased by the assisting of low-energy-argon-ion

676
 Friction and Wear Property of Amorphous Carbon Films Prepared by Ion Beam Assisted Deposition

Table 2 Internal Stress of the film s as a function of different

Ar ion bombardment energy

Ar ion bombardment Internal Stress(Mpa)

energy㧔eV㧕
0 -497

150 -298
300 -242
450 -233
600 -390
750 -521

Table 3 Nanohardness (H) and Elastic module(E) at

different Ar ion bombardment energy Fig. 3 Scratch test data to evaluate the adhesion strength of
amorphous carbon coatings without(a) and with Ar ion
Ar ion Nanohardness Elastic module bombardment at energy of 300eV (b)
(GPa)
bombardment 㧔GPa㧕
energy㧔eV㧕
0 13.2±0.4 180±4

150 14.8±0.5 179±5

300 1.±0.6 189±6

450 1.±0.5 186±5

600 15.1±0.4 181±3

750 1.1±0.5 182±5

(a)

Fig. 4 Variations in the friction coefficients with sliding time

for the amorphous carbon coatings without Ar ion
bombardment (a)
and with Ar ion bombardment at energy of 300eV (b)

(E)
Fig.2 AFM images of the film s deposited at different ion
bombardment energy ˖(a) 0 eV; (b) 300 eV
(The scan area is 2μm×2μm)
REFERENCES
[1] Yoshinori Funadaa, Kaoru Awazua,U, Haruyuki Yasuia,
Tadaaki Sugitab. Adhesion strength of DLC films on glass
with mixing layer prepared by IBAD [J]. Surface and
Coatings Technology. 128-129 2000:308-312
[2] Yu G Q, Tay B K, Lau S P, Prasad K, Pan L K, Chai J W,
Lai D. Effects of N ion energy on titanium nitride films
deposited by ion assisted filtered cathodic vacuum arc[J].
Chemical Physics Letters, 2003, 374: 264-270.
[3] V S Veerasamy ,H A Luten ,R H Petrmichl , et al .
Diamond-like Amorphous Carbon Coatings for Large
Areas of Glass. Thin Solid Films , 2003 ,442 :1-10
[4] H. Huang, X. Wang, J. He. Synthesis and properties of
graphite-like carbon by ion beam-assisted deposition.
Materials Letters. 57 (2003) :3431– 3436

677
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Research on Silicon Content and Structure Relationship of
Amorphous Si-DLC Films by Molecular Dynamics Simulations
H. Lan1,*, T. Kumagai2, T. Kato2
1
School of Mechanical, Electronic, and Control Engineering, Beijing Jiaotong University, Beijing, 100044, China
2
Department of Mechanical Engineering, The University of Tokyo, Tokyo, 113-8656, Japan
ABSTRACT
Molecular dynamics simulations with increased cutoff
parameters in an empirical Tersoff potential have been used to
predict the three-dimensional structures of amorphous Si-DLC
films at different silicon contents ranging from 0 to 0.2. The
structures for these solid amorphous systems were generated by
melting a cubic cell with 1000 atoms, followed by rapid
quenching from the liquid phase. The results show that the
microstructures of Si-DLC films have changed greatly with the
silicon content and density. Furthermore, the sp3/sp2 ratio
increases with an increase in silicon content, and silicon atoms
are almost surrounded by carbon atoms.
Keywords: Si-DLC films, Molecular dynamics, Structures
INTRODUCTION
Diamond like carbon (DLC) films have been extensively
studied over the past decades due to their unique combination of
properties, such as low friction coefficient, high hardness, high
wear resistance and chemical inertness. Furthermore, the
tribological properties of DLC films can be improved by adding
other metal (Ti, Cr, W, et al.) or non-metal (Si, B, O, et al.)
elements. In particular, silicon-containing DLC (Si-DLC) films
are of significant interest for tribological effects, they possess
the potential to improve wear performance in humid
atmospheres and at higher temperature [1].
Earlier experimental work on Si-DLC films showed that
incorporation of silicon improved the film adhesion to the
substrate and the strength of the carbon film [2]. Kim et al. found
that Si-DLC films had a very low friction coefficient and the
friction coefficient decreased with increasing silicon content [3].
Furthermore, Papakonstantinou et al. found the hardness of
Si-DLC films increased with increasing silicon content [4]. But
Iseki et al. obtained a reverse result, e.g. the hardness decreased
with increasing silicon content [5]. At the same time, Lee et al. [6]
and Choi et al. [7] both found that the hardness firstly increased
and then decreased with increasing silicon concentration. Why
did the contradiction occur in the experiments? The effect of
silicon contents on structure and mechanical properties of
Si-DLC films is more complex, and still unclear. In this research,
molecular dynamics (MD) simulations were carried out to
simulate the Si-DLC films at different silicon contents, in order
to theoretically investigate the silicon contents on
microstructures of Si-DLC films.
SIMULATION MODEL
The selection of a proper classical potential is crucial to
reproduce the real physical behavior of the system. We
considered the simulation system based on only Si and C atoms,
where Tersoff potential was considered appropriate for MD
simulations [8, 9]. It is well known that this potential had
provided correct results in many applications [10, 11]. But Jäger H
Eac  (1)
U et al. [12] found that by using the old parameters of Tersoff
potential the sp3 ratio of DLC films was relatively lower than
*To whom all correspondence should be addressed.
678
the experimental value at especially higher density. In order to
avoid this disagreement, an increased C-C and Si-C interaction
cutoff values for Tersoff potential were chosen in this study
according to the reference [12] (Table 1).
Table 1 Values (Æ) of the old and new cutoff parameters R and
S (see Ref. 6), used for the C-C and Si-C pair interactions in
Tersoff potential
RC-C SC-C RSi-C SSi-C
old 1.8 2.1 2.2045 2.5100
new 2.0 2.3 2.3238 2.6268
We used the simulation system consisting of 1000 atoms,
with three dimensional periodic boundary conditions. The unit
cell was a simple cubic, with a volume corresponding to the
different density ranging from 2.0 g/cm3 to 3.4 g/cm3. For the
initial state, carbon atoms in the crystal diamond lattice were
replaced by silicon atoms randomly according to the silicon
content. The NVT ensemble was firstly raised from 300 K to
15000 K, and kept for a long time at 15000 K, then cooled down
to 1 K at the quench velocity of 1015 K/s. Subsequently, the NPT
ensemble was carried out to decrease the pressure of the system
to zero, and finally the amorphous structures of Si-DLC films
were formed. To avoid accidental results, all the simulations had
been carried out three cases that only the period of liquid state
was different (8 ps, 10 ps and 12 ps respectively).
DISCUSSION AND ANALYSIS
Effect of different cutoff parameters in the Tersoff potential
on micro-structure in DLC films have been analyzed firstly in
Figure 1. It shows that sp3 content calculated by both cutoff
parameters increases with increasing density. For a lower
density, the sp3 fraction is almost same for two cases, but at a
higher density, e.g. 3.4 g/cm3, the sp3 fraction by the new
potential is 72.3% which is 38% higher compared to the old
potential. This is almost identical to the typical sp3 content of
ta-C films measured by experiments. We can see obviously that
the distinct improvement in modeling the sp3 content is
achieved by using the new cutoff parameters. Therefore, it is
said that the following MD simulations are all calculated by
using the increased cutoff parameters in Tersoff potential.
The potential energy curves of Si-DLC films (Fig. 2(a))
obviously showed that the potential energy increased with
increasing silicon content. Moreover, for the same silicon
content, the energetically most favorable amorphous Si-DLC
films had a similar trend (lower potential energy) on the density
ranging from 2.3 to 3.0 g/cm3. The energy differences per atom
between amorphous and crystal Si-DLC films (Eac) were
calculated according to Equation (1).
E  N Si ESi  N C EC
N Si  N C
Where
E is total energy of amorphous Si-DLC films;
 Research on Silicon Content and Structure Relationship of Amorphous Si-DLC Films by Molecular Dynamics Simulations

80 450
(c)
70 400
New
350

Bulk modulus (GPa)

60 Old
300
Sp content

50
250
40
200
3

30
20
10
0 0
2.0 2.2 2.4
Density (g/cm )
Fig. 1 Comparisons of sp3 content of DLC films for two
different cutoff parameters in Tersoff potential
NSi and NC are numbers of silicon and carbon atoms,
respectively;
ESi and EC are ionization energy of silicon and carbon,
respectively; EC =7.37eV, ESi =4.63eV [13].
Corresponding to the potential energy (Fig. 2(a)), Eac (Fig.
2(b)) has a smaller value with low potential energy. Moreover,
Eac at the silicon content 0.2 are larger, and Eac at silicon
content 0 and 0.03 are smaller. On the whole, the bulk modulus
of amorphous Si-DLC films increase with increasing density.
But they occur wide fluctulation at the same density. For
example, at the density of 2.9 g/cm3, the bulk modulus of
Si-DLC films decreases with increasing silicon content,
however, at the density 3.0 g/cm3, the bulk modulus firstly
reaches a maximum at the silicon content of 0.03, and then
decreases (Fig. 2(c)). The phenomena are consistent with the
paradoxical experimental results, e.g. the different trends in the
hardness of Si-DLC films with the silicon content. Therefore, it
150
100
50
2.6 2.8 3.0 3.2 3.4 2.0 2.2 2.4 2.6 2.8 3.0 3.2 3.4
3
3 Density (g/cm )
Fig. 2 The potential energy (a), the energy differences per
atom between amorphous and crystal Si-DLC films (Eac) (b),
and bulk modulus (c) as a function of density, where silicon
contents are 0(), 0.03(), 0.1(Ƹ), and 0.2(ͪ) respectively
can be concluded that the different density of Si-DLC films
prepared by different methods resulted in the different hardness
trends.
The amorphous structures of Si-DLC films can be
characterized in part by their pair correlation function (PCF),
which is shown in Fig. 3. In order to study the effect of silicon
contents on PCF of Si-DLC films, the density is fixed at 2.9
g/cm3. Furthermore, to clarify the structure more, the PCF is
decomposed into probabilities of C-C, C-Si, and Si-Si pairs at
distances. The C-C PCF all have a first peak at about 1.45 Å,
moreover the first peak values of C-C PCF increase with
increasing silicon content. However, the first peak value of C-Si
PCF is biggest at silicon content 0.1. It is also obviously seen
that the Si-Si PCF increases with increasing silicon content.
5 (a)
C-C
Pair correlation function

-1.00 4
(a)
-1.02
Potential energy (10 J)

3
-15

-1.04
2
-1.06
1
-1.08
0
-1.10
0 1 2 3 4 5 6 7 8 9
-1.12 Distance (Angstrom)
2.0 2.2 2.4 2.6 2.8 3.0 3.2 3.4
3
Density (g/cm )
9
-0.38 (b) C-C
8
Pair correlation function

(b)
-0.40 7 C-Si
6 Si-Si
-0.42
5
Eac (eV/atom)

-0.44 4
-0.46 3
2
-0.48
1
-0.50 0
-0.52 -1
0 1 2 3 4 5 6 7 8 9
2.0 2.2 2.4 2.6 2.8 3.0 3.2 3.4 Distance (Angstrom)
3
Density (g/cm )

679
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

We will discuss the bonding types and numbers in details in

6 (c) the following. With a increase in the silicon content, the C4-C4
C-C
Pair correlation function

5 bonding numbers per carbon atom decreases (Fig. 5(a)), as well

C-Si
as the C3-C3 bonding numbers per carbon atom (only except for
4 Si-Si
the case of the silicon content 0.03 and density 2.6 g/cm3, Fig.
3 5(b)). The C3-C4 bonding numbers per carbon atom (Fig. 5(c))
shows almost the same tendency with Fig. 4(b), which indicates
2 that a small silicon addition promotes the sp3 ratio of carbon
1 atoms mainly by forming more C3-C4 bonding.
0.25
0 (a) !3!= 2.3

BondNumC4C4/AtomNumC
0.20 !3!= 2.6
0 1 2 3 4 5 6 7 8 9
Distance (Angstrom) !3!= 2.9
0.15
7
(d) 0.10
6
C-C
Pair correlation function

5 C-Si 0.05
4 Si-Si
0.00
3 0.00 0.05 0.10 0.15 0.20
Silicon content
2
1.0 (b)
1

BondNumC3C3/AtomNumC
0.9
0
0 1 2 3 4 5 6 7 8 9 0.8 !3!= 2.3
Distance (Angstrom) !3!= 2.6
0.7
Fig. 3 Pair correlation function of Si-DLC films with silicon !3!= 2.9
contents at the density of 2.9 g/cm3. From (a) to (d), silicon 0.6
contents are 0, 0.03, 0.1 and 0.2 respectively
0.5
From Fig. 4 (a), it is seen that sp3/sp2 ratio of all Si-DLC
0.00 0.05 0.10 0.15 0.20
films increases with increasing silicon content, which is Silicon content
consistent with the experiment results [5], but the sp3/sp2 ratio of 0.9
only carbon atoms reaches the maximum at the silicon content (c) !3!= 2.3
BondNumC3C4/AtomNumC

0.8
of 0.03, then decreases with the silicon content (Fig. 4 (b)). This !3!= 2.6
may because that the experimental result that the hardness of 0.7 !3!= 2.9

Si-DLC films with a lower silicon content 0.03 had a larger 0.6
value, but decreased with more silicon addition.
0.5
0.55
(a) 0.4
0.50
0.45 0.3
3 = 2.3
0.40 3 = 2.6 0.2
2
Sp /Sp

3 = 2.9
0.00 0.05 0.10 0.15 0.20
0.35 Silicon content
3

0.30 Fig. 5 Dependence of bonding numbers of C4-C4 (a), C3-C3

0.25 (b), and C3-C4 (c) per carbon atom with different silicon
0.20 contents
0.15
0.00 0.05 0.10 0.15 0.20 After silicon atoms are replaced in the systems, both the
Silicon content Si4-Si4 and the Si4-Si3 bonding numbers per silicon atom
0.50 increase with the increase in silicon content (Fig. 6(a) and (b)),
(b) while there is small amount of Si3-Si3 bonding existing in all
0.45
Si-DLC films, which is independent of the density and silicon
0.40 !3 = 2.3
content (Fig. 6(c)). The Si4-C4 and Si4-C3 bonding numbers,
0.35 !3!= 2.6
however, decrease with the increase in silicon content (only
Sp C/sp C

!3!= 2.9
2

0.30 except for density = 2.9 g/cm3, Fig. 6 (d) and (e)). On the whole,
3

0.25 the Si4-Si4, Si4-Si3 and Si3-Si3 bonding ratio are much lower
0.20 than the Si4-C4 and Si4-C3 bonding ratio, which indicates that
silicon atoms are almost surrounded by carbon atoms. In
0.15
particular, when silicon content = 0.03 and density = 2.9 g/cm3,
0.10 there is no Si4-Si4, Si3-Si3 and Si3-Si4 bonding formed, which
0.00 0.05 0.10 0.15 0.20
Silicon content is to say that all the silicon atoms are bound with carbon atoms.
Fig. 4 Sp3/sp2 ratio of total atoms (a) and only carbon atoms These results are also in agreement with experimental results
[14]
(b) as a function of silicon contents .

680
 Research on Silicon Content and Structure Relationship of Amorphous Si-DLC Films by Molecular Dynamics Simulations

(a) CONCLUSIONS
0.20
BondNumSi4Si4/AtomNumSi
!3!= 2.3 Molecular dynamics simulations with increased cutoff
!3!= 2.6
0.15 !3!= 2.9
parameters in the Tersoff potential have been applied to study
micro-structures of amorphous Si-DLC films at the silicon
0.10 contents 0, 0.03, 0.1 and 0.2. The results show the
microstructures of Si-DLC films have changed greatly with the
0.05 silicon content and density. Moreover, the sp3/sp2 ratio increases
with increasing silicon content. It was discussed that the silicon
0.00 atoms are almost surrounded by carbon atoms in all Si-DLC
films. But in most cases, the experimentally prepared Si-DLC
0.00 0.05 0.10 0.15 0.20
Silicon content
films involved a lot of hydrogen atoms. Therefore, we will
study microstructure of hydrogenated Si-DLC films in the
0.010 (b) future.
BondNumSi4Si3/AtomNumSi

!3!= 2.3
0.008 !3!= 2.6 ACKNOWLEDGEMENTS
!3!= 2.9
0.006 The work is supported by the National Natural Science
Foundation of China (Grant No. 50805007).
0.004

0.002 REFERENCES
0.000
[1] Oguri K, Arai T., 1992, “Two different low friction
mechanisms of diamond-like carbon with silicon coatings
0.00 0.05 0.10 0.15 0.20 formed by plasma-assisted chemical vapor deposition”, J
Silicon content Mater Res, 7: pp.1313
0.004 [2] Varma A, Palshin V, Meletis E I., 2001, “Structure-property
(c)
relationship of Si-DLC films”, Surf Coat Technol, 148:
BondNumSi3Si3/AtomNumSi

0.003 pp.305-314
[3] Kim M G, Lee K R, Eun K Y., 1999, “Tribological behavior
0.002 !3!= 2.3 of silicon-incorporated diamond-like carbon films”, Surf
!3!= 2.6
Coat Technol, 112: pp.204-209
0.001 !3!= 2.9
[4] Papakonstantinou P, Zhao J F, Lemoine P, et al., 2002, “The
effects of Si incorporation on the electrochemical and
0.000 nanomechanical properties of DLC thin films”, Diamond
Relat Mater, 11: pp.1074-1080
-0.001 [5] Iseki T, Mori H, Hasegawa H, et al., 2006, “Structural
0.00 0.05 0.10 0.15 0.20
Silicon content analysis of Si-containing diamond-like carbon”, Diamond
0.9 Relat Mater, 15: pp.1004-1010
(d) [6] Lee S, Kim D S, Rhee S G, et al., 1999, “Structure and
!3!= 2.3
BondNumSi4C4/AtomNumSi

0.8 optical properties of Si incorporated diamond-like carbon

!3!= 2.6
0.7 !3!= 2.9 films deposited by r.f. plasma-assisted chemical vapor
deposition”. Thin Solid Films, 341: pp.68-72
0.6 [7] Choi J, Tsunoda A, Kato T, et al., 2008, “Low friction
0.5 mechanism of Si-incorporated diamond-like carbon
coatings”. STLE 63rd conference Proceeding, pp.101
0.4 [8] Tersoff J., 1988, “Empirical interatomic potential for carbon,
0.3 with applications to amorphous carbons”, Phys Rev Lett, 61:
pp.2879-2882
0.00 0.05 0.10 0.15 0.20 [9] Tersoff J., 1994, “Chemical order in amorphous silicon
Silicon content
carbide”, Phy Rev B, 49: pp.16349
2.2
(e) !3!= 2.3
[10] Ivashchenko V I, Turchi P E A, Gonis A, et al., 2005,
BondNumSi4C3/AtomNumSi

2.0 !3!= 2.6 “Tribology of amorphous, nanocrystalline, and crystalline

1.8 !3!= 2.9 slabs of Si, C, and SiC”, Phys Rev B, 72: pp.115202
[11] Kelires P C., 1997, “Short-range order, bulk moduli, and
1.6 physical trends in c-Si1-xCx alloys”, Phys Rev B, 55:
1.4 pp.8784
[12] Jäger H U, Albe K., 2000, “Molecular-dynamics
1.2 simulations of steady-state growth of ion-deposited
1.0 tetrahedral amorphous carbon films”, J Appl Phys, 88(2):
pp.1129-1135
0.8 [13] Kittel C., 2000, Introduction to solid state physics (8th
0.00 0.05 0.10 0.15 0.20
Silicon content edition), John Wiley & Sons
Fig. 6 Dependence of bonding numbers of Si4-Si4 (a), Si4-Si3 [14] Palshin V, Tittsworth R C, Fountzoulas C G, et al., 2002,
(b), Si3-Si3 (c), Si4-C4 (d), and Si4-C3 (e) per silicon atom with “X-ray absorption spectroscopy, simulation and modeling of
silicon contents Si-DLC films”, J Mater Sci, 37: pp.1535-1539

681
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Effect of Deposition Parameters on Nano-Mechanical Properties of DLC Films by PECVD

*
H. Lan1 , T. Kato2
1
School of Mechanical, Electronic, and Control Engineering, Beijing Jiaotong University, Beijing, 100044, China
2
Department of Mechanical Engineering, The University of Tokyo, Tokyo, 113-8656, Japan

ABSTRACT plasma generator. The vacuum system consisted of a rotary vane

Diamond-like carbon (DLC) films were prepared on a pump and a turbo molecular pump. The flow of the gas was
silicon wafer by a plasma enhanced chemical vapor deposition controlled through a MKS mass flow controller.
(PECVD) from the precursor CH4 under different process
parameters. The hardness and elastic modulus of the DLC
films were evaluated by a nano-indentation tester. Moreover,
atomic force microscope was adopted to measure the surface
morphology and frictional force of the DLC films. The results
showed that the deposition parameters (such as: deposition
time, RF power, deposition pressure, and bias voltage) had
significant influence on the hardness, elastic modulus and
nanotribological properties.
Keywords: PECVD, DLC films, Hardness, Elastic modulus,
Nanotribology

INTRODUCTION
During the past decades, diamond-like carbon (DLC) films
have attracted an overwhelming interest from both industry
and the research community. It has already been demonstrated
that the DLC films exhibit a number of advantages (e.g. low
friction, high wear resistance, high hardness, etc.). Therefore,
these wide ranges of exceptional physical, mechanical,
biomedical and tribological properties that make them widely
apply in numerous industrial fields, ranging from razor blades
to MEM systems, from engine parts to articulated hip and knee
joints, from bearings to machine tools and dies [1, 2].
Currently, several kinds of PVD and CVD methods can be
used to deposit DLC films, such as ion plating, activated
reactive evaporation, cathodic arc-PVD, bias sputter deposition,
laser ablation (or pulse laser deposition, PLD), ion-beam
assisted deposition and magnetron sputtering processes [3-5].
In the gas discharge plasmas of the PVD and CVD processes
mentioned above, usually a hydrocarbon gas (such as methane
or acetylene) is used as the precursor for carbon.
However, previous studies demonstrated the tribological
properties of the DLC films could be affected by a variety of
deposition methods, parameters and test conditions[5-8]. As a
result, the mechanical and tribological properties of the DLC
films may differ from one study to another.
In this paper, PECVD was used to prepare hydrogenated
DLC films from the precursor CH4. The variation of film
thickness, frictional force, hardness and elastic modulus under
the different deposition conditions were discussed in detail.
EXPERIMENT
Deposition of DLC Films
The substrate material was single crystal silicon wafer (100).
The wafers were cut into 1cm×1cm samples. Before the
deposition, the samples underwent ultrasonic cleaning
progressively in de-ionized water, ethanol and acetone.
DLC films were deposited in a plasma enhenced chemical
vapour deposition system (PECVD) (Fig. 1). The system was
equipped with a vacuum system and a radio frequency (RF)
*To whom all correspondence should be addressed.
Fig. 1 Schematic illustration of PECVD system
The samples were put into the vacuum chamber, which was
pumped until the base pressure 1.0×10-4 Pa was achieved, and
then they were cleaned by Ar plasma bombarding. After that by
changing the deposition pressure, deposition time, bias voltage
and RF power, the DLC films can be prepared in the condition
of the precursor CH4, flow rate 30 sccm, rotation speed 0.5
rpm, and the substrate was water-cooled without heating.
Measure apparatus
Nano-indentation tester (Elionix Company, ENT-2100) was
used to measure the hardness and elastic modulus of the DLC
films. Diamond indenter was 3-sided pyramidal Berkovich,
whose radius was about 100 nm. Load and displacement
resolution of the nano-indentation tester were respectively 4
nN and 0.06 nm. Measurement was carried out in the constant
indent depth mode; and the indent depth was 100 nm for all the
DLC films. Eight points were tested on the every sample;
averaging the eight points results got final values. The AFM
analysis of the DLC surfaces was performed under ambient
laboratory conditions with a Nanoscope IIIa MultiMode
scanning probe microscope (Digital Instruments). Images of the
surface topography were acquired in contact mode using silicon
cantilevers. The scan area was 1m×1m. Ambient temperature
was 25 ć and relative humidity (RH) was 25%.
RESULTS AND DISCUSSION
Dependence of the deposition time
With the condition of the bias voltage 50 V and the
deposition pressure 1.0 Pa, we considered the effect of the
deposition times (See Fig. 2). Fig. 2(a) showed the thickness of
the DLC films increased with the increasing deposition time,
which was independent of the RF power. From Fig. 2(b), when
the RF powers were 50 W and 100 W, the frictional force of
DLC films had no obviously changes with the deposition time.
But when the RF power was 150 W, the frictional force changed
abruptly, and reached to a maximum at the deposition time 2 h.
For the RF power 50 W, the hardness and Young’s modulus

682
 Effect of Deposition Parameters on Nano-Mechanical Properties of DLC Films by PECVD

of the DLC films deduced suddenly with the deposition time films both had a higher value at the RF power 100 W for the bias
varied from 1.0 h to 2.0 h, then increased slowly to 4.0 h. voltage 0V and 50V. The thickness firstly increased, and then
Wherever for 100 W, the hardness and Young’s modulus decreased, finally increased with the increasing RF power. The
deduced slowly with the increasing deposition time. For 150 W, frictional force both increased with the RF power up to 150W,
the hardness and Young’s modulus of the DLC films deduced and then decreased for bias voltage were 0V and 50V (Fig. 3(b)).
slowly firstly, then increased suddenly, finally deduced with the For the bias voltage 0 V, the hardness and elastic modulus firstly
increasing deposition time (Fig. 2(c) and (d)). decreased, and then increased with the increasing RF power.
1.2 While for the bias voltage 50 V, the hardness and elastic
50W
modulus always increased with the increasing RF power (Fig.
1.0
100W 3(c) and (d)).
150W
Thickness/m

0.8 0.55
0V
0.50 50V
0.6
0.45

Thickness/m
0.4
0.40

0.2 0.35

0.30
1.0 1.5 2.0 2.5 3.0 3.5 4.0
Deposition time/h 0.25

(a) 0.20
50 100 150 200 250
1.1
RF power/W
1.0 50W
100W (a)
0.9
Frictional force/nN

150W
1.4
0.8 0V
50V
0.7 1.2
0.6 Frictional force/nN 1.0
0.5
0.4 0.8

0.3 0.6
1.0 1.5 2.0 2.5 3.0 3.5 4.0
Deposition time/h
0.4
(b)
50 100 150 200 250
RF power/W
14000

12000
50W (b)
100W 10000
150W
Hardness/(N/mm )
2

10000 0V
8000 8000 50V
Hardness/(N/mm )
2

6000
6000
4000

2000 4000
0
1.0 1.5 2.0 2.5 3.0 3.5 4.0
2000
Deposition time/h

(c) 0
50 100 150 200 250
160
RF power/W
140 50W (c)
100W 90
Young's modulus/GPa

120 150W
0V
80
100 50V
Young's modulus/GPa

70
80
60
60
50
40
40
20
1.0 1.5 2.0 2.5 3.0 3.5 4.0
Deposition time/h 30

(d) 20
50 100 150 200 250
Fig. 2 Thickness (a), frictional force (b), hardness (c), and RF power/W
Young’s modulus (d) of the DLC films as a function of the (d)
deposition time Fig. 3 Thickness (a), frictional force (b), hardness (c), and
Young’s modulus (d) of the DLC films as a function of the RF
power
Dependence of the RF power
With the condition of the deposition pressure 1.0 Pa and the
Dependence of the deposition pressure
deposition time 2 h, the effect of the RF power was studied (see
Fig. 3). Firstly Fig. 3 (a) showed that the thickness of the DLC With the condition of the bias voltage 50 V, the RF power

683
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

112
100 W, and the deposition time 1 h, the effect of the deposition 9000
108
pressure was researched in Fig. 4. It showed that the thickness
8000 104

Elastic modulus/GPa
of the DLC films increased with the increasing deposition

Hardness/(N/mm )
2
7000 100
pressure. But the frictional force changed greatly, and reached a
96
lower value at the deposition pressure 4 Pa and 7 Pa. From Fig. 6000
92
4 (b), the hardness and Young’s modulus of the DLC films 5000
Hardness 88
deduced with the deposition pressure varied from 1 Pa to 7 Pa, 4000 84
Elastic modulus
and then increased with the increasing deposition pressure. Due 3000 80
to the thickness of the DLC films were less than 0.27 m (Fig. 0 50 100
Bias voltage/V
150 200

4(a)) and the indent depth was 100 nm, the hardness results of
the DLC films included the influence of the hardness of Si (b)
substrate. Fig. 5 Thickness and frictional force (a), hardness and
0.8 Young’s modulus (b) of the DLC films as a function of the
0.27 Thickness bias voltage
Frictional force 0.7
0.26

Frictional force/nN
CONCLUSIONS
Thickness/m

0.25 0.6
AFM and nano-indentation tester were used to study
0.24 0.5 nano-mechanical properties of DLC films on Si (100) substrate
0.23 which were prepared by PECVD from the precursor CH4. From
0.4
the experimental results, it showed that the deposition
0.22
parameters (such as: deposition time, RF power, deposition
0.3
0 2 4 6 8 10 12 14 pressure, and bias voltage) had significant influence on the
Deposition pressure/Pa
thickness, frictional force, hardness and elastic modulus for
(a) different DLC films, which showed that deposition parameters
7500
93 must be chosen carefully for the desired mechanical properties
Hardness
7000 Elastic modulus of DLC films.
90
Elastic modulus/GPa
Hardness/(N/mm )
2

6500
6000
5500
5000
0 2 4 6
Deposition pressure/Pa
(b)
Fig. 4 Thickness and frictional force (a), hardness and
Young’s modulus (b) of the DLC films as a function of the
deposition pressure
Dependence of the bias voltage
With the condition of the RF power 100 W, the deposition
pressure 1.0 Pa and the deposition time 1 h, the effect of the bias
voltage was discussed. Fig. 5(a) showed the thickness of the
DLC films firstly increased, and then decreased with the
increasing bias voltage. But the frictional force at first increased
greatly with the increasing bias voltage up to 100V, and then
almost kept unchanged. The hardness and elastic modulus
firstly increased with the increasing bias voltage, secondly
almost kept invariant, thirdly deduced slowly, and finally
increased (Fig. 5(b)).
0.32
87
ACKNOWLEDGEMENTS
84 This work was supported by the National Natural Science
81 Foundation of China (Grant No. 50805007). The authors thank
Dr. Masahiro Kawaguchi of Tokyo Metropolitan Industrial
78
8 10 12 14
Technology Research Institute for experimental aids and helpful
discussions.
REFERENCES
[1] Robertson J., 2002, “Diamond like amorphous carbon”,
Materials Science and Engineering R, 37, pp.129-281.
[2] Ali Erdemir, Christophe Donnet., 2006, “Tribology of
diamond-like carbon films: recent progress and future
prospects”, J. Phys. D: Appl. Phys. 39, pp.R311-R327.
[3] Baranov A.M., Varfolomeev A.E., Nefedov A.M., et a1.,
2000, “Development of DLC film technology for electronic
application”, Diamond and Related Materials, 9,
pp.649-653.
[4] Lifshitz Y., 1999, “Diamond-like carbon-present status”,
Diamond and Related Materials, 8, pp.1659-1676.
[5] Gupta P., Singh V., Meletis E.I., 2004, “Tribological
behavior of plasma-enhanced CVD a-C:H films. Part I:
effect of processing parameters”, Tribology International,
37, pp.1019-1029
[6] Wei Zhang, Akihiro Tanaka, 2004, “Tribological properties
0.9 of DLC films deposited under various conditions using a
plasma-enhanced CVD”, Tribology International, 37,
0.8
pp.957-982.
Frictional force/nN

0.28 [7] Wei Zhang, Akihiro Tanaka, Koichiro Wazumi, Yoshinori

Thickness/m

0.7
Koga, 2002, “Structural, mechanical and tribological
0.24
0.6 properties of diamond-like carbon films prepared under
Thickness different substrate bias voltage”, Diamond and Related
0.20
Frictional force 0.5 Materials, 11, pp.1837-1844
[8] Kvasnica S., Schalko J., Eisenmenger-Sittner C., et al, 2006,
0.16 0.4
0 50 100 150 200 “Nanotribological study of PECVD DLC and reactively
Bias voltage/V sputtered Ti containing carbon films”, Diamond and
(a) Related Materials, 15, pp.1743-1752

684
 The Effect of Laser Texturing of Steel Surfaces on Film Lubriction Based on Stribeck Curves

The Effect of Laser Texturing of Steel Surfaces on Film Lubriction Based on Stribeck Curves

Hongbin Liu1, Rongjun Niu1, Yonggang Meng2

1
School of Mechanoelectrical Engineering, Henan University of Science and Technology, Luoyang 47103, China
2
State Key Laboratory of Tribology, Tsinghua University, Beijing 100084, China

ABSTRACT
Laser surface texturing (LST) is an emerging, effective
method for improving the tribological performance of friction
units lubricated with oil since it can generate hydrodynamic
pressure between oil-lubricated parallel sliding surfaces. The
purpose of this study is to find the effect of geometric parameter
of surface texture to decrease the friction coefficient of flat
bearings working in oil. Micro-pits, evenly distributed in an
annular array, were selected as the texture pattern, and formed
on one of the friction surfaces by pulsed laser. Experiments
were carried out to evaluate the effects of LST on friction  
coefficient of oil lubricating and the compares between textured 
(a) cylinder (b) ring
surface and polished surface were carried out. The results are

summarized in the form of stribeck curves. It was found that an Fig.1 The Appearance of the specimens.
appropriate geometric parameter of micro-pits exists, where the
friction coefficient can be decreased at least twice over that of a
polished surface.
Keywords: Laser surface texturing (LST), friction experiments,
lubrication properties.

INTRODUCTION
The surface texturing is the new technology of tribology
that has emerged in the last decade as a viable option of
surface engineering resulting in significant improvement in
load capacity, wear resistance, friction coefficient etc. of
mechanical components. Surface texturing produces a very
large number of micro-pits on the surface and each of these
micro-pits can serve either as a micro-hydrodynamic bearing in
cases of full or mixed lubrication, a micro-reservoir for
lubricant in cases of starved lubrication conditions, or a 

micro-trap for wear debris in either lubricated or dry sliding [1]. (a) The photo of a micro-pit produced by LSCM
At the present time, there are a lot of studies about influences
of surface textures on lubrication [2, 3]. The theoretical
modeling of surface texture under full fluid film conditions has
been established which provides a good method for
optimization of the surface textures [4].
In this paper, high-power pulsed laser were used to process
different depth and diameter micro-pits to study the effect of
geometric parameter of surface texture on oil lubricating. In
order to analyse the experimental results, a series of numerical
simulation is carried out, focusing on the effects of dimple size
on friction coefficient. The test adopts a cylinder-ring surface
contact of mild carbon steel specimen under normal pressure
below 0.3MPa. The changes of friction coefficient with rotation
speed under different loads were measured and stribeck curves
can be obtained.



EXPERIMENT
(b) The cross profile produced by Taylorsurf Dektak
The experiments of sliding friction were performed between
the end faces of a cylinder [Fig. 1(a)] and a ring [Fig. 1(b)]. Both Fig. 2 The YAG laser surface textures
cylinder and ring were made of mild carbon steel, and the end
As one pit of YAG laser is formed by one laser point, from
faces were ground to the roughness of Rrms about 0.1m. The
the photo of a micro-pit produced by LSCM as shown in the
end face of the ring was then textured with round micro-pits
Fig.2 (a), it can be seen that the pit was formed in the shape of a
arranged in an annular array as shown in Fig.1(b) by pulsed
sphere, and the roughness of pit bottom was related to the
laser.

685
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

anisotropic melting point of steel material and the additional calculated as follows.
blowing-power. All pits (Fig.2 (b)) were accordant on the whole
surface. The diameters and depths of the pits were controlled by 3T ( R2  R1 )
the power and pulse width of the laser. The arrangement of the f 
2W ( R2  R1  R2  R1 )
2 2
pits was determined by a pre-designed pattern. The intervals (2)
between pits were changed to obtain a series of different pit area
ratios (r).
Where T is the friction torque, R1 and R2 are the inside and
outside diameter of lubrication zone of oil film, respectively,
Sp n#d 2
r  ,ˁ and W is the load of friction pairs.
Sa # (d12  d 22 ) (1)
RESULTS AND DISCUSSION
Where d is the diameter of the pit, d1 and d2 are outer and The effect of the pits area ratio on friction characteristic is
inner diameter of the ring, respectively, and n is the number of tested by four kinds of LST samples: LST-1, LST-2, LST-3, and
pits. polished sample. Fig.3 shows the effects of pits area ratio on
As this laser machining method provides certain control of friction characteristics. From the results, it is seen that the
the shape and size of the micro-pits, it is used for testing the friction coefficient of polished sample is the greatest, and the
influence of the physical dimensions of the pits on lubrication. friction coefficient of LST decreases as the pits area ratio
Table 1 shows the rings used in this study. The depth of the pits decreases. For the polished sample, as fluid hydrodynamic
ranges from 18 to 70 m, and the area ratio of the pits ranges action is difficult to form, carrying capability of lubricating film
from 0 to 30ˁ. is very small, and the friction coefficient of lubrication film
becomes large. But as the pit area ratio increases, the
Table 1 Geometrical parameters of LST depressurization of lubricating film would be increasing, which
adversely affects the loading capability of lubricating film.
Parameter LST1 LST2 LST3 LST4 LST5 LST6
Therefore, as the pit area ratio of LST increases, the friction
characteristics also deteriorate.
Depth (m) 23 23 23 18 50 70

Diameter (m) 240 240 240 160 160 160 

3ROLVK
)ULFWLRQFRHIILFLHQW

Roughness (m) 0.1 0.09 0.08 0.09 0.1 0.08 6S ˁ


6S ˁ
Area ratio(λ) 10 17 30 17 17 17 6S ˁ

Tribological experiments were carried out on cylinder-on-
cylinder test apparatus. Load is applied by a lever system from a 
weight. Lubricating oil is loaded in the oil reservoir and is
carried to the friction surfaces by relative motion of rings. Since 
past studies showed that temperature has a large effect on
friction, the temperature of the oil supplied to the friction 
surfaces was accurately controlled through water circulation       
cooling system, and the temperature of the oil in reservoir is ¨XS˄3DV噝USP/%˅
monitored by thermocouples. Load and friction torques are
detected by the force sensor and torque sensor, respectively. The Fig. 3 The effects of pit area ratio on friction characteristics
testing conditions are listed in Table 2.

Table 2 Experimental condition KP XP
)ULFWLRQFRHIILFLHQW

KP XP
 KP XP
Load: 44.453Nǃ133.359Nǃ222.265N
3ROLVK
Contact pressure: 0.06MPaǃ0.18MPaǃ0.3MPa 
Rotational speed: 100–600rpm

Sliding speed: 0.2893–1.7357 m/s
Lubricant: Transmission oil 

Lubricant viscosity: 0.08 PaΦs 

Temperature: About 30!
Humidity: 30-40%
In the testing process, the minimum load is applied to
friction pairs first, and the load is changed to the experimental
value after rotational speed increased to 600 rpm. Then the
speed is reduced step by step. When the friction torque rises
suddenly, we must stop the driving motor to avoid damage to
the apparatus and specimens. The friction coefficient was
      
¨XS˄3DV噝USP/%˅
Fig. 4 The effects of pit depth on friction characteristics
The effect of the pits depth on friction characteristic is tested
by four kinds of LST samples: LST-4, LST-5, LST-6, and
polished sample. Fig.4 shows the effects figure of pits depth on
friction characteristics. From the results, it is seen that the
friction coefficient of polished sample is the largest, and the

686
 The Effect of Laser Texturing of Steel Surfaces on Film Lubriction Based on Stribeck Curves

friction coefficient of LST decreases as the pit depth increases. / 3 /p / /p /h

To polished samples, as fluid hydrodynamic action is difficult to
form, the loading capability of lubricating film is very small and
the friction coefficient of lubrication film is large. However,
with the pit depth increases, the depressurization of lubricating
film increases, which adversely affects the loading capability of
the lubricating film. Therefore, when the pit depth of LST
increases, the friction characteristics would also deteriorate.
Because the lower pit is processed difficultly by pulse lasers, the
effect of the lower depth pit on lubrication cannot be tested.

6S ˁ
)ULFWLRQFRHIILFLHQW
(h )  ( h 3 )  6U? (3)
/x /x /y /y /x
Where y and x are the radial and circumferential directions
Cartesian coordinates, respectively, and h is the local film
thickness at a specific point of the lubricating film.
To solve the multi-dimple bearing problem, we have to find
an efficient computation method because the computation time
increases exponentially with the grid number. Here we
introduce the domain decomposition method (DDM), which has
been developed in computational mathematics for solving large
scale differential equations in the past two decades [6]. The
conditions of numerical simulation are accordant with

 6S ˁ experimental conditions. Because of the complexity of the

6S ˁ boundary problem, cavitation, temperature and so on, the results

of the theoretical analysis are expected to show only the trends
 of the effects of the pit depth and the pit area ratio.
In the Fig.5, Fig.5 (a) is the stribeck-curves of the effects of
 pit area ratio on friction characteristics, and Fig.5 (b) is the
stribeck-curves of the effects of pit depth on friction
 characteristics. From Fig.5, it is clear that the results of the
theoretical analysis represent similar trends to those of the

experimental data. This indicates that the hydrodynamic effects
     
of LST play the leading role under these experimental
X˄PV˅ conditions, and the appropriate area ratio and depth of LST is
advantageous to decrease the friction coefficient of oil
(a) The effects of pit area ratio on friction characteristics
lubrication.

 CONCLUSIONS
KP XP
)ULFWLRQFRHIILFLHQW

KP XP In order to decrease the friction coefficient of steel friction

 KP XP pairs in oil lubrication, micro-pits were introduced on one
contact surface by laser surface texturing (LST). The effect of
LST by micro-pits on friction characteristic of lubricating film
 was experimentally investigated by measuring friction
coefficients with a cylinder-on-ring machine. LST was observed
to decrease friction of film by changing geometrical dimension

of pit. The results of testing show that appropriate depth and
area ratio of pits can decrease friction coefficient, and the
 appropriate influencing rule of area ratio and depth was verified
      by numerical analysis results.
X˄PV˅

(b) The effects of pit depth on friction characteristics REFERENCES

Fig. 5 Numerical analysis results of oil lubricating
A theoretical analysis was performed by hydrodynamic
lubrication calculation of textured surfaces. The conditions of
numerical simulation are accordant with experimental
conditions. According to the basic assumption accepted in this
work the lubrication is fully oil-filled, with parallel faced
separated by a constant film thickness, and the lubricating fluid
is viscous (Newtonian) with a constant viscosity . The ratio
between the inner and outer radii, R1 and R2, is large than 0.86.
This allows one to neglect curvature effects and consequently,
a circular sector containing one pores column in the radial
direction, is assumed to be rectangular, subjected in the lateral
x direction to a relative sliding velocity u, corresponding to the
tangential velocity at the mean radius of the ring. The
two-dimensional, steady-state form of the Reynolds equation
for an incompressible Newtonian fluid in a laminar flow is
given by [5]
[1] Etsion Izhak, 2005, “State of the art in laser surface
texturing,” Journal of Tribology, 127,pp.248-253.
[2] Wang Xiaolei, Kato Koji, Adachi Koshi,2003, “Loads
carrying capacity map for the surface texture design of SiC
thrust bearing sliding in water”, Tribology International,
36,pp.189-197.
[3] Kovalchenko Andriy, Ajayi Oyelayo, Erdemir Ali, 2005,
“The effect of laser surface texturing on transitions in
lubrication regimes during unidirectional sliding contact,”
Tribology International, 38,pp.219-225.
[4] Liu Hongbin,MengYonggang,2007, “Hydrodynamic lubri
-cation analysis of textured surfaces with the domain
decomposition method,” Tribology,27,pp.555-561
[5] Wen Shizhu. 1990, “Principles of Tribology,” Beijing,
Tsinghua University Press
[6] A. Toselli, O. Widlund, 2005 “Domain Decomposition
Methods-Algorithms and Theory,” Springer-Verlag,
Berlin/Heidelberg/New York

687
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Formation and Crystallization Kinetics of Amorphous Alloys
N. Li, C.H. Gao*
College of Mechanical Engineering˂Automation of Fuzhou University, Fuzhou, 35002, China
ABSTRACT
Metallic glasses have a combination of amorphous structure
and metallic bond providing them a new and unique quality,
which cannot be found either in pure metals or in crystal alloys.
From the technological point of view, transition metals have
attracted much attention during the last decades due to their
very interesting properties. Thin films of this kind of material
have been made amorphous over a broad composition range by
several methods. The amorphisation is achieved by the
incorporation of a group ĐA element during the deposition
process. There are many factors working on the elements
effecting the chemical reaction in forming binary compound in
solution. The amorphous formation mechanism deposition was
studied from the viewpoint of the forming thermodynamics,
kinetics, and crystallography of amorphous alloys. The
experimental results showed that the ilk atoms with chemical
bonds energy from a high capability of forming into
compounds than that of congener atoms. The crystal kinetics
showed that the stable phase of amorphous structures would
arrive by using its superfluous energy when there were enough
nuclei. Based on the analyses, it was proposed that the banded
structure was induced by the variation of active atoms with a
proper thickness, which was alternated depletion and
enrichment of anions in the diffusion layer due to generation
and evolution of hydrogen gas. The chemical force plays an
important part in the formed alloys, the factors working on
chemical reaction effect on the formed alloys in the same. A
number of steady motes are in a high speed velocity, and
collide with each other in all probability. Stability is an
important factor related to crystallization, which is generally a
thermally activated process of transition from a disordered
amorphous structure to an ordered crystal structure. Study of
kinetics of crystallization provides Ec, the activation energy of
crystallization and parameters like Avrami exponent n,
responsible for the mechanism of crystallization. This helps to
determine the thermal stability of the amorphous. The
deposited in solution not only have the single element
characteristics but their mixed characteristics, and appear better
properties than each of them. The amorphous alloys have many
better mechanical properties, such as high rigidity, better
toughness, corrosion resistance and so on, and special
properties, as the optics properties, the magnetic properties, the
electric properties and so on. So these amorphous alloys
aroused many investigators to study on their special properties
so that they can play their important roles in modern society,
especially in the industry, agriculture, energy sources, materials
fields and biologically.
Keywords: amorphous; formation mechanism; thermodynamics;
kinetics.
INTRODUCTION
Metallic glasses have a combination of amorphous structure
and metallic bond providing them a new and unique quality,
which cannot be found either in pure metals or in regular
glasses. From the technological point of view, transition metals
have attracted much attention during the last decades due to
* the electronic structures of the main elements and their kinetic
correspondence author: gch@fzu.edu.cn
688
their very interesting properties. Thin films of this kind of
material have been made amorphous over a broad composition
range by several methods. The amorphisation is achieved by
the incorporation of a group ĐA element during the deposition
process. Stability is an important factor related to
crystallization, which is generally a thermally activated process
of transition from a disordered amorphous structure to an
ordered crystal structure. Study of kinetics of crystallization
provides Ec, the activation energy of crystallization and
parameters like Avrami exponent n, responsible for the
mechanism of crystallization. This helps to determine the
thermal stability of the metallic glasses. The deposited in
solution not only have the single element characteristics but
their mixed characteristics, and appear better properties than
each of them. The amorphous alloy have many better
mechanical properties, such as high rigidity, the better
toughness, high weariness resistance, corrupt resistance and so
on, and special properties, as the optics properties, magnetic
properties, electric properties and so on. So these amorphous
alloys aroused many investigators to study on their special
properties so that they can play their important roles in modern
society, especially in the industry, agriculture, energy sources,
materials fields and biologically.
The amorphous metallic alloys have been researched and
applied in many fields as their different characteristics, such as
the emission spectra of the Mg2Al4Si5O18:Eu3+[1], -SiCx:H [2]
alloy has been widely used in the optics apparatus because of
its expert optics characteristic, the Ni–Fe–P[3-7] alloy has been
used in the abrade apparatus because of the highest wearable
properties, the ZnFeS[8,9], Co–GaP alloy[10] as the
semiconductor because of the special conductance, and so on.
So the special characteristic of the other amorphous alloys have
attracted many researchers on their studies. More researches
[11-20]
on the crystallization of amorphous alloys have been
reported, kinetics and thermodynamics of amorphous alloys
transition to crystallization are the main factors, and the outside
factors on transformation are other factors. There are scarcely
any articles on the formation of the amorphous alloy appeared.
Amorphous alloys, which are obtained by all the techniques
of rapid quenching[21], mechanical alloying[22,23](MA), vapour
depositing[24], chemical deposition[25-28] and other methods[29-32],
were used for achieving strong non-equilibrium conditions.
Therefore, for alloys obtained by different methods it seems to
be natural for the forming processes of structure and properties
at the upper activation energy and irregular atomic distribution
in different conditions. Similar as the oxide glasses, are
obtained in conditions far from equilibrium. Though the
amorphous phase can change properties with time because of
the relaxation processes, they can be considered as metastable
with definite properties for a given composition irrespective of
a method of production. The range of cooling rates of metals at
which the formation of amorphous alloy phase can be observed
is very wide. In order to obtain the amorphous alloy, cooling
rate must be 106-107k/sec[21]. The rapid validity is so high to
block the mobility of atoms in the vacuum of alloys, and the
surplus energy can make sure the thermodynamic of the
formation of amorphous phase. So the present work is paid to
 Formation and Crystallization Kinetics of Amorphous Alloys
parameters of the formation of amorphous alloys. For each
particular reaction, it should have a characteristic and constant
value. The effect of the kinetic energy and thermal energy of
the particle and the surplus energy for amorphous
transformation to crystalline were also considered.
1 Electronic shells and jumping energetic theories
To estimate the ability of alloys to form amorphous or to
define the formed thermostability, the radius ratio of the two
alloys atoms and their outermost electron range are the main
factors of the effects on forming process. The attraction
between the similarities and differences atoms is higher than
the ilk atoms [24,25]. The electronic energy of different elements
will effect the interaction of the two atoms. When the radius
ratio (Ra/Rb) between the two metal atoms is higher than 112
percent [25], the alloy which composed with them is prone to
form amorphous structure. The extensity structure of the
formed rests with the main element of the alloy which gives the
core of the nucleus. There are three main types’ configurations
in the pure metal structure, Face-Centered-Cube (FCC),
Body-Centered-Cube (BCC) and Hexagonal-Close-Packed
(HCP). So the formed amorphous structure is similar to the
principal part of the atom, or an alternant structure improving
the blank cubage for the stability energy to amend the forming
amorphous possibility. The close-grained degree of the BCC is
lower than the others, there are enough blank in the inner to
store the littler dimension atoms. The amorphous formation
needs this special condition (irregular structure and enough
blank cubage) to satisfy its activation energy, and another
special condition is that, the atom d electronic shell is not filled
with electrons, so that it can absorb other atom’s free electrons.
Thus the formed structure will have the higher chemical bond
power so as to exist steadily at room temperature.
Figure 1 is the sketch map of the energy strip structure
distribution in transition metals electronic shells, the atom d
electronic shell energy cross s shell so as to satisfy the
interaction of the electrons motivity. When a chemical reaction
took place in two elements, their free electronics will change
their moving trajectory, which effect on the chemical bond with
each, so the structure will transform into other types. Every
configuration has its special vacuum structure with activation
energy distinct from each other. The blank cubage of the BCC
metals is higher than FCC and HCP, and there is enough
activation energy for this structure to form an amorphous
structure. Little dimension atoms will be absorbed into this
structure to lock-in blank cubage and increase the transition
energy for this rudimental unstable property. So the amorphous
can be as metastable phase remained in the final formed
structure. Fig 2 is the extension state (a) and fargoing state (b)
of transition metals. The transition metal in the extension state
(state a) is prone to form crystallization, because the electrons
circumgyrate in core atomic nuclei order for the electron
energy order. Thus the formed alloys in this condition are in
stable state as crystalline with lower energy. If the electrons in
state (b), the formed alloys composed of this structure are in
unstable with higher energy in inner structure. This will
promote the structure in amorphous with higher activity
transforming their state to regular crystalline at low
temperature, and transform the structure under outside force at
home temperature. The amorphous structure with unsteady
state and active atoms is changeable and aggrandizes the
possibility of the ability to absorb little dimension atoms to fill
in blank cubage of the configuration. Thus the electronics in the
outmost electron shell are in the queasy state to combine with
other free electrons.
689
The chemical reaction rates are lower than those of atoms
or hydroniums diffusion in electrodeposition solution, the
interaction between atoms is smaller than the outside
electromagnetic force. The combination will be effected by
outside conditions as main factors, but the atom outside
electronic shell is crucial gene for the formation. The free
electrons in outmost atoms circumrotate in supreme energy, and
different atom electrons interaction combination is higher than
the ilk. The interaction between atoms is related with the
chemical bonds numbers, atom radius, free electrons numbers
and electrons motivity state. Factors which can be increased by
outside conditions can accrete the interaction of the
combination. The structure will be close-banded with higher
interaction force, and the metal with this state will be in steady
state. The formation and thermal stability of the short-range
structure that contains a mixture of all four types of Kasper
polyhedra can be understood as follows. The polyhedra
represent possible low-energy configurations for atoms to be
bonded in solid, in positions that are separated by small energy
differences. During eletrodepositon from liquid or vapour state,
the availability of four types of polyhedra allows several
alternatives, or saddlepoint energies, for atoms to be bonded to
their neighbouring atoms in a way that prevents long-range
atomic rearrangement. The total energy will not be significantly
influenced by those small energy differences as long as the
atoms are locally satisfying the requirement for strong d-d
electron interactions. This explains the formation and stability
of the amorphous intertransition metal alloys.

Fig.1 the energy strip structure in elements

Fig.2 Extension state(a) and fargoing state(b)
2 Thermodynamics and kinetics of the amorphous
Three factors effecting on amorphous formation have been
clarified as main elements[33]. One is the constituted elements
must be more than three elements, which combined with each
other complexly as of different outmost electronic shells.
Another is the diameters difference between the atoms in the
alloys is very obvious, the ratio diameters of the atoms is
higher than 112%, which can improve crystal lattice aberration
energy of the formed. The other is the negative mixed-caloric
between the main elements must be higher than others. That is
to say the elements in forming amorphous must have the higher
entropy.
From the analysissitus and the chemistry point of view, the
based elements are out-of-order in short-range to accumulate
together, the first deposited atom in structure is different with
the crystal phase. The based elements and second phase
distribute asymmetricly in long-range configuration. For this
short-ranged metal phase, the higher interfacial energy of the
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

solid to liquid can prevent the nucleating. The amorphous formula we can find when and S f are increased, or
structure with short-range and out-of-order constructer
observed and presented in several crystal lattices in blank H f is decreased,  and  will be aggrandized, this method
cubage is linked with metal bonds in higher bonds energy, with
superfluous combined energy existing in this structure. would decrease I and u, and accelerate the forming amorphous
Therefore, the accumulate consistency and the atomic ability. On the other side, if Tg is increased,  will be
activation energy will be augmented with the atom dimension aggrandized, and the crystal phase will be prevented, the
difference increasing. At the same the will be increased forming amorphous ability will be accelerated. So there are two
because of the activation energy increase, and the crystal phase main factors effecting on the glass forming ability (GFA), one
nucleus will be melt down, so the crystallization will be is Tg/Tm, and the other higher Tx (Tx=Tx-Tg). And in fact the
prevented with higher energy accelerating process. The macroscopy Tx can reflect the forming amorphous alloys
deposited atoms redistribution will be harder than former, and having some conditions on configuration, thermodynamics and
the forming amorphous ability can be increased. kinetics. Fig 3 is the DTA curve of amorphous transformation
to crystallization. The section of Tx to Tg is the structure
2.1 Discussion on kinetics of amorphous formation laxation process of amorphous phase, which shows the
Some metastable crystalline alloys show spontaneous combined atoms diffusing from out-of-order to regular stage. If
amorphization and subsequent re-crystallization during the pure metal were in complexed structure, the gestation
transformation. This means that the amorphization is the result process would need a long time for laxation, this will promote
of competitive transformation kinetics in which both the the forming amorphous structure. And the formed amorphous
metastable amorphous and stable crystalline phases are formed alloys will be in the same construct similar as the initial
in parallel. However, the amorphous phase formation rate is elements. The thermodynamics free energy of the system from
much larger than that of the crystalline phase, so that in the first liquid to solid can be acted as G  H  T S . From the
stage of transformation the resulting phase is amorphous. A crystallography of view, the thermodynamic driving is smaller
theoretical description of the kinetics of the amorphous than the normal crystallization in corresponding in liquid, and
formation is presented, taking into account the competitive the ionic atoms in this system are easy to form amorphous not
formation of crystalline and amorphous phases on the crystalline. The researches[28-31,34] on the main composition and
boundaries of grains of the initial phase. The equations of the atom diameter difference effecting on forming amorphous
nucleation and growth of the competitive phases are solved. stages have been reported, and point out that the superfluous
Three factors on affecting the initial stage are discussed: 1) construct energy and atom diameter difference play an
nucleation and growth of the amorphous phase within the grain important role on forming amorphous, and even the alloys in
boundary areas; 2) amorphization of the grains due to the crystal component are prone to form amorphous. Based on the
amorphous phase (nucleated on the grains) growth; 3) the atom diameter dimension difference and chemical activity
stability of the amorphous phase. This simplifies the numerical distinction, the formed construct model can be simulated as fig
solution of the phase transformation kinetic equations. 4. From the model and compound component, the amorphous
From the crystallography, when the metals are concreting phase will be in out-of-order in long-range structure, the
from ionic state or liquid to atom solid, there are many dissimilitude atom will combined together in order in
crystalline nuclei in the liquid. The nucleus growth speeds short-range as the higher chemical bond energy. Thus the
update because of the high gap between the temperature Tx composites will be steady at room temperature according to the
(crystal temperature) and Tg (glass transformation temperature). atoms characteristic.
The nuclear grows as follow:
 30 30   b7 3 A 
I    exp Tr2 cm 3 @ s 1 (1-1)
 ?   Tr 
And the growth velocity u is described as:
 10 2 f    A Tr 
u    1  exp  cm @ s 1 (1-2)
 ?   Tr 
T
In these formula, Tr  -the ratio temperature, Tr=1-Tr
Tm
-the super-cooling degree, f means local fraction of the Fig. 3 DTA curve of amorphous
interface of the solid to magnify or wipe off the atoms,
16
b # -the nucleus geometrical faction,
3
3.34Tm 
?  10 33 exp   -sticky modulus,
 T  Tg 
1

(N V ) 3
S f
7 0 -surface tension ratio, A
H f R
means melt entropy ratio, N0 -constant, R-the gas constant,
V-atomic volume, - liquid-solid interphase energy. From the Fig. 4 Model of atoms structure of amorphous alloy

690
 Formation and Crystallization Kinetics of Amorphous Alloys

2.2 M (Fe, Ni, Co)-(Re)-P electron structures energy
The outmost electrons of transition metals have the higher
active energy with high speeding circumgyratetion and
unsaturated electronic shell, which make the transition metals
in hop-state. If the appealed atoms are circumgyrating in crystal
lattice node with chemical bond neighboring, the free
electronics circumgyrating among the composite will be shared
to supply the interphase force appealing atoms together. Table
1 shows the binding energy of the transition metals and noble
metals. From the comparison of the elements in table the
unsaturated electrons will appeal other superfluous electrons
for balancing the active energy in outmost electronic shell and
the transition metals’ binding energy lower than the noble
metals also can be found. According to papers[20,33], the binding
energy of M-H parameter, the active metal combined free H
with higher chemical bond unreleased free electron for H to
transgress from the construct. At the same the transition metal
M (Ni, Fe, Co)-H is lower than the noble metals, but higher
than others. And the electrode activation is related with M-H
chemical bond. So when prepared the electrode materials with
amorphous structure having higher electrocatalysis activation,
the transition metals is the best substitute for noble metal in
operating in progress.

Table 1binding energy of the transition metal and noble metal

elements outside binding energy-PRO elements outside  binding energy-PRO˅
Ni 3d34s2 3.56×105 Cu 3d104s2 3.39×105
Pd 4d10 4.16×10 5
Ag 10 2
4d 5s 2.85×105
Pt 5d36s2 5.32×105 Au 5d106s2 3.86×105

Some experiments[13,23,27,32] have clarified that the transition 1 d7 A E

metal alloys have the higher hydrogen effect reaction properties ln[ ]  ln( )  (2-2)
as electrode, which is composed with amorphous phase in f (7 ) dT B RT
structure. The amorphous is in special structure for g (7 ) A E
electrochemical characteristics higher than crystalline phase. ln[ ]  ln( )  (2-3)
The alloy composed with transition metal is complicated in T  T0 , RT
construct. The based-M(Ni,Fe,Co) binary alloys have been In the formula,  is the heating rate (Kmin-1), R is the gas
testified with amorphous structure and certain components by constant (J K-1mol-1), A the frequency factor, and E the
electrodeposition. The atom dimension difference is a certain activation energy for crystallization. In order to test the reaction
extent effecting on the configuration forming ability. When the dH
tertiary element is adding into the liquid, the deposited active speed and reactivity rate  at different temperature,
energy will increase in crystal aberrance. The possibility of dt
forming amorphous ability is increasing with the atom diameter the exothermic peak DSC curve was separated into 8
dimension distinction increase. The experiment[40] show that dH
when the rare earth La,Ce content is below at 4.86%, 4.77%(wt) temperature sectors (T0 is the starting temperature). And
separately, the prepared Fe-La, Fe-Ce alloy coating is not in the dt
amorphous structure. But when the phosphorus was added into means the temperature peak,  is the ratio of the DSC under
the solution, the acquired Fe-La-PǃFe-Ce-P and Fe-P alloys are curve area HT compared to the total area H. The function
composited with amorphous phase. The reference[35] has d7 d7 1 1 dH .
reported that when the phosphorus content is higher than 7% acquires from the equation   
(wt), the Fe-P alloy will be in amorphous structure. The atom
dT dT H , dt
diameter dimension difference and chemical activity play roles F()ˈg() is kinetic function[16], the test data can be taken into
on combined binary or tertiary compound. More the (2-2), (2-3) equation, the crystallization energy and the
experiments[36-41] clarified that the elements LaǃCe can increase crystallization process can be gained. The results are as table 2.
the forming amorphous possibility, and improve the amorphous When
f (7 )  1  7 , g (7 )   ln(1  7 ) , the relation
stability. coefficient r is close to 1, and the activation energy E is
Differential scanning calorimetry(DSC) and heat treatment relatively reasonable in the same[17]. The crystallization energy
experiments were operated in simultaneous thermal analysis of the amorphous Fe-La-P and Fe-Ce-P alloys is higher than the
instrument STA 449C DIL402C Luxx, the heating rate is 10ć amorphous Fe-P alloy. The factor testified that the element La,
/min, Ar2 gas protection, a flow rate of 20 ml/min. Ce can decrease the crystallization energy so as to improve the
Crystallization kinetics was tested respectively from the stability of the amorphous phase in this alloys. This amorphous
six-to-thermal analysis of the DSC peak temperature Tp and the alloy can be preserved largely in this compound. The kinetic
heating rate , calculated from the following formula: equation can be pressed as follow:
, 1 E d7 A  RT
E
d [ln( 2
)] / d ( ) (2-1)
 e (1  7 ) (2-4)
T p Tp R dT ,
where the activation energy E for crystallization was obtained For this type of amorphous structure, resembling a
by finishing the experimental data. Heat treatment at the short-range ordered version of the crystalline phases, those
heating rate 5, 10, 15, 20, 25, 30ć/min, the styles were heated factors governed the stability of the intermetallic compounds,
in Ar2 gas protection to the required temperature and then such as the electron-to-atom ratio (e/a), the electronegativity,
natural coolled after the thermostat 1h. and the atomic size difference, would also be important for the
According to the three coatings differential scanning formation and the stability of the amorphous structure[26]. In
calorimetry(DSC) experiments, the differential equation and this regard, the short-range structure will apply to all the
the integral equation can process the data [16,17]. amorphous intertransition metal alloys whose crystalline

691
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

counterparts follow the crystal chemistry principles as electron The above formation criteria and short-range structures can
compounds. It is expected that binary and ternary amorphous probably be extended to the other amorphous alloys based on
alloys will be formed in the composition ranges in which Fe-P combined phases that are related to the phase.
intermediate phases such as , , , P and R phases are present.

Table 2 Experimental Results of E, A and r for Amorphous Coatings

Eqn.(1) Eqn.(2)
Sample
-r E/(KJ·mol-1) lnA -r E/(KJ·mol-1) lnA
Fe-P 0.9952 175.2 24.05 0.9945 166.8 21.84
Fe-La-P 0.9941 370.1 49.88 0.9944 359.6 46.90
Fe-Ce-P 0.9966 434.6 63.68 0.9941 423.8 61.09

1 n 1
2.3 Crystallization of amorphous transformation dx
The crystallization behavior of amorphous Fe-Ni-P alloy
 nK n (1  x)[ln(1  x) 1 ] n
(3-3)
dt
electrodeposits has been studied over a wide range of Thus a log-log plot of volume fraction transformed against time
compositions using both isothermal and dynamic annealing of transformation yields a linear relationship and can be used to
methods. X-ray and electron diffraction along with determine n and K.
microhardness measurements were used to monitor the Eqs.(3-2) and (3-3) are known as the Johnson-Mehl-Avrami
crystallization process. Isothermal crystallization kinetics rate equations and are applicable for isothermal
suggests mainly a growth process on pre-existing random transformation conditions, involving spa-dally random
nuclei. No evidence of metastable intermediate phases was nucleation and growth rate being solely temperature dependent
found in isothermally crystallized alloys. The activation energy and independent of time, i.e., under linear growth kinetics. The
for crystallization is very sensitive to the phosphorus content of general form of the crystallized volume fraction x after
the alloys. The decrease in the activation energy and enthalpy annealing for a time interval t at temperature T is expressed by
for crystallization imply a greater degree of supersaturation t

with increase in the phosphorus content. Both enthalpy and x(T , t )  1  exp   I (T ,C )v(T , t ,C )dt  (3-4)
activation data suggest that 10wt% phosphorus is the critical
concentration to obtain an amorphous rather than
 0 
microcrystalline structure. Where I (T, ) is the nucleation frequency at temperature T and
v (T, t, ) is the extended volume at time t of nuclei formed at
Crystallization of amorphous metal alloys is of fundamental
time .
and practical interest as it involves a phase transformation
The crystallized fraction x can be defined as the ratio volume
process occurring under conditions far from equilibrium. The
crystallized at any time t and between the total volume
amorphous structure is metastable, i.e. thermodynamically not crystallized at full primary crystallization. The nucleation
in equilibrium, and undergoes a crystallization transition on frequency I take the usual expression
heating at relatively moderate temperatures (200-400ć). The
structural relaxation is also associated with changes in 16#7 3 A 
I  I 0 exp  2 
(3-5)
 Tt ( Gt ) 
mechanical, corrosion and magnetic properties.
Crystallization kinetics can be reasonably evaluated using
thermal analysis techniques. DSC and DTA have been the with  and  the thermodynamic factors, introduced by
major techniques that have been used to study phase Turnbull[43], Tt the reduced temperature; and
transformations. Activation energies for the transformations can N v kT
be determined using a relationship developed by Duswalt[42]. I0  (3-6)
Mainly to the crystallization kinetics of glass forming liquids, 3#a03?
the validity of utilizing DSC techniques for studying crystal Gt  (1  Tt )(1  8 )  8Tt ln Tt (3-7)
growth in metallic glasses has been demonstrated[28]. Kinetic
data analyses have been performed mainly through the use of C p
the Johnson-Mehl-Avrami (JMA) analysis. The JMA equation 8  (3-8)
is primarily applicable for phase transformations involving S m
nucleation and growth under isothermal conditions[27,28], and is where Nv is the atomic density in the liquid, a0 is the mean
shown below: B
x(t )  1  exp( Kt n ) atomic diameter, ?  A exp( ) is the viscosity,
(3-1) T  T0
where x is the fraction of transformation completed, t is the
time of transformation, K, a function of temperature, depends C p is the heat capacity difference between liquid and
on both nucleation and growth rate, and n is the parameter
indicating nucleation rate and/or growth morphology. crystal and S m the melting entropy. With regards to the
The isothermal transformation rate, dx(t)/dt can be obtained growth mechanism we consider that:
by differentiating Eq.(3-1) with respect to time. 1) the initial steps of growth are controlled by the interface
dx between the nanocrystals(several nucleus) and the surrounding
 Knt n 1 exp( Kt n ) (3-2) matrix. That is, the radius at time t of a nucleus formed at time
dt  for rr0 is
Using the relationship between x and t given by Eq.(3-1), the
equation can be modified:
r  u (t  C )  r * (3-9)

692
 Formation and Crystallization Kinetics of Amorphous Alloys
r * isthe radius of the critical nucleus and the growth rate u
was given by

G t A  (3-10) low energy state for atoms mobility, and the variant atom will
u  u 0 1  exp    
  T t 
with u 0  fkT / 3#a 02? , here f is the fraction of crystal
sites on the nucleus surface where atoms are preferentially
added. That is, the initial transient in the growth due to the
establishment of the stationary diffusion concentration profile
ahead of the interface is simplified by assuming a constant
growth rate for grains whose radius are lower than r0. From the
formulas 3-5 to 3-10, we can find when and
S f are
increased, or
H f is decreased,  and  will be aggrandized,
this method would decrease I, and accelerate the forming
amorphous ability. When the viscosity  and atom dimension
difference are increased, the possibility of forming amorphous
will be increased. It can be also found that the function
S m 2 Wang L., Zhao Y.E., Zhao F.L., et al. 2006, “Preparation
is a certain constant at a similar construct solution, and the
functions
Gt and I are increasing with the heat capacity
difference
C p decrease. So the forming nuclei ratio is
possible for accumulating together so as to prevent the nucleus
growth. Mass of irregular structure existence improves the
possibility of forming amorphous ability. Otherwise the
amorphous phase will be prevented, and the forming crystal
ability will be accelerated.
2) Subsequent growth is limited by diffusion. The rate of
dr D app
growth is then  and
dt r Mater. Sci. Technol., 17, pp.271-274
Dapp  D0 exp( E D / RT )D ( x) (3-11)
Where D (x ) is a function which may decrease with
increasing x. Since the diffusion mechanism leads to an overlap
of the diffusion fields ahead of the interface of the crystalline
grain when the distance between two neighbouring nuclei
decrease and a decreasing concentration gradient. Varies of
atoms, ions, radicle presence in solution will increase the
viscosity, so the diffusions will be decreased as to increase the
forming amorphous ability. Every atomic nucleus attracts the
outmost electrons with higher binding energy of nucleus so as
to fast the construct. The compound composed with
inhomogeneity atoms is combined with complex chemical
bonds. The atom motion rapidity is distinct with each other for
electrodeposition in solution, so that this will promote the
structure instability and partial orderly construct. Thus the
possibility of forming amorphous ability can be increased as of
the complex components in solution.
3 Conclusions
To interpret amorphous transition behavior, the paper
introduced a theoretical formalism that combines reversible
growth and electrons structure of atoms. The formation rate
equations undergoing the number of nucleus lead to
equilibrium equations in terms of the rate coefficients.
Fluctuations between the two atoms are represented by the
dynamic restructuring owing to Tg/Tx, Tg/Tm and Tx/(Tg+Tx).
The thermodynamic stability of amorphous can be retained
successfully owning to the atom radius rate and the binding
energy between the transition metals and other active elements.
The reversibility of growth ensures that closed systems will
evolve to equilibrium. The crystalline kinetics shows that with
enough nucleuses and tiny outside force the amorphous phase
will transform to crystal. But in solution, the temperature is in
fill in the blank vacuums of the deposited. The phase transition
behavior described by this kinetics approach includes (i) glass
transition due to cluster aggrandizement with negligible
nucleation rate, (ii) amorphous exhibiting unstable character.
ACKNOWLEDGEMENTS
The authors thank Dr. BX XU and Dr. ZL WEI for useful
comments regarding the manuscript.
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31 Xu Jiang, Xu Zhong, Tao Jie, et al. 2007, “A novel
synthesis method for large area metallic
amorphous/nanocrystal films by the glow-discharge
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32 Soukup R.J., Ianno N.J., Huguenin-Love J.L. 2007,
“Analysis of semiconductor thin films deposited using a
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 Fabrication and Wear Resistance of Ni-CeO2 Nanocomposite Coatings by Electrodeposition under Ultrasound Condition
Fabrication and Wear Resistance of Ni-CeO2 Nanocomposite Coatings by Electrodeposition
under Ultrasound Condition
Yujun Xue*/School of Electromechanical Engineering,
Henan University of Science and Technology, Luoyang
471003, China
Wei Ma / School of Electromechanical Engineering,
Henan University of Science and Technology, Luoyang
471003, China
(Extended Abstract)
ABSTRACT
Ni-CeO2 nanocomposite coatings were fabricated by a
novel method from a modified Watt's type electrolyte
containing CeO2 nanoparticles with an average particle size of
30 nm, where an ultrasonic field was imposed during
electrodeposition process. Surface morphologies of the
coatings were examined by a scanning electron microscope
(SEM) with energy dispersive analyzer system (EDX) to
determine the composition of nanocomposite coatings. The
crystal structure of coatings was characterized by employing
the X-ray diffraction (XRD). Vickers hardness of
nanocomposite coatings was measured with a microhardness
tester. The wear resistance of Ni-CeO2 nanocomposite coatings
and pure Ni coating was comparatively investigated on a
UMT-2MT test rig in a ball-on-disk contact mode. It was found
that the Ni-CeO2 nanocomposite coating with ultrasonic
irradiation exhibited grain structure with finer and compact
crystal of Ni matrix compared to pure Ni and the Ni-CeO2
nanocomposite coating without ultrasonic irradiation. The
crystal orientation of Ni-CeO2 nanocomposite coatings greatly
changed in presence of ultrasound. Furthermore, the
imposition of ultrasound gave rise to increasing the hardness
and wear resistance of the Ni-CeO2 nanocomposite coating.
The results could be considered as the effects of nanoparticles
embedded and ultrasonic irradiation and the finer-grain
structured coating resulted. The improvement in the wear
resistance of Ni-CeO2 nanocomposite coatings can be
attributed to the grains refinement of Ni matrix in presence of
ultrasound as well as the dispersion-strengthening effect to
some extent. Because of the aid of ultrasound, the co-deposited
CeO2 nanoparticles were uniformly distributed in Ni matrix
and contributed to largely increase the microhardness and wear
resistance of the nanocomposite coatings.
Keywords: Electrodeposition, Ultrasound, Nanocomposite
coating, Microhardness, Wear resistance
INTRODUCTION
Electrodeposition is one of the most important methods for
producing nanocomposite coatings. It has been found that
electrodeposited nanocomposite coatings usually exhibit
enhanced mechanical, tribological, anti-corrosion and
anti-oxidation properties as compared to pure metal and alloy
coatings as well as composite coatings containing micro-sized
particles [1-6]. These improved properties depend not only on
particle characteristics, but also on operating parameters
(current density, bath agitation and electrolyte composition)
[6-11]. Recently, the co-electrodeposition of rare earth
nanoparticles such as CeO2, Nd2O3, La2O3, and Y2O3 with
metal Ni or Co have been studied extensively owing to the
special characteristics of rare earth oxides [12-17]. The results
showed that rare earth oxide reinforced Ni matrix
*To whom all corresnondence should be addressed
Jishun Li/ Henan Key Laboratory of Mechanical Design
and Transmission System, Luoyang 471003, China
Mingde Duan / School of Electromechanical
Engineering, Henan University of Science and
Technology, Luoyang 471003, China
nanocomposite using conventional electrodeposition method
had high hardness, good wear and corrosion resistance, and
high temperature oxidation resistance.
Various works have demonstrated that simultaneous
ultrasonic irradiation of electrochemical systems can modify
limiting parameters and greatly improve electrochemical
reactions [18-20]. In general, the imposition of ultrasound on
electroplating systems gives rise to an increase of effective
current density and changes in chemical and physical
properties of deposits [21,22]. However, limited papers have
reported the co-electrodeposition of nanometer particles with
metal matrix in the presence of ultrasound and the effect of
ultrasonic irradiation on the microstructure and properties of
rare earth oxide reinforced Ni matrix nanocomposite coating.
In this work, the effect of ultrasound on the surface
morphology, crystal structure, hardness and wear resistance of
Ni-CeO2 nanocomposite coating by electrodeposition has been
investigated.
Experimental
Ni-CeO2 nanocomposite coatings were electrodeposited
from a suspension of CeO2 nanoparticles in a nickel sulfate
electrolyte. The plating bath was composed of 300 g/l
NiSO4·6H2O, 10 g/l NiCl2, 40 g/l H3BO3, 0.2 g/l
CH3(CH2)11OSO3Na, and 40 g/l CeO2 nanoparticles. The
average size of CeO2 nanoparticles (purity > 99.99%) was
estimated to be 30 nm. Magnetic stirring was applied to mix
CeO2 nanoparticles and the electrolyte for 8 h prior to
electrodeposition. Subsequently, the nickel plating bath with
CeO2 nanoparticles was put into 1000 ml beaker immersed in
water bath, and was placed in an ultrasonic generator (300 W
power, 28 kHz). A nickel plate was used as anode. The
operating conditions for electroplating were current density 4
A/dm2, stirring rate 600 rpm and bath temperature 50 ˚C.
Ni-CeO2 nanocomposite coatings of about 100 m were
deposited on polished steel plate with dimensions of 20 × 50 ×
2 mm. Surface morphologies of the coatings were examined by
a scanning electron microscope (SEM) with energy dispersive
analyzer system (EDX) to determine the composition of
nanocomposite coatings. The crystal structure of coatings was
characterized by employing the X-ray diffraction (XRD).
Vickers hardness of nanocomposite coatings was measured
with a microhardness tester using a load of 50 gf. The wear
resistance of Ni-CeO2 nanocomposite coatings and pure Ni
coating was comparatively investigated on a UMT-2MT test
rig in a ball-on-disk contact mode.
Results and discussion
A regular pyramidal structure as shown in Fig.1(a) is
observed at the surface of the pure Ni coating. Whereas, with
the addition of CeO2 nanoparticles, the grain size is reduced
and the morphology is changed to the hemispherical crystal, as
695
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

shown in Fig.1(b). It is seen from Fig.1(c) that the Ni-CeO2
nanocomposite coating exhibited grain structure with finer and
compact crystal of Ni matrix in presence of ultrasound. The
change in the morphology can be associated to the change
from preferred orientation to random oriented composite
deposits. The grain fining and dispersive strengthening effects
become stronger with the aid of ultrasound, thus the Ni-CeO2
composite coatings could possess excellent mechanical
properties.
(a)
Fig. 1 Surface morphology of (a) pure Ni coating, (b) Ni-CeO2 nanocomposite coating
without ultrasound (6.4 wt.% CeO2) and (c) Ni-CeO2 nanocomposite coating with
ultrasound (2.9 wt.% CeO2)
Fig. 2 shows XRD patterns of pure Ni coating and Ni-CeO2
nanocomposite coatings prepared in the absence and in
presence of ultrasound. It is clearly observed that the pure
Ni deposit exhibited obvious (2 0 0) preferred orientation.
The Ni-CeO2 nanocomposite coating without ultrasonic
irradiation exhibited a significant increase in the relative
intensity of (1 1 1) and (3 1 1) orientations. For the Ni-CeO2
nanocomposite coating with ultrasonic irradiation, the relative
intensity of crystal face (2 2 0) increases, but the relative
intensity of crystal face (1 1 1) decreases.
The Ni-CeO2 nanocomposite coating with ultrasonic
irradiation exhibited a higher wear resistance than that of pure
Ni and the Ni-CeO2 nanocomposite coating without ultrasonic
irradiation. It is suggested that ultrasonic irradiation plays an
important role in the complex mechanism of wear behaviors.
The improvement in the wear resistance of the Ni-CeO2
nanocomposite coatings as compared to pure the Ni coating is
rationally understood, since the CeO2 nanoparticles embedded
in the Ni matrix, and this is also in agreement with the
microhardness enhancement. The Ni-CeO2 nanocomposite
coating with ultrasonic irradiation has a minimum wear weight
loss, which is in accordance with Archard’s law. The wear
resistance of the Ni-CeO2 nanocomposite coating with
ultrasonic irradiation enhances due to the introduction of the
ultrasound as well as the dispersion-strengthening effect to
(b) (c) some extent.
Conclusions
In this study, ultrasonic irradiation was applied in the
electrodeposition of CeO2 nanoparticles with Ni layer. The
Ni-CeO2 nanocomposite coating with finer crystal grain was
produced under ultrasound condition. The crystal orientation of
Ni-CeO2 nanocomposite coatings greatly changed in presence
of ultrasound. The Ni-CeO2 nanocomposite coating with
ultrasound exhibited higher hardness value than that of the
pure Ni and Ni-CeO2 nanocomposite coating without
ultrasound. The improvement in the wear resistance of
14000
Ni-CeO2 nanocomposite coatings can be attributed to the
grains refinement of Ni matrix in presence of ultrasound as
(200)

60000
20000
(200)
(200)

12000
(111)

50000 16000

40000
10000

well as the dispersion-strengthening effect to some extent.

Intensity

Intensity

12000
Intensity

8000

30000

20000
6000

4000
8000 Because of the aid of ultrasound, the co-deposited CeO2
(220)

nanoparticles were uniformly distributed in Ni matrix and

(311)

4000
(111)

2000
(222)

10000
(220)

(311)
(222)
(111)

contributed to largely increase the microhardness and wear

0 0
0
20 30 40 50 60 70 80 90 100 110 20 30 40 50 60 70 80 90 100 110
20 30 40 50 60 70 80 90 100 110
2 Theta (degree) 2 Theta (degree) 2 Theta (degree)

(a) (b) (c) resistance of the nanocomposite coatings.

Fig. 2 XRD patterns of (a) pure Ni coating, (b) Ni-CeO2 nanocomposite coating
without ultrasound and (c) Ni-CeO2 nanocomposite coating with ultrasound
ACKNOWLEDGEMENTS
The microhardness and wear rate of pure Ni and Ni-CeO2
nanocomposite coatings prepared in the absence and in The authors gratefully acknowledge the National Natural
presence of ultrasound is shown in Fig. 3. Ni-CeO2 Science Foundation of China (Grant No. 50775067).
nanocomposite coatings exhibited much higher hardness as
REFERENCES(omitted)
compared to pure Ni coating, which can be attributed to the
traditional dispersion-strengthening mechanism. The [1] Benea, L., Bonora, P.L., Borello, A., Martelli, S., 2002,
incorporation of CeO2 nanoparticles in Ni matrix increases the “Preparation and investigation of nanostructured
hardness of coatings. Moreover, the Ni-CeO2 nanocomposite SiC–nickel layers by electrodeposition,” Wear, 249,
coating with ultrasonic irradiation showed the highest hardness. pp.995-1003.
With the aid of ultrasound, the hardness of nanocomposite [2] Shi, L., Sun, C.F, Gao, P., Zhou, F., Liu, W.M., 2006,
coating increased from 513 HV to 625 HV. Because CeO2 “Mechanical properties and wear and corrosion resistance
content in nanocomposite coating reached to 6.4 wt.%, the of electrodeposited Ni–Co/SiC nanocomposite coating,”
co-deposited CeO2 nanoparticles at a larger content Appl Surf Sci, 252, pp.3591-3599.
agglomerated to some extent. This implies the importance of [3] Wang, W., Hou, F.-Y., Wang, H,, Guo, H.-T., 2005,
achieving a uniform codeposition of non-agglomerated “Fabrication and characterization of Ni–ZrO2
nanoparticles to obtain a dispersion-strengthening effect. It is compositenano-coatings by pulse electrodeposition,” Scr
evident that the higher hardness of the Ni-CeO2 nanocomposite Mater, 53, pp.613-618.
coating is mostly due to the decrease of the grain size of Ni [4] Qu, N.S., Zhu, D., Chan, K.C., 2006, “Fabrication of
matrix, rather than the CeO2 nanoparticles reinforcement. The Ni–CeO2 nanocomposite by electrodeposition,” Scr Mater,
grain fining effect becomes significant stronger in presence of 54, pp.1421-1425.
ultrasound, thus the Ni-CeO2 nanocomposite coating prepared [5] Zheng, H.Y., An, M.Z., Lu, J.F., 2008, “Surface
in an ultrasonic field registers higher hardness value at a lower characterization of the Zn–Ni–Al2O3 nanocomposite
CeO2 content of 2.9 wt.%. coating fabricated under ultrasound condition,” Appl Surf
700 250
Sci, 254, pp.1644-1650.
0LFURKDUGQHVV
600 :HDUUDWH
[6] Zheng, H.Y., An, M.Z., 2008, “Electrodeposition of
:HDUUDWHPP·1·P

200
0LFURKDUGQHVV+9

500

400
150
Zn–Ni–Al2O3 nanocomposite coatings under ultrasound
300

200
100

50
conditions,” Journal of Alloys and Compounds, 459,
100

0
1 2 3
0
pp.548-552.
6SHFLPHQV

Fig. 3 Microhardness and wear rate of specimens obtained under the following (The whole paper will be supplied by the authors if reader
conditions: (1) Pure Ni, without ultrasound; (2) Ni-CeO2 nanocomposite coating,
without ultrasound; (3) Ni-CeO2 nanocomposite coating, with ultrasound
needs it.)

696
 On the Measurement of Slip Length for Liquid on Super-Hydrophobic Surface
On the Measurement of Slip Length for Liquid on Super-Hydrophobic Surface
Li Jian (Center for Photon Manufacturing Science and
Technology, Jiangsu universityˈZhenjiang, 212013)
Cai Lan (Center for Photon Manufacturing Science and
Technology, Jiangsu universityˈZhenjiang, 212013)
Ye Xia (Center for Photon Manufacturing Science and
Technology, Jiangsu universityˈZhenjiang, 212013)
(Extended Abstract)
ABSTRACT
To design a surface with well drag reduction for liquid is a
pop issue in the fields of liquid transporting through pipe and
solid body swimming. In this context, it is a crucial problem to
measure the slip length of surfaces. Here we propose a novel
method using rheometer for this objective. This method is
implemented by regulating the shape and size of the
super-hydrophobic area on the sample. The formula for this
method is deduced in this article. To verify this method, the
slip length of 70wt % glyrine on a super-hydrophobic surface
with stripe structure (the period, width and height of ridges is
100μm, 80μm and 70μm respectively) is measured. Result
shows that the slip length can be measured using this method
for super-hydrophobic surfaces. This method can also be used
to measure the slip length of hydrophobic surfaces if the
measuring system is precise enough.
Keywords: super-hydrophobic surface, slip length, drag
reduction, rheometer
INTRODUCTION
To design and manufacture a surface with well drag
reduction for liquid is of physical and technologic interesting
because it is of valuable in MEMS devices and medical
devices for liquid transporting and solid body swimming. Due
to its small interaction with liquid, the super-hydrophobic
surfaces sound to be perfect one with larger slippage, which
has being hold as the source of drag reduction. Driven by this
idea, several work groups have fabricated different
super-hydrophobic surfaces by different means such as
self-assembly[1,2],sol–gel method[3] and laser etching[4] and
tested the slip length or drag reduction for these surfaces.
Although several methods, such as μ-PIV, rheometer, have
been employed to measure the slip length or drag reduction on
super-hydrophobic surfaces, how to characterize the slippage
of these surfaces is still an open problem because of the
following reason up to now. First, the composite interface of
liquid on super-hydrophobic surface will disappear when the
Laplace pressure inside the liquid is too large. So the methods
employed in measurement for the slip length of liquid on
smooth surfaces by Zhu [5] and other authors[6,7] can not be
used for super-hydrophobic surfaces. On the other hand, the
slip length measured for structural surfaces is only an effective
slip length, which is directly related to the force but can hardly
be deduced from the velocity of particle inside liquid
especially in the case that the velocity on the surface depends
on the position on the surface. Thus the μ-PIV [8,9] and other
methods [10] related to the particle velocity can not satisfy the
need for slip length measurement on super-hydrophobic
surface, on which there are rich in micro structure. On this
context, the method using rheometer sounds a fitting method
for this slip length measurement. Actually, this method has
been proposed by Choi and Kim[11], who have measured the
slip length of nano-structural surface of 20μm, which is
impossible on the theory and have been commented by
*To whom all correspondence should be addressed.
Zhou Ming* (Center for Photon Manufacturing Science
and Technology, Jiangsu universityˈZhenjiang, 212013)
Yang Haifeng (Center for Photon Manufacturing Science
and Technology, Jiangsu universityˈZhenjiang, 212013)
Bocquet[12] for the poor precision of this method and the
contact area or contact angle affect on the measuring slip
length.
In this paper, we describes a strategy to measure the slip
length of super-hydrophobic surfaces with a well precision by
removing the effect of contact angle on the results mentioned
in Bocquet’s comment[12]. In this method, the sample surface is
composed by two parts, one is a circle super-hydrophobic area
(smaller than the area of the fixture) and around this area is the
smooth surface. The slip length is calculated by comparing the
torque for the surface covered with super-hydrophobic area to
that for smooth surface.
EXPERIMENTAL METHODS
Figure 1 shows the concept of this slip length measurement.
The super-hydrophobic part (SH area) of surface is smaller
than the area of the fixture. So the liquid in the gap can contact
the hydrophobic area on the surface to ensure that the contact
area for the surface covered with super-hydrophobic area is the
same as that for smooth surface. Through this strategy, the
affect of contact angle on the slip length is removed by
comparing the torques for super-hydrophobic surface with that
for hydrophobic one.
Fig. 1 the strategy of slip length measurement in
consideration of the effect of contact angle
To verify this method, the slip length of a surface covered
with a super-hydrophobic area for 70wt% glyrine is measured.
This super-hydrophobic area is of the diameter of Ф19mm and
manufactured by laser etching. The structure of this area is
parallel lines; the width of ridge and the distance between two
neighboring lines are 80μm and 100μm, respectively. Both of
the grating surface and the reference smooth surface are treated
with silane(1H,1H,2H,2H-perfluorooctyl silane). After that, the
grating surfaces becomes super-hydrophobic(the contact angle
is 157±4°) and the smooth surface is hydrophobic (the contact
angle is 110±2°). The measurement is performed on the
AR-G2 rheometer (TA Instruments, New Castle, Delaware,
USA). The position of fixture is firstly marked on the patier
plate and then the sample is placed on the plate to make sure
the center of the super-hydrophobic area is coinciding with the
center point of the fixture. Zeroing the fixture position and
697
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

mapping the fixture to get rid off the systemic error. After that, Figure 3 shows the slip length calculated by the method in
the torque and shear rate can be read from this rheometer this paper. The slip length is about 40μm for our surface in
precise enough. In this course, the gap D is set as 900μm. wide shear rate scale. This result shows that the wetting state
of liquid on this structure surface did not transit from Cassie to
RESULTS AND DISSCUSSION Wenzel state in the measuring course. If the slip length of
The radius of the fixture and super-hydrophobic area of the hydrophobic surface can be neglect, the slip length calculated
sample in figure 1 are R and r, respectively. The torque for a in this paper is a credible one. This method is fit for measuring
hydrophobic surface is: the slip length of super-hydrophobic surfaces, on which the
wetting state of liquid is hardly to transit.
ωr − ω ′′r R ωr − ω ′′r
3 3
(1)
M H = ∫∫ ⋅ μ ⋅ r ⋅ rdrdθ = 2πμ ∫ dr
Ω
D 0 D
Where M H is the torque applied on the fixture in the case
for a hydrophobic surface, ω is the rotating speed of the
fixture, ω ′′ is the slip rotating speed on the sample, D is the
gap between both surfaces, μ is the viscosity of liquid filled
in the gap and Ω is the area contributing to the torque. If the
slip rotating speed is neglected, the torque will be:
1 ωR 4
MH = πμ (2)
2 D
Using the same method, the torque for the sample covered
with super-hydrophobic area is:
1 ⎛ ω − ω′ 4 ω 4 1 ωR 4 − ω ′r 4
Fig. 3 the slip lengths calculated by the method we
M SH = πμ ⎜
2 ⎝
4 ⎞
r + (R ) (3)
− r ⎟ = πμ propose in this paper
D D ⎠ 2 D
Where M SH is the torque applied on the fixture in the CONCLUSION
case for the surface covered with super-hydrophobic area, ω ′ In summary, the slip length of super-hydrophobic surfaces
is the slip rotating speed of liquid on super-hydrophobic can be measured by modulate the super-hydrophobic area
surface and other factors are the same as that mentioned there distribution on the surface, which aims to get rid of the effect
before. According to navier hypothesis [13]: ω ′ = b(ω − ω ′) / D , of contact angle or contact area on the measuring slip length.
By this method, the difference on the slip length of different
the torque for the surface with super-hydrophobic structure
surfaces can also be detected if the measuring system could be
writes:
controlled precisely, which allows the detection of slip length
bω 4
ωR 4 − r on a hydrophobic surface. Especially, this method is fit for
1
M SH = πμ D +b (4) measuring the slip length of super-hydrophobic surfaces on
2 D which the wetting state of liquid is hardly transit even the
Then the slip length can be deduced: measuring system is not precise enough.
M
1 − SH
(5)
MH ACKNOWLEDGEMENTS
b= D
⎛ r ⎞ ⎛ M SH ⎞
4

⎜ ⎟ − ⎜⎜1 − ⎟⎟ This work was supported by the Key Research Foundation

⎝R⎠ ⎝ MH ⎠ of the National Nature Science Foundation of China (Grant
Figure 2 shows the torques measured by AR-G2 rheometer
for different surfaces. It can be seen that the torques applied on
the fixture in the case for the surface with super-hydrophobic
area (i.e. stripe) are lower than that for the smooth surface.
These differences are all caused by the slippage of
super-hydrophobic area on the surface. We measure the torque
twice and found that these two kinds of torques are in good
agreement with each other. This phenomenon shows the
seasonable of the method we propose to measure the slip
length.
Fig. 2 the torques measured by AR-G2 rheometer for
smooth surface and a surface covered with super-hydrophobic
area
No.: 50435030).
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[1] Hammond P. T., 2004, Adv. Mater., 16, 1271
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698
 Effect of Plasma Surface Niobizing of ¤-TiAl Alloy on Wear Resistance

Effect of Plasma Surface Niobizing of¤-TiAl Alloy on Wear Resistance

Xiaoping Liu*/ Research Institute of Surface Bingying Wang/ Research Institute of Surface
Engineering, Taiyuan University of Technology, Taiyuan Engineering, Taiyuan University of Technology, Taiyuan
030024,China 030024,China
Zhiyong He/ Research Institute of Surface Engineering, Li Cao/Institute of Science and Technology, Shenyang
Taiyuan University of Technology, Taiyuan Ligong University, Shenyang 110168, China
030024,China
(Extended Abstract)

ABSTRACT
with SiC paper with the number from 120 to 1000 grit,
Niobium alloying of γ-TiAl has been of great interest in
followed by polishing with 0.25μm Al2O3 suspension, cleaning
resent years because of its better oxidation resistance. But for
in acetone and drying in air. Plasma Nb alloying was
the application of TiAl in automobile or aircraft engine
performed in a double glow plasma alloying furnace with a
components, the wear resistance is very important. In this work,
source cathode voltage (Nb target) of 850 V, substrate cathode
a Nb-alloyed layer, about 20μm in thickness, was formed in
voltage of 450 V and Ar gas pressure of 50 Pa. Samples were
the surface of γ-TiAl. The alloyed layer was composed of
heated at temperature of 1373 K for 3 h and cooled down to
Nb2Al and Nb3Al. The hardness of the induced surface layer
room temperature in the vacuum chamber after treatment.
was about 600HV, higher than untreated TiAl. The optical
The wear experiments were carried out on ball-on-disc
microscopy and scanning electronic microscopy were used to
sliding wear apparatus at room temperature and 873K,
observe morphology of the surface and cross section of plasma
respectively. The alloyed specimens were fixed on the disc and
alloyed TiAl; the chemical composition of the surface layer
slided against the balls. The counterpart ball for room
was examined by glow discharge spectrum; the hardness was
temperature test was made of ASTM W1-111/2 harden steel
measured using micro-hardness tester with the Koop
with a hardness of 60HRC and diameter of 3 mm, and for 873
values. Untreated and alloyed TiAl samples were subjected to
K wear test, it is Si3N4 ball whose hardness and diameter were
dry sliding wear against steel counter ball and their tribological
1590HV0.05 and 3mm. The abrasion data are presented as the
response was studied. A ball-on-disk type apparatus was used.
specific wear rate ω, which is calculated according to the
Volume loss measurements were done to determine the wear
rate. Immediately after the tests, the wear scar was examined equation ω = VW W • x . In this equation, VW is the
microscopically. The result shows that the surface alloyed volume of materials lost from the specimen during the wear
layer of TiAl has a graded distribution of the hardness value test (mm3), W the normal load on the specimen (N) and x the
and the wear rate is less than the untreated TiAl. In other sliding distance (m). ω has the unit of mm3/Nm.
words, the plasma alloying of niobium can increase the wear The microstructures, composition and surface
resistance of TiAl alloy. morphologies of specimens were observed by Axiovert
Keywords: -TiAl, Plasma alloying, Wear resistance 25CA(Zeiss) optical microscopy (OM), JEOL/JSM-5610LV
scanning electron microscope (SEM) equipped with energy
1. INTRODUCTION
dispersive spectrometry (EDS) and GDS. The crystal structures
There has been great interest in TiAl based alloys (TiAl) in of the oxide were investigated by Rigaku D/max 2500 X-ray
the past two decade duo to their excellent high-temperature diffraction (XRD).
strength in combination with a low density [1]. But they now
are limited in developing those components used at elevated 3. RESULTS AND DISCUSSION
temperatures duo to their deficiency in resistances of oxidation
and wear [2]. Many efforts have been made to improve their 3.1 Nb-alloyed layer
oxidation resistance by addition of niobium [3]. Our previous
work on effect of the surface plasma niobium alloying on the (a)
TiAl based alloy by using double glow plasma surface alloying
technique has been reported. However, there is a lack in the
study on the tribology behavior of plasma Nb-alloyed TiAl. In
this study, the main emphasis is placed in the mechanism of
friction and wear of the alloyed layer formed on TiAl by
contrasting worn morphology, microstructure, loss volume or
specific wear rate between untreated and Nb-alloyed TiAl
samples. The investigation is important for the components (b) (c) (d)
subjected to surface contact and sliding wear in service, for
example, exhaust values in car engines and gas turbine blades
in aero engines.
2. EXPERIMENTAL PROCEDURE
Sheets of cast TiAl with a dimension of 13 mm in width,
13 mm in length and 3.8 mm in thickness and a composition of
50Ti-46.5Al-2.5V-1Cr in at.% were prepared for the present
investigation. Each surface of all the samples was polished Fig.1 SEM image (a) and corresponding Nb (b), Al (c) and Ti
*To whom all correspondence should be addressed. (d) elemental maps of the cross section of the Nb-alloyed layer
*liuxiaoping@tyut.edu.cn
699
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

The SEM image of the Nb-alloyed layer formed on the The friction coefficient of Nb-alloyed TiAl is stable
TiAl at 1100ć/3h with corresponding EDS elememtal maps during sliding and higher compared with untreated TiAl
are shown in Fig.1. A niobium-rich region forms in the surface (see Fig.5). The worn cross-sectional figure shown in Fig.6
of the alloyed layer. The result of X-ray diffraction shows the indicates that the lower wear occurs for Nb-alloyed TiAl
surface layer is mainly composed of AlNb3 and AlNb3. The sample and its specific wear rate decrease approx. 95 times
hardness of the Nb alloying surface is approx. 600HV0.025. than untreated TiAl. By comparison, very slightly
scratching can be observed on the wear track of
160 ƾ--AlNb3 Ʒ
Nb-alloyed TiAl, shown in Fig.7.
ƹ
140 ƹ--Nb
Ƶ--AlNb2
120
Ʒ--AlNbTi2 1.6
100
cps

80 1.4

COF
60
ƾ Ƶ 1.2
ƵƷ TiAl-Nb
40 ƹ Ƶ ƹ

20 ƾ
Ƶ
ƾ Ʒ 1.0 TiAl
0
10 20 30 40 50 60 70 80
o 0.8
2Theta / 0.0 0.2 0.4 0.6 0.8 1.0
Distance from surface / km
Fig.2 XRD spectra of the Nb-alloyed layer
Fig.5 Friction Coefficients of untreated and Nb-alloyed TiAl
3.2 Wear behavior samples under the load of 100g
5
Variation of friction coefficient with respect to sliding time
obtained at room temperature is plotted in Fig.3. The friction 0
coefficient of the Nb-alloyed layer increases after the load is

Depth / μm
over 100g and is close to the value of untreated TiAl (0.5-0.6). -5 TiAl-Nb
But the volume losses under loads of 50g-150g listed in Table
TiAl
1 are less than those of untreated TiAl. The worn scars show a -10
severe abrasive and adhering wear at the load of 150g.
-15
0 200 400 600 800 1000 1200
0.8
50g Width / μm
100g Fig.6 Worn profile of untreated and Nb-alloyed TiAl
Friction coefficient

0.6 150g

0.4 (a) (b)

0.2

0.0
0 2 4 6 8 10 12
Sliding time / min

Fig.3 Friction coefficients of the Nb-alloyed layer

under different loads 300m 1mm

Table1 Volume losses under different loads Fig.7 Wear surfaces of (a) untreated and (b) Nb-alloyed TiAl
Volume loss (mm3) samples under 100g
Load (g)
TiAl TiAl-Nb
50 0.121 0.009 ACKNOWLEDGEMENTS
100 0.154 0.120 The financial support for this research was provided by
150 0.546 0.153 National Natural Science Foundation of China (50671071,
50271045) and the Provincial Natural Science Foundation of
(a) (b) Shanxi under grant (2006011052).

REFERENCES
[1] Kim, Y. W., Dimiduk, M. D., 1991, “Progress in the
understanding of gamma titanium aluminides,” JOM, 43,
pp.40-47.
[2] Stolo, N. S., L, C. T., Deevi, S. C., 2000, “Emerging
applications of intermetallics,” Intermetallics, 8,
250m 200m pp.1313-1320.
[3] Hornauer, U., Richter, E., Wieser, E., et al., 1999,
“Improvement of the high temperature oxidation resistance
Fig.4 The worn surfaces of Nb-alloyed layers
of Ti50Al via ion-implantation,” Nuclear Instruments and
under loads of (a) 100g and (b) 150g
Methods in Physics Research, B148, pp.858-862.

700
 Tribological Properties and High-Speed Drilling Performance of Zr-C:H:Nx% Coatings with Different Contents of Nitrogen
Tr ibological Properties and High-Speed Drilling Performance of Zr -C:H:Nx% Coatings with
Different Contents of Nitrogen
W. H. Kao, Institute of Mechatronoptic Systems, Chienkuo
Technology University, Changhua, Taiwan, China
S.H.Yao, Chang Jung Christian University, Tainan, Taiwan,
China
(Extended Abstract)
ABSTRACT
The Zr-C:H:Nx% coatings with different nitrogen contents
have been deposited on AISI M2 steel substrates and
micro-drills by Closed Field Unbalanced Magnetron (CFUBM)
sputtering. The tribological properties of the coatings have
been tested against AISI 52100 steel balls under loading 10N
or 100N using an oscillating friction and wear tester.
Additionally, high-speed through-hole drilling tests are
performed on printed circuit boards (PCB) to investigate the
drilling performance of the coated micro-drills. The results
demonstrate that the excellent tribological properties is
Zr-C:H:N8% coating sliding against AISI 52100 steel ball
included low wear depth on coating, low friction coefficients
and long lifetime. Finally, it is shown that coating micro-drills
with Zr-C:H:N8% increases the tool life by a factor of five
compared to uncoated micro-drill when used for the
high-speed through-hole drilling of PCBs.
Keywords: Zr-C:H:N coating, tribology, micro-drill
1. INTRODUCTION
DLC coatings can be separated generally from
hydrogen-free diamond-like carbon coatings (ta-C) and
hydrogenated diamond-like carbon coatings (a-C:H). The
carbon source of the ta-C coatings usually originated in only
graphite target and the a-C:H coatings usually originated in
reactive gas. In order to improve their adhesive and
tribological properties by developing so-called a-C:Me or
Me-C:H coatings, in which the a-C or a-C:H film is doped
with additional metal materials. Newly, a tendency from DLC
films toward carbon nitride films, which are very attractive in
the fields of tribological, electronic, and optical investigation.
But nitrogen-doped Me-diamond-like carbon (Me-C:H:N)
coatings have received comparatively little attention.
In this study, zirconium metal target, carbon source of
reactive gas and solid target and various nitrogen flow rate
were used to deposit Zr-C:H:Nx% coatings. The mechanical,
adhesive, tribological properties and high speed micro-drilling
application of Zr-C:H:Nx% coatings were discussed.
2. EXPERIMENTAL DETAILS
2.1. WEAR TEST
The basic tribological properties of the coatings were
investigated using an SRV (Schwingung Reibungund
Verschleiss) oscillation friction and wear tester (Optimol,
Germany). The investigation considered the ball-on-disk point
contact wear mode, the upper specimen was a AISI 52100 steel
ball of diameter 10mm. Wear testing was performed using a
constant 1 mm stroke, 10 N or 100 N normal load, a 24 minute
test duration and a 50Hz oscillation frequency.
2.2. HARDNESS AND ADHESION TESTS
The hardness of each coating was measured using a
nanoindentation tester (TriboScope, Hysitron Inc., USA) with
a force at final contact of 1mN. The adhesive properties of the
various coatings were also examined by performing scratch
tests in which a 300 μm diameter diamond stylus was driven
701
Y.L.Su, Department of Mechanical Engineering, National
Cheng Kung University, Tainan, Taiwan, China
across each coating at a continuously increasing loading rate of
1 N s-1.
2.3. DRILLING TESTS
To investigate the suitability of the coatings for industrial
machining applications, the coatings were deposited on
micro-drills (MD020, Tera, Taiwan) and used in a series of
high-speed through-hole drilling tests under dry conditions
using PCB substrates. The drilling operation was performed
using a commercial machining center (W1686-10,
Schmol-Mashinen, Germany) with a rotation speed of 160000
rpm and a feed rate of 1.4 m/min.
3. RESULTS
3.1. COMPOSITION, MECHANICAL AND ADHESIVE
PROPERTIES
Table 1 lists the composition of the Zr-C:H:Nx% coatings
with varying flow rates of nitrogen. Listed x% values show
nitrogen contents of 0%, 8%, 12%, 20%, 23%, and 29%
atomic percentage. The coating hardness decreases as the
nitrogen content is increased from 0 at.% to 29.5 at.%.
Coatings Zr-C:H:N0% and Zr-C:H:N29% have the highest and
the lowest hardness values. As shown in Table 1, the scratch
test results revealed that the coatings of Zr-C:H:N8% and
Zr-C:H:N12% possess high critical loads (> 84 N) the scratch
results indicated that a suitable range of nitrogen doping
improves the coating adhesion property and the high content of
nitrogen leads to a reduction in adhesion strength.
3.2. TRIBOLOGICAL PROPERTIES AND LIFETIME
Table 2 presents the wear depths and mean values of the
friction coefficients of the current coatings obtained after wear
testing for 24 minutes against AISI 52100 steel ball and
lifetime. It shows all of these coatings, the Zr-C:H:N8% coating
possesses the best anti-wear and anti-friction properties.
3.3. HIGH SPEED DRILLING PERFORMANCE
The Zr-C:H:N8% coating always provides the optimal
corner wear resistance The Zr-C:H:N8% coatings showing the
best corner wear resistance in the drilling tests was selected for
the tool life in terms of the total attainable number of drilled
holes before the corner wear value reached a value of 34.4μm
(i.e. the corner wear of an uncoated drill after drilling 2000
holes ). It is observed that the Zr-C:H:N8% coating provides the
maximum attainable number of drilled holes above 10000
holes.
3.4. DRILLING QUALITY IN DRILLING HOLE
Fig. 1(a)–1(d) show the quality of the drilled holes at the
20,00th and 60,00th hole drilled for the uncoated micro-drill
and for the Zr-C:H:N8% coated micro-drills, respectively. Fig.
1(a) shows the presence of significant smearing at the 20,00th
drilled hole and the 60,00th hole is clearly distorted with
significant smearing and burring in evidence in and around the
hole as shown in Fig. 1(b) for the uncoated micro-drill.
Therefore, the uncoated micro-drill provides a poor quality of
drilled hole. The 20,00th drilled hole (Fig. 1(c)) produced
using the Zr-C:H:N8% coated micro-drill displays a much
improved hole quality, almost no any burring and smearing in
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

and around the hole. Furthermore, its quality of the 6000th
hole (Fig. 1(d)) is superior to the 2000th hole (Fig. 1(a)) that of
produced using the uncoated micro-drill. Therefore, the
Zr-C:H:N8% coated micro-drill not only provides an extended
tool life, but also improves the quality for the high-speed
through-drilling of PCBs under dry conditions.
3.
4. CONCLUSIONS
Based on the results of this study, we can conclude the
following:
1. The hardness of the Zr-C:H:Nx% coatings decrease as the
nitrogen content increases. Therefore the Zr-C:H:N0%
4.
coating and Zr-C:H:N29% coating possess the highest and
lowest hardness, respectively.
2. A suitable nitrogen content can improve coating adhesion,
the optimal content being found in the nitrogen content
range of 8%-12% atomic percentage. The best
Zr-C:H:Nx% coatings adhesion are found for Zr-C:H:N8%
and Zr-C:H:N12%, and these are suitable sliding against
AISI 52100 steel ball. This is because Nx% of 8 and 12
provide suitable solid lubricant effects, thus possess low
friction coefficients, high wear resistance and long
lifetime.
The optimum coating for sliding against AISI 52100 steel
ball is the Zr-C:H:N8% coating. A solid lubricant layer
from the coating is transferred to the 52100 steel ball. The
fact that solid lubricant layer transition occurs between
the coated disk and the 52100 steel ball implies that
adhesive wear and friction can be largely reduced.
The present results have shown that coating micro-drill
with Zr-C:H:N8% increases the tool life by a factor of 5
times and improves the quality of drilled holes, compared
to the uncoated tool case.

Table 1
Nitrogen flow rate, film thickness, elemental composition, mechanical property and adhesion property of various Zr-C:H:Nx%
coatings
Coating Nitrogen coating Elemental composition (at.%) Mechanical Adhesion
flow rate thickness property property
(sccm) (μm) C Zr N H Hardness Critical load (N)
(kgf/mm2)
Zr-C:H:N0% 0 1.5 86 6.2 0 7.8 1463 63
Zr-C:H:N8% 1 1.8 85 2 8 5 1213 87
Zr-C:H:N12% 2 1.9 82 2 12 4 880 84
Zr-C:H:N20% 3 2.0 75 2 20.2 2.8 766 38
Zr-C:H:N23% 4 2.2 73 2 23.2 1.8 551 33
Zr-C:H:N29% 5 2.3 67 2 29.5 1.5 429 28

Table 2
Wear results of Zr-C:H:Nx% coatings sliding against AISI 52100 steel ball under normal loading 10N and 100N, respectively: μa :
average value of low friction coefficients during stable stage; μb : average value of high friction coefficients during fluctuating
stage; D: wear depth of wear scar on coating for during 1440 testing time. And L: lifetime of the time from the start of testing
until the time at which the friction coefficient suddenly increases and starts to fluctuate
Coatings ball-on-disk point contact wear mode
Friction coefficient Wear depth Lifetime
10N 100N 10N 100N 10N 100N
μa μb μa μb D (μm) L (sec.)
Zr-C:H:N0% 0.17 --- 0.13 0.46 1.6 2.6 3384 1093
Zr-C:H:N8% 0.07 --- 0.04 0.43 1.0 2.0 3418 1366
Zr-C:H:N12% 0.14 --- 0.06 0.26 1.9 2.9 3126 1127
Zr-C:H:N20% 0.13 --- 0.05 0.47 3.4 10.5 2675 646
Zr-C:H:N23% 0.16 --- 0.08 0.52 3.6 19.5 2356 68
Zr-C:H:N29% 0.21 0.78 0.22 0.61 4.7 41.5 286 19
Uncoated --- 0.75 --- 0.56 9.68 100.1 --- ---

(a) (b) (c) (d)

Fig. 1 Damage around drill hole: (a) 20,00th hole drilled (b) 60,00th hole drilled used uncoated micro-drill; (c) 20,00th hole drilled
(d) 60,00th hole drilled used Zr-C:H:N8%.coated micro-drill.
(The whole paper will be supplied by the authors if reader needs it.)

702
 Tribological Behavior of Sputtered CrAlNbN Hard Coatings at Elevated Temperatures

Tribological Behavior of Sputtered CrAlNbN Hard Coatings at Elevated Temperatures

G.A. Fontalvo*/ Christian Doppler Laboratory for C. Mitterer/ Christian Doppler Laboratory for Advanced
Advanced Hard Coatings at the Department of Physical Hard Coatings at the Department of Physical Metallurgy
Metallurgy and Materials Testing, Montanuniversität and Materials Testing, Montanuniversität Leoben,
Leoben, Franz-Josef-Straße 18, A-8700 Leoben, Austria Franz-Josef-Straße 18, A-8700 Leoben, Austria

(Extended Abstract)

INTRODUCTION dominant, and a second cubic phase appears at a 2θ angle of

The development of hard coatings for cutting tools is about 40° which could not be identify unambiguously. Both
focused on new concepts that withstand higher application hardness and Young’s modulus increase with increasing Nb
temperatures. In this respect, CrAlN hard coatings are content (cf. Fig.2).
interesting for cutting applications because of their higher
thermal stability compared to TiAlN [1]. It has been shown
that V-containing coatings exhibit low friction and wear at
elevated temperatures due to oxide formation [2-5]. According
to Erdemir, oxides of high ionic potential are suitable
candidates to show low friction at high temperatures [6]. The
ionic potential of Nb2O5 is about 8 for the tetrahedral
coordination which is in the range of other oxides showing low
friction [7]. Low Nb contents yield an improvement in the
cutting performance of high Al containing CrAlN coatings [1].
It was thus the purpose of the present work to evaluate the
influence of Nb in the structure and the tribological behavior at
room and elevated temperatures of CrAlN coatings with low
Al content.
Keywords: CrAlNbN, hard coatings, wear, High temperature

EXPERIMENTAL
In the present study, CrAlNbN films were deposited on Fig. 1 XRD patterns of the coatings without Nb (A), and with
high-speed steel substrates by reactive d.c. magnetron Nb / metal ratios of 17% (b), and 53% (C)
sputtering in Ar+N2 from one Nb and two CrAl (25 at% Al) 2”
diameter targets, at a total pressure of 0.37 Pa, with a
flow-controlled nitrogen partial pressure of 44%. The current
on the CrAl targets and the substrate bias voltages were kept
constant for all depositions at 0.7A and -80V, respectively. Two
different variations of CrAlNbN coatings were obtained by
varying the current on the Nb target (0.35 and 1A). The
deposition time was varied such that a film thickness of 3μm
was reached. The coatings were characterized by X-ray
diffraction (XRD, Bruker AXS D8 Advance), scanning
electron microscopy (SEM, Zeiss Evo50), energy-dispersive
X-ray analysis (EDS, INCA) and nanoindentation
measurements (UMIS II). Ball-on-disc tests (CSM THT) were
conducted in ambient air at temperatures up to 600°C using
alumina balls as counter-faces, a load of 5N and a sliding
distance of 200m. Wear tracks on the samples were Fig. 2 Hardness and Young’s moduli of the coatings
characterized using Raman spectroscopy, scanning electron
microscopy and white light profilometry (Wyko NT1000).
At room temperature, the coefficient of friction (COF) of
CrAlN sliding against alumina is about 0.5 while that of the
RESULTS Nb containing coatings is around 0.6. Both CrAlN and the
EDS analysis of the coatings reveal that the Nb metal ratio coating with a Nb / metal ratio of 17% show almost no wear,
(at.% Nb / at.% Nb + at.% Cr + at.%Al) increases from 17% to while the coating with 53% Nb / metal ratio shows a wear
53% with increasing current on the Nb target. track which is about 1μm deep (cf. Fig. 3(a)). As temperature
Fig.1 shows XRD patterns of the coatings without Nb (A), increases, the COF decreases to 0.45 for CrAlN, and to 0.5 for
with a Nb / metal ratio of 17% (B) and 53% (C). The coatings the Nb containing coatings. Wear increases for all coatings as
show a cubic structure with preferred [200] growth orientation. temperature raises. However, in case of CrAlN, the coating
With increasing Nb content, the peaks move from the positions fails (Fig. 3(b)). The Nb containing coatings behave different.
corresponding to CrN towards those of the fcc-NbN. For the The coating with a Nb metal ratio of 17% shows almost no
highest Nb content, the [200] orientation becomes significantly wear and there is transferred material in the wear track,
particularly on both sides of the track (cf. Fig. 3(c)). The coating
*To whom all correspondence should be addressed.
703
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
with a Nb / metal ratio of 53% shows less wear than the CrAlN
coating, and the wear track is about 1.5μm deep (cf. Fig. 3d).
Fig. 3 Two-dimensional surface profiles of the wear tracks of
(a) 53% Nb / metal ratio at RT, and (b) CrAlN, (c) 17% Nb/
metal ratio, (d) 53% Nb/ metal ratio after testing at 600°C.
CONCLUSIONS
Within this work, the influence of Nb in the structure and
the tribological behavior of low Al containing CrAlN coatings
at room and 600°C was investigated. Alloying of CrAlN with
Nb results in an fcc structure consisting of a solid solution of
CrN and NbN that grows with a preferred [200] orientation. As
consequence of the increasing Nb content, both hardness and
Young’s modulus increase as well. Alloying of CrAlN with Nb
results in a better tribological behavior at elevated
temperatures.
ACKNOWLEDGEMENTS
Financial support by the Christian Doppler Research
Association within the framework of the CD laboratory for
Advanced Hard Coatings with its partners PLANSEE
704
Composite Materials GmbH (Lechbruck, Germany) and
Oerlikon Balzers Coatings AG (Balzers, Liechtenstein) is
highly acknowledged.
REFERENCES
[1] Endrino, J., Derflinger, V., 2005, “The influence of
alloying elements on the phase stability and
mechanical properties of AlCrN coatings,” Surface
and Coatings Technology, 200, pp.988-992.
[2] Münz, W.-D., Lewis, D.B., Hovsepian, P.Eh., Schönjahn,
C., Ehiasarian, A., Smith, I.J., 2001, “Industrial scale
manufactured superlattice hard PVD coatings,”
Surface Engineering, 17, pp.15-27.
[3] Kutschej, K., Mayrhofer, P.H., Kathrein, M., Polcik, P.,
Mitterer, C., 2004, “A new low-friction concept for
Ti1-xAlxN based coatings in high-temperature
applications,” Surface and Coatings Technology, 188-189,
pp.358-363.
[4] Franz, R., Neidhardt, J., Sartory, B., Kaindl, R., Tessadri,
R., Polcik, P., Derflinger, V.H., Mitterer, C., 2006, “High
temperature low friction properties of vanadium-alloyed
AlCrN coatings,” Tribology Letters, 23, pp.101-107
[5] Fateh, N., Fontalvo, G.A., Mitterer, C., 2007, “Influence of
high-temperature oxide formation on the tribological
behaviour of TiN and VN coatings,” Wear, 262,
pp.1152-1158.
[6] Erdemir, A., 2000, “A crystal-chemical approach to
lubrication by solid oxides”, Tribology Letters, 8,
pp.97-102
[7] Fontalvo, G.A., Terziyska, V., Mitterer, C., 2007, “High
temperature tribological behavior of sputtered NbNx thin
films,” Surface and Coatings Technology, 202,
pp.1017-1022
(The whole paper will be supplied by the authors if reader
needs it.)
 The Method of Elastic Coatings Diagnostics from Indentation Data

The Method of Elastic Coatings Diagnostics from Indentation Data

E. Torskaya / Institute for Problems in Mechanics RAS, S. Chizhik / A.V.Lykov Insitute of heat and mass
101, 1, Vernadskogo prosp., 119526, Moscow, Russia transfer, 15, P.Brovkà Street, Minsk BY-220072,
Republic of Belarus
S. Siroezkin / A.V.Lykov Insitute of heat and mass
transfer, 15, P.Brovkà Street, Minsk BY-220072,
Republic of Belarus
(Extended Abstract)

ABSTRACT CONTACT PROBLEM FORMULATION AND THE

Different types of coatings are used to decrease friction and METHOD OF SOLUTION
to improve wear resistance of surfaces in friction contact, that’s The normal contact of an elastic ball and a two-layered elastic
why the problem of elastic properties diagnostic is important. half-space is investigated (Figure 1). The ball is loaded by the
Usually the elastic properties are taken from the parameters of normal force P.
bulk materials or from indentation tests with calculation of The following boundary conditions at the upper layer surface
elasticity modulus using Hertz theory. But elastic properties of (z=h) are considered:
the thin layers may differ from the properties of bulk material,
and it’s impossible to ignore the influence of substrate on w(1) (r) + w(3) (r) = f (r) + D, 0 < r < a
penetration value for indentation tests. For very thin soft σz(1) = 0, a < r <∞ (1)
coatings another problem is to find the coating thickness (it can τ = 0, τ = 0,
(1)
rz
(1)
θz 0 < r <∞
be different for the same sample because of substrate
roughness, for example). The presented method makes it where σz(i), τrz(i), σyz(i) and u(i), w(i) are the components of
possible to obtain elasticity modulus and the coating thickness stresses and displacements in the layer (i=1), in the half-space
from the load-penetration dependence for a fixed point of (i=2), and in the ball (i=3), a is the radius of contact region, D
two-layered body surface. The method is based on contact is the punch displacement along the axis Oz. The ball shape is
problem solution for a ball and two-layered elastic foundation. described by the function f(x,y).
The contact problem is solved by Hankel integral transforms,
boundary element methods and iteration procedure. The
load-penetration dependence is obtained for a range of
elasticity modulus value and for a range of thicknesses. The
ranges are chosen so, that they include the probable values of
parameters. The set of indentation results makes it possible to
obtain the only points in the ranges. The method has been
tested for the case of thin soft coatings. The calculated
thickness has been in good correspondence with
experimentally obtained value.
Keywords: Coatings, Elasticity, Thickness, Nano-indentation
INTRODUCTION
Static force spectroscopy as a function of modern atomic-force
microscopes (AFM) is usually used for evaluation of local Fig. 1 Schematic of the contact problem formulation
elastic and adhesive properties of the surface layers of material
[1]. For a bulk material an elastic modulus is obtained from the The following equilibrium condition is satisfied:
Hertz theory in assumption of elastic deformation of the
a
half-space (which is the model of the sample) by parabolic
indenter, which is a probe of AFM [2, 3]. To obtain the elastic P = 2π ∫ p(r)rdr (2)
modulus of a nano-coating the more complex problem should 0

be considered in assumption that the layer thickness and the
elastic properties of the substrate are known values [4, 5]. The
widespread techniques of the extra-thin layers formation at the
non-uniform surface of the foundation don’t provide the
constant thickness of the coating.
In this study a new approach is realized to characterize thin soft
layers adhered to relatively hard substrate. The elastic modulus
and the thickness of the layer are obtained simultaneously from
the indentation data. The data is the force-displacement
dependence for a fixed surface point. The calculation procedure
is used for hypothetical ranges of the layer thickness and elastic
modulus.
torskaya@mail.ru
where p(r) is the contact pressure.
The conditions of perfect adhesion at the layer-substrate
interface (z=0) are considered:
w(1) = w(2) , ur(1) = ur(2) ,
(3)
σ z(1) = σ z(2) , τ rz(1) = τ rz(2) , τ θ(1)z = τ θ(2)z
The method of Hankel integral transforms makes it possible
to obtain the displacements of the layer upper surface under
the known normal load distribution [6]. This solution is then
used as a basis for the solution to the axisymmetric contact
problem using the method proposed developed in [7]. To solve

705
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
the contact problem with the boundary conditions (1) and to
find the pressure distribution within the contact region, the
circular contact region (radius a) is divided into N rings. The
contact pressure is considered as a piecewise function, with a
constant value inside each ring. The displacements inside the
rings are determined by the function f (r). A system of N
equations is obtained and iteratively solved to find the radius
of the contact region and the pressure distribution.
ALGORITHM OF THE LAYER THICKNESS AND THE
ELASTICITY MODULUS CALCULATION
Fig. 2
1. The data complex, which is not change during the
calculations, at this stage of the program development don’t
include elastic properties of the indenter (it considered to be
rigid).
2. The indentation data include the number of indentation steps
N, and the dependence wnex ( Pn ) , where wnex and Pn are
penetration and force values for n-th step.
3. Pn is used to calculate (based on the contact problems
solution) the maximum displacement wnc of the indenter as
a function of elasticity modulus and the coating thickness for
hypothetical ranges of E1 and h.
4. The function is compared with the experimental value of
penetration for the step. The pairs ( E1 , h) , which provide the
values of wnc equal to wnex , form a multitude Ωn .
5. At the last stage all magnitudes are compared with each other.
The perfect case is the only pair ( E1 , h) , which is an element
of all multitudes. Really there are many pairs which are rather
close to each other. The average values are obtained.
AN EXAMPLE OF LAYER THICKNESS AND
ELASTICITY MODULUS CALCULATION
A thin film adhered to silicon substrate have been tested by
indentation. The silicon elasticity modulus is 180 GPa; Poisson
ratio ν 2 =0.4, and ν1 =0.45. The radius of indenter (the probe
curvature) is 20nm. The indentation results are presented at
Figure 3.
706
35
30
25
depth (nm)
20
15
10
5
0
0 0.2 0.4 0.6 0.8 1
Load (nN)
Fig. 3 Indentation data
For the calculations the data have been used partially (from 0.2
to 0.8nN). 53.6 nm layer thickness and 5.2MPa elasticity
modulus have been obtained.
The result of elasticity modulus calculation from the Hertz
theory, which has been measured for relatively small loads, is
6MPa. The layer thickness for the tested point of the layer have
been measured by special destructive technique developed for
AFM. The experimental result is 50nm; it is in good
correspondence with the results of calculations.
ACKNOWLEDGEMENTS
This research was supported by the Russian Foundation for
Basic Research (grant numbers 06-01-81021-Bel-a and
07-01-00282-a) and Belarusian Republican Foundation for
Fundamental Research (grant F06R-207).
REFERENCES
[1] Burnham, N. A., Colton, R. J., 1989, Measuring the
nanomechanical properties and surface forces of materials
using an atomic force microscope, J.Vac. Sci.Technol., vol.
A7, pp. 2906−2913.
[2] Burnham, N. A., Colton, R. J. and Pollock, H. M., 1993,
Interpretation of force curves in force microscopy,
Nanotechnology, vol. 4, pp. 64−68.
[3] Chizhik, S. A., Huang, Z., Gorbunov, V. V., Myshkin, N.
K., Tsukruk, V. V., 1998,.Micromechanical properties of
elastic polymeric materials as probed by scanning force
microscopy, Langmuir, vol. 14, 9, pp. 3012–3015.
[4] Burnham, N. A., Domingues, D. D., Mowery, R. L., Colton,
R. J., 1990, Probing the surface forces of monolayer films
with an atomic force microscope, Phus. Rev. Lett., vol. 64,
pp. 1931−1934.
[5] Tsukruk, V. V., Sidorenko, A., Gorbunov, V. V., Chizhik,
S. A., 2001, Surface Nanomechanical Properties of
Polymer Nanocomposite Layers, Langmuir, vol. 17, pp.
6715–6719.
[6] Nikishin, V. S. and Shapiro, G. S., 1970, Space problems
of elasticity theory for multi-layered bodies (in Russian),
(AN-SSSR: Academy of Sciences (U.S.S.R), Moscow).
[7] Torskaya, E. V., Goryacheva, I. G., 2003, The effect of
interface imperfection and external loading on the
axisymmetric contact with a coated solid, Wear, vol 254,
pp. 538–545.
(The whole paper will be supplied by the authors if reader
needs it.)
 The Effect of Electric Field on Adhesion Force with Liquid in MIM Structures

The Effect of Electric Field on Adhesion Force with Liquid in MIM Structures

Xiong Yi1, Zhang Xiangjun1*, Liu Yonghe2, Zhang Xiaohao1, Mikhail Kosinskiy2
1
State Key Laboratory of Tribology, Tsinghua University, Beijing 100084, China
2
Technical University Ilmenau, Ilmenau 98693, Germany

(Extended Abstract)

ABSTRACT
z Z stage Computer
The effect of electric field on adhesion force with liquid in
Signal of adhesion
MIM (Metal-Insulator-Metal) structures has been y force A/D
experimentally researched. Two kinds of liquid (polar and x
Fiber sensor
non-polar) are used, and voltage is applied between steel balls
and silicon wafers with silicon nitride film on, which is used to Spring beam
Current and voltage signal
simulate MIM structures. Then the adhesion force is measured, Upper sample-
ball V
and it is observed that the effect of polar liquid is different from Lower sample
'&

non-polar liquid. The polar liquid can eliminate the electric Microscope A
PZT
force caused by the voltage but the non-polar liquid cannot; the
adhesion force with non-polar liquid in will be changed by CCD
3 direction stage
amplitude and applied time of voltage, which is caused by
electric force and charge trapping of dielectric film. When the
liquid become smaller and smaller, the effect on the model with
polar liquid in will be changed; the voltage can change the
adhesion force too. Because the adhesion force is depended on Fig.1 The schematic of the experimental apparatus
the capillary force which is correlative with the liquid volume
too, we can adjust the adhesion force by voltage and liquid
volume. &DQWLOHYHUEHDP
Keywords: electric field, adhesion force, polar (non-polar) 9 6WHHOEDOO
liquid )OXLG 'LHOHFWULFILOP

INTRODUCTION 7UDQVSDUHQWHOHFWULFILOP
Metal-Insulator-Metal (MIM) structures have been used in
(a)
micro-electro-mechanical systems (MEMS) frequently. In this
field, the most important problem is the charging of dielectric
film, which can affect the adhesion force and thus induce the &DQWLOHYHUEHDP
failure of the whole structure[1~3]. Many researches have been 9 6WHHOEDOO
done to investigate the relation of voltage and adhesion force in )OXLG 'LHOHFWULFILOP
MIM structures [1~3]. If liquid is imported into the structure,
forming Metal-Liquid-Insulator-Metal (MLIM) structure, the 7UDQVSDUHQWHOHFWULFILOP
adhesion force will display some new characters which may be
used in micro-pipe driving by static electric force or other (b)
fields. The adhesion force of MLIM structure with voltage Fig.2 (a) Dip the ball into the liquid to avoid the capillary
applied is related to the charge trapping, electrowetting, force to get the electric force only (b) Change the liquid into a
capillary force, and so on. So it is very important to be micro-drop to get the adhesion force changed by voltage and
investigated. volume of liquid

EXPERIMENT MATERIALS
EXPERIMENT
In the experiment, steel balls of 3mm diameter and silicon
EXPERIMENT INSTRUMENT wafers with silicon nitride film (200nm) as dielectric film are
A micro-/ nano-adhesion apparatus is modified and used as used as upper and lower samples. Two kinds of liquid are filled
a MIM structures simulator in this study. A diagram schematic in the container to investigate the effect of the liquid, which are
of the experimental apparatus is given in fig.1. the glycerin (polar) and n-hexadecane (non-polar). The
The ball-on-flat configuration is used to simulate the MIM parameters of liquid samples are listed in table.1.
structures, and then the liquid is introduced into it. The Tabel.1 Parameters of liquid samples (23 OC and normal
experiment can be described in fig.2. atmosphere pressure)
During experiments, different voltages are applied between
the ball and the wafer, while volume of liquid is also changed.
Molecular Relative Electric
Then adhesion force is measured.
formula permittivity conductivity
( E 1m 1 )
Glycerin (CH2OH)2CHOH 42.5 6.40*10-6
* Email address: xjzhang@mail.tsinghua.edu.cn
N-hexadecane CnHh2n+2 n=16 2.046 2.04*10-10

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

RESULTS AND DISCUSSION

ADHESION FORCE WITH DIFFERENT LIQUID
For investigating the effect of electric field on adhesion
force with different liquid without capillary force, steel ball is
dipped into the liquid (as shown in fig.2(a)) and the velocity of
separating is limited to avoid the dynamic force. The adhesion
force is measured by the apparatus and the results are shown in
fig.3. According to the results, it can be found that the polar
liquid can eliminate electric force which leads the adhesion
force holding at zero, but the non-polar liquid can hardly
change the electric force.

Fig.5 The decrease of adhesion force caused by charge trapping

coulombs, N 0 is the total trap density, C 0 is the time constant

[4]. According to the results, n-hexadecane will change the
charge trapping condition by N 0 and C 0 , which is because of
the change of electric field and conductive area.

THE EFFECT OF LIQUID VOLUME ON ADHESION

Fig.3 Adhesion force with different liquid and without
liquid changed with voltage
The disappearance of electric force with glycerin may be
caused by polarization of molecular which can form a new
electric field to clear up the effect of the old one, as shown in
fig.4.
FORCE
According to the research of the relation between liquid
volume and adhesion force, it is known that the adhesion force
will decrease with the liquid volume [5]. And the investigation
of electrowetting shows that the contact angle will decrease
with voltage [6~8], which will change the adhesion force when
the liquid is divided into a micro-drop. The experiment shown
in fig.1 (b) has been done and the results of the both liquid are
shown in fig.6.

+ + + + + + + +
- - - - - - - -

 +
-
+
-
+
-
+
-

 + +
- -
+
-
+
-
+
-
+
-
+
-
+
-
+
-

Fig.4 The schematic of polarization of molecular

For the non-polar liquid (n-hexadecane), though its’ relative

permittivity is equal 2.046, which is bigger than air’s and will
increase the electric force, the liquid film confined between the
ball and flat will increase the distance thus decrease the electric
force. So the adhesion force with n-hexadecane is a little
smaller than that without liquid.
(a)
THE EFFECT OF DIELECTRIC CHARGING ON
ADHESION FORCE WITH NON-POLAR LIQUID
As is known to us all, electrons or holes will be injected and
trapped into the dielectric film when applying voltage. The
charging phenomena have been researched by Patton with the
similar apparatus of we used[1]. During the experiments, it is
concluded that the liquid will change the charging process, and
the adhesion force will reflect it. The decrease of adhesion
force caused by charge trapping, which is changed by time,
with and without non-polar liquid (n-hexadecane) in the
container is shown in fig.5.
For Zafer’s results, the principle of charge trapping is
followed with the equal (1),
n(t )  qN 0 (1  exp((t / C 0 ) A )) (1)
(b)
Fig.6 Adhesion force under different voltages change by
Where n(t ) is the trapped charge density, q  1.0 1019
liquid volume. (a) is for glycerin and (b) is for n- hexadecane.

708
 The Effect of Electric Field on Adhesion Force with Liquid in MIM Structures
From the fig.6 (a), it is observed that voltage displays more
effect with decreasing of polar liquid volume, which may be for
the reduce of spreading area. It is strange that adhesion force
change caused by electrowetting isn’t observed. A possible
reason is that the original contact angle of glycerine on silicon
nitrogen is too small and electrowetting can not occur.
From the fig.6 (b), it is observed that the adhesion force
almost doesn’t change with volume of n-hexadecane, and can
be stable controlled by voltage.
CONCLUSION
According to the results and discussion, the following
conclusions could be got:
(1) The polar liquid can eliminate the electric force caused
by the voltage but the non-polar liquid cannot;
(2) The adhesion force with non-polar liquid in will be
changed by amplitude and applying time of voltage, which is
caused by electric force and charge trapping of dielectric film.
Comparing with air, it will enhance the charge trapping with
n-hexadecane between ball and flat.
(3) Voltage displays more effect with decreasing of polar
liquid volume, and no composing of adhesion force caused by
electrowetting is observed. For non-polar liquid, the adhesion
force almost doesn’t change with volume, and can be stably
controlled by voltage.
ACKNOWLEDGEMENTS
Acknowledgement is made to Technical University Ilmenau
for providing the experiment instruments and materials. This
work was funded by National Natural Science Foundation of
709
China(NSFC) with Grant 50575123/50730007. It was also
supported by PPP project from CSC and DAAD.
REFERENCES
[1] Steven T. Patton, 2006, “Effects of dielectric charging on
fundamental forces and reliability in capacitive
microelectromechanical systems radio frequency switch
contacts”, Journal of applied physics, 99.
[2] M. Exarchos, V. Theonas, 2005, “Investigation of charging
in Metal-Insulator-Metal structures”, Microelectronics
Reliability, 45, pp.1782-1785.
[3] Herbert R. Shea, 2004, “Effects of Electrical Leakage Currents
on MEMS Reliability and Performance”, IEEE Transactions
on Device and Materials Reliability, 4, pp.198-207.
[4] Sufi Zafar, Alessandro Callegari, etc., 2002, “Charge
Trapping in High K Gate Dielectric Stacks”, international
electron devices meeting, San Francisco CA pp. 517-520
[5] Zhang Xiaohao, Zhang Xiangjun, etc, 2007, “Impact of
confined liquid thin film upon bioadhesive force between
insect pads and smooth solid surface”, Acta Physica Sinica,
8, pp.4722-4727
[6] Stefano Millefiorini, Alan H., etc., 2006, “Electrowetting of
Ionic Liquids”, J. AM. CHEM. SOC, 128, pp.3098-3101
[7] Jr-Lung Lin, Gwo-Bin Lee, etc., 2006, “Model Description
of Contact Angles in Electrowetting on Dielectric Layers”,
Langmuir, 22, pp.484-489
[8] Shawn W. Walker, Benjamin Shapiro, 2006, “Modeling the
Fluid Dynamics of Electrowetting on Dielectric (EWOD)”,
Journal of Microelectro-mechanical Systems, 4, pp.986-1001
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China


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710
 Simulation of Friction Composite Behavior Using Heat Treatment

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711
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

In-situ Microtribology with High Local Resolution

Wolfgang P. Weinhold1,*, Eberhard G. Mueller2, Ralph Stengler3, Michael Stoll4

1
TU Bergakademie Freiberg, c/o Innowep GmbH, Haugerring 6, 97070 Wuerzburg, Germany
2
TU Bergakademie Freiberg, Electronic and Sensormaterials, Gustav-Zeuner-Str. 3, 09596 Freiberg, Germany
3
University of Applied Sciences, Faculty of Plastics Engineering, Hardtring 100, 64296 Darmstadt, Germany
4
Research Institute of Leather and Plastic Sheeting gGmbH, Meissner Ring 1-5, 09599 Freiberg, Germany

ABSTRACT in-situ-consideration and recording with local resolution.

Common material properties, e.g. hardness, tensile
modulus and strength, poisson´s ratio, are well known. On the
other hand, properties of thin layers or composite materials
can differ significantly from those data, in particular for
micro-/nano-particle systems. AFM and FFM methods work
with excellent lateral, topographic and force resolution but
often do not provide testing-situations close to practical
applications. Optimization of scratch- and wear-properties
especially of relevance on curved and topographically
structured surfaces need access to measurement techniques,
that cover the gap between micro and nano scale. An
innovative technique is presented and results of this
micro-structure-analysis procedure with high local resolution
MISTAN are shown. The advantages of in-situ measurements
of total, permanent, elastic deformation and friction force on
e.g. polymer-, glass- and metal-samples as well as on coated
and composite materials are presented. The local
topographical variation and impact on the local tribosystem is
demonstrated. It also turned out that in-situ measurements of
scratch resistance with stepwise increase of load correlated
with simultaneous micro force measurements are of great
relevance for the characterization and differentiation of
materials.
Keywords: Tribology, Friction, Scratch, Wear
INTRODUCTION
Tribology in general describes everything which takes
place between two or more bodies in contact, being moved
against each other. The status quo before and after the
tribological incident, especially the values of roughness and
structure, have to be taken into account to understand the
results [1]. The load and course of movement have to be
described exactly. It is also of great relevance to measure the
resulting forces which direction is opposite to the moving
direction of the counterparts. Tribology also describes wear
and abrasion phenomena. These phenomena are the sum of all
nonreversible changes of a surface. The elementary processes
of wear and friction are of stochastical nature, which happen
as dissipative, non-linear, dynamical events with temporal and
local micro contacts [2]. But polymer and composite materials
have become more and more relevant in construction
nowadays. Up to now nearly every tribological consideration
uses older models, which strictly speaking only have a range
of validity in the metal sector [2]. Notably the viscoelastic
behaviour of polymer materials or the inhomogeneous
distribution of materials behaviour within composites in
addition of topographical surface variation demand a new way
of thinking and measuring. Many effects can only be detected
when measurement methods have the possibility of
Within this work the sophisticated demands of polymers and
composite materials are considered using a new method for
the in-situ characterization of surface materials and functional
properties with high local and temporal resolution [3].
QUANTITATIVE DESCRIPTION OF SCRATCHES
Four different scenarios can be distinguished concerning
the interaction of a stylus and a surface under load:
1. If an elastic deformation of the surface occurs with
abrasion of local unevennesses like fish eyes, this is called
grooving.
2. In the process of viscoelastic plowing, material is densified
under the contact area as well as viscoelastically and
plastically pushed to the outside. A relative height level
will be reached that overtops the testing level.
3. Immediate formation of cracks either in the middle or at the
edge of the scratch. Several particles can be quarried out
and arranged along the scratch afterwards.
4. Non-viscoelastic plowing by which material is directly
removed permanently from the surface. Loss of material
from the sample occurs.
It is of great importance to understand the process of scratching
physically. The results should not only be evaluated
qualitatively but also quantitatively in a reproducible manner.
This is important because with the scratch test extremely thin
layers must be estimated where the qualitative rating is not
enough. With the quantitative examination it is possible to
optimize techniques for the increase of scratch resistance
systematically.
Besides the changes in deformation values the friction
coefficient plays an important role in a scratch process. It can
be assumed that the friction coefficient describes the force that
leads to the scratch. A dramatic change in friction forces is a
clear evidence for the formation of a scratch.
In general, materials with high recovery rates have a better
scratch resistance since from the total deformation the elastic
part has to be subtracted. For an exact evaluation of the degree
of damage or resistance against damages of a material
respectively it is necessary to estimate the penetration depth
in-situ during the scratching process. Besides, the local
pressure on the surface during the penetration process and the
moving of the stylus along the surface has to be evaluated for
friction resistance.
In the numeric evaluation of scratches most insights come
from engineering where a penetrator – as a tool – is used for the
machining of metal surfaces. These insights and techniques can
hardly be transferred to polymer materials. This is due to their
material behaviour like viscoelasticity, creeping and relaxation
as a function of time that do not occur with metals. Through this
special elastic and viscoelastic behaviour of polymers the
scratching leads to a three dimensional, the penetrator

712
 In-situ Microtribology with High Local Resolution
surrounding process where it is no more possible to simulate
real contact areas and local pressures correctly. Since the
effective geometry and contact areas affect the local material
behaviour massive, e.g. the viscoelasticity can increase erratic
especially if local plastification or melting of polymers occurs,
all numeric models collapse that do not consider these specific
properties. Due to the penetration behaviour of the tip, directly
beneath the surface lies a region of strong plastic behaviour so
that in contrast to pure elastic material it becomes clear that
because of the contact area a zone of high tension and surface
pressure forms.
Due to the characteristics of polymer materials considering
elasticity, plasticity and viscoelasticity it is extremely hard to
develop a prediction of a specific material behaviour with
regard to its scratch behaviour. Up to now there is no suitable
extensive model to describe, picture and predict the scratch and
wear process.
CRITICAL REFLECTION
Even if we assume homogenous material properties
different local abrasion mechanisms result from different
regional surface structures of both friction partners. Within a
tactile relative motion different mountains on both material and
stylus meet each other. Which demolishing mechanism occurs
on a certain point of the surface depends on the local
topography. Although the local topography affects the
tribosystem crucial, common scratching techniques take neither
the spatial resolution nor the geometries of the tribologic
partners into account. Roughness parameters are not useful
since these values summarize over the structure or topography
and give no hint on local or punctual effects.
A tribosystem that deals with inhomogeneous material
properties and also takes the interaction between material
behaviour and topography into account has to include and
consider properties and topographies of both tribologic partners,
material and penetrator. So, for detailed insights into the wear
and abrasion mechanisms the border and crossover zones like
in composites have to be comprised.
To force a surface abrasion it is essential that the penetrator
has a greater hardness than the specimen. Only then micro
plowing or micro cracking can occur. These effects are
generated by the actual local pressure on the surface as well as
the material or composite behaviour near to the surface. To
capture the different aspects of micro plowing, cutting,
exhaustion and breaking an evaluation of the damage after the
load process is not enough. In fact it is necessary to measure
local deformations, distortions and dislocations during the
abrasion process to make a statement about cause and effect of
the abrasion.
All existing environmental simulation techniques are only
applicable to flat surfaces and are not able to gather information
spatially resolved. Abrasion values determined in that way are
only summarized results, like loss of weight, glance and
volume or gain of roughness. Furthermore, relatively large
specimen are needed that have to be planar and flat. On rough
and structured surfaces these techniques fail, reproducibility is
not assured. Information about the abrasion and wear process is
not available since the evaluation takes place only after the load
process. One has to measure in real time to get in-situ values for
not only the permanent but also the elastic and total
deformation.
713
Current scratch tests use a steel tip with a radius of
curvature of 1 mm as penetrator which is a realistic value.
Evaluation of damage takes place after 24 hours which is
disadvantageous since there is a correlation between the
damage and the temporal interval until its evaluation especially
for polymers with viscoelastic properties. So, besides spatial
resolution temporal logging is important to appraise time
dependent processes.
Nanoindentation techniques use radii of curvature of less
than 100 nm. This leads to extremely high local pressures
which are completely out of touch with reality for abrasion and
wear processes. The shape of the tip is mostly pyramidal or
elliptic. In the literature no evidence is found for the
measurement of its shape or topography in built-in condition.
An acquisition of the real geometries would be imperative for
precise statements about the contact area and local pressures.
Thus, scratches created by nanoindentors are not very realistic
because of the high local pressures and the obtuse angles of the
penetrator.
The same applies to AFM machines especially if they are
used as scratch testers. The radii of curvature of the tips range
from 1 μm to only a few atom layers. It could be shown that the
tip itself wears off right from the start of the abrasion process.
This leads to a constantly changing geometry of the tip. Due to
the unknown contact geometry reproducible abrasion processes
are not possible. Besides, the measuring of absolute height
profiles with a tip changing its shape is impossible.
Furthermore, the AFM has no lateral guide. If the tip meets an
area of greater hardness it will sidestep to softer regions making
an exact determination of the x- and y-coordinates on the
surface impossible. All this makes the AFM an instrument that
is not reasonably applicable for the evaluation of abrasion and
wear processes.
An improvement of the available techniques should
perform and evaluate abrasion and wear processes in a
comprehensible and reproducible way even on coated and
composite materials. It should be applicable not only to flat but
also to convex or concave surfaces. In addition, geometry and
topography appraisal of the tip in built-in condition should be
accomplishable fast and exactly.
DESCRIPTION OF METHOD
The innovation consists of a patented method for
determination of deformation values of a surface called micro
structure analysis MISTAN. The measurement procedure can
be divided into three measuring steps (Fig. 1) which are
performed continuously in sequence with linear speed and one
calculation step (Fig. 2):
Fig. 1 MISTAN procedure, height profiles
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

plasticity were done on paper, uncoated and coated glass,

copper, anodized aluminium, PMMA and SiOx plasma
polymerized PMMA with a diamond cone. The in-situ
microtribology tests were done on uncoated and coated glass,
copper, anodized aluminium, PMMA and SiOx plasma
polymerized PMMA with a scratch diamond. The broad
variety of different materials was chosen to verify the general
suitability of this method for the characterization of materials
and their surfaces with respect to deformation values and
scratch resistance. Table 1 shows the results of deformation
measurements:
Fig. 2 MISTAN procedure, calculated deformation profiles Table 1 Results of deformation measurements with
diamond cone
A defined stylus is moved linearly over the area of interest
with contact to the surface. The load applied should be sample Vp in μm Ve in μm
minimal. As result the height profile of the virgin surface is paper 28,41 ± 10,240 25,25 ± 5,738
obtained.
uncoated glass 1,10 ± 0,395 6,44 ± 0,403
The same stylus is moved over the same area again with a
coated glass 5,10 ± 7,757 27,04 ± 6,012
constant test load. A second height profile is recorded. The
Cu 5,38 ± 1,055 6,85 ± 1,495
difference between height profile and represents the
varying distribution of total deformation Vg over the whole Al anodized 1,92 ± 0,909 5,69 ± 0,786
measurement range with high local resolution, i.e. for every PMMA 15,19 ± 3,087 13,48 ± 2,415
single measurement point xi the value of deformation can be PMMA SiOx 9,27 ± 1,682 13,01 ± 1,551
calculated.
Vg(xi) = z1(xi) – z2(xi) Deformation values of all samples could be measured
successfully. As expected soft materials like paper, soft
Equation 1: Total deformation Vg coating on glass and PMMA have higher deformation values
whereas hard coatings like anodized aluminium or SiOx have
For a third and last time the stylus is moved over the area lower deformation values. The in-situ microtribology
of interest, again with the lowest possible load. The third measurement showed comparable results investigating the
height profile is obtained. This profile is placed between the scratch resistance. It is important to mention, that this method
height profiles of the first and of the second measurement enables to make a difference between a real scratch with
step. The materials properties plasticity and elasticity are removal of material from the surface and a groove without
calculated directly from the three height profiles with high local removal but high permanent compression of material.
resolution, what is shown in equation 2 a, b: Whenever material is removed, the surface roughness
increases suddenly and the measuring signal becomes highly
a) Vp(xi) = z1(xi) – z3(xi) dynamic. Also an increase of standard deviation is a clear
signal for the beginning of a damage. Whereas grooving
b) Ve(xi) = z3(xi) – z2(xi)
mostly is going along with linear increase of the permanent
Equation 2: a) permanent Vp, b) elastic deformation Ve deformation.
Further special characteristics of this method are the
Table 2 Deformation values on scratch test at a
possibility of stepwise increase of load within the second
load of 500 mN
measurement step for evaluation of scratch resistance and the
possibility of simultaneous force measurement. The highly
Sample Vp in μm Ve in μm
detailed display of load plateaus allows exact statements about
the break down of a surface. Whenever the surface of a material uncoated glass 0,29 ± 0,295 6,14 ± 0,269
sustains damage or even sudden collapse, the force interaction coated glass 18,50 ± 14,476 16,66 ± 9,579
between the surface and the penetrating counter body will Cu 1,66 ± 0,425 7,33 ± 1,495
change dramatically.
Al anodized 1,17 ± 0,553 7,33 ± 0,786
MEASUREMENT RESULTS PMMA 7,15 ± 1,850 8,96 ± 0,497
All measurements were performed with the Universal PMMA SiOx 5,94 ± 1,351 18,71 ± 0,966
Surface Tester UST®. All samples were stored and measured
under standardized climate conditions at 23 °C and 50 % rel. Soft coated materials and non coated materials have poorer
humidity. The minimum load for the first and third step of scratch resistance. The results of simultaneously recorded force
deformation measurements was 1 mN, the test load was 500 showed, that poorer scratch resistance goes along with a sudden
mN. For the in-situ microtribology test (scratch test with increase of force at a lower load step. All glass samples and
in-situ force measurement) the load was increased from 1 mN anodized aluminium showed no significant increase of friction
up to 500 mN in 11 steps. Measurements of elasticity and force.

714
 In-situ Microtribology with High Local Resolution

Table 3 shows, that samples without hard coating like REFERENCES

copper and uncoated PMMA have poorer scratch resistance [1] Yu, M. M.-H., Bhushan, B.: Contact analysis of
than samples with hard coating like anodized aluminium or three-dimensional rough surfaces under frictionless and
SiOx coated PMMA. frictional contact. Wear 200 (1996) 265-280.
[2] Czichos, H., Habig, K. H.: Tribologie-Handbuch –
Table 3 Critical load step when sudden increase Reibung und Verschleiß; Systemanalyse, Prüftechnik,
of force happened Werkstoffe und Konstruktionselemente, Braunschweig:
Vieweg (1992).
Sample critical load in mN [3] Weinhold, W. P.: Entwicklung eines Verfahrens zur
uncoated glass >> 500 ortsaufgelösten Charakterisierung von
coated glass >> 500 mikrotribologischen Oberflächeneigenschaften
Cu 455 homogener und heterogener Werkstoffe, PhD-Thesis
Al anodized >> 500 (2008), TU Bergakademie Freiberg.
PMMA 275
PMMA SiOx 320

715
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Optimization of Energy Efficiency of Transparent Conducting
Oxide Thin Films in the Field of Solar Cells by Microtribological Rating


Jing Yu*
Innowep GmbH Measuring and Testing
Haugerring 6, 97070 Würzburg Germany
Wolfgang P. Weinhold
Innowep GmbH Measuring and Testing
Haugerring 6, 97070 Würzburg Germany
(Extended Abstract)
ABSTRACT
In this study, the mechanical properties of transparent
conducting oxide (TCO), aluminium doped zinc oxide
(ZnO:Al) and fluorine doped tin oxide (SnO2:F) thin films on
glass substrates were investigated. The micromechanical
properties as elastic and permanent deformation,
microtribological properties and scratch resistance were
measured with high local resolution to assess the film
properties. The micro-structure-analysis® method (MISTAN®)
was used to characterize those properties.
Keywords: Microtribology, Deformation, Scratch resistance
INTRODUCTION
Transparent conducting oxide (TCO) thin films have
widespread application due to their unique properties of high
electrical conductivity and optical transparency in the visible
spectrum rang. They can be utilized in many industrial
applications, for example, conductive electrodes in thin film
solar cells and several optoelectronic devices.
It is well known that the optical, electrical, morphological and
mechanical properties have direct implication for determining
and improving the performance of devices involving TCO films.
Hard wear-resistant TCO coatings ensure a long lifetime and
good reliability. However despite their importance, little is
know about the mechanical properties of TCO films [1].
Within this work mechanical behaviour of TCO coatings on
glass such as micromechanical properties (elastic and
permanent deformation), microtribological properties and
scratch resistance were analysed in situ via
MISTAN®-procedure with high local resolution.
MAIN BODY HEADINGS
Experimental details
10 ZnO:Al films were prepared by in-line reactive AC
magnetron sputtering on SGG-Diamond-glass. Sample 1 and
sample 2 were deposited in one piece at oxygen partial pressure
of 6 mPa, then separated. Afterwards the sample 2 was etched
with hydrochloric acid, whereas the sample 1 wasn’t etched.
Every two following samples were analogical deposited, while
the oxygen partial pressure was incremented basically by 2
mPa. The other 4 ZnO:Al were deposited by radio frequency
magnetron sputtering using ceramic targets. The first two
samples (sample 11 and 12) were prepared on one
SGG-Diamond-glass, then separated, subsequently the sample
12 was etched with hydrochloric acid. The sample 13 and 14
were deposited analogical on Coring glass. 3 SnO2:F films were
prepared by chemical vapour deposition (CVD) technique [2]. 2
Volker Sittinger
Fraunhofer Institute for Surface Energineering and Thin
Films IST, Bienroder Weg 54e, 38108Braunschweig,
Germany
Carsten Diegelmann
Innowep GmbH Measuring and Testing
Haugerring 6, 97070 Würzburg Germany
of them (sample 15 and 16) were produced in an off-line
process. The last one (sample 17) was produced through an
off-line process control system.
The MISTAN®-method was widely used to determine the
micromechanical, microtribological and functional properties
of materials in the sub-micrometer range. Elasticity, plasticity,
micro friction, scratch resistance, abrasion, wear, structure and
haptic parameters can be measured.
The MISTAN®-method is working in three measurement
steps and calculable: first the surface is scanned with a stylus
with a minimum load, then the same line is scanned a second
time under defined load with the same stylus, the resulting force
between stylus and sample is recorded simultaneously. The
defined load can be up to 1000 mN. The different values of
topographical data between the first and the second
measurement step represent the total deformation. The line is
scanned a third time again with minimum load. The differences
between second and third measurement step represent the
elastic deformation Ve, while the differences between first and
third step represent the permanent deformation [3].
Fig. 1 MISTAN®-Procedure
There are a number of diverse styli with different geometries
and materials. In this study, a diamond with cone angle of 90°
was used to measure the TCO thin films.
Firstly the deformations and micro friction of TCO thin films
were determined via MISTAN®-method. For that purpose each
TCO thin film was tested with load of 30 mN and 60 mN in the
second step.
Afterwards the scratch resistance of each sample was
measured. The in situ scratch test module works according to
the MISTAN®-procedure. During the second scan the load is
increased stepwise to a final load. Depending on the UST®
version there are final loads between 1mN and 100 mN or
10mN and 1000mN possible. Within this work, the load was
increased from 1 mN up to 100 mN in 10 steps. The deformation
and the micro friction of every single load step were evaluated
and documented in a statistic window.
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 Optimization of Energy Efficiency of Transparent Conducting Oxide Thin Films in the Field of Solar Cells by Microtribological Rating

Results and discussion while its elasticity remained. Contrary, the elasticity of the on
Table 1 Results of deformation and micro friction under load of Coring glass deposited ZnO:Al film was enlarged during
30mN etching, while the plasticity of that film remained.
sample Ve in μm Vp in μm fR in mN Moreover, ZnO:Al films showed high micro friction than
1 0,42 0,10 12,51 SnO2:F films. The micro friction via radio frequency magnetron
2 0,40 0,11 13,22 sputtering deposited ZnO:Al films are highest. The micro
friction of the etched ZnO:Al films are higher than before
3 0,41 0,09 17,39
etching, as expected [4]. Especially the micro force of the on
4 0,40 0,14 11,20 Coring glass with radio frequency magnetron sputtering
5 0,36 0,19 12,10 deposited ZnO:Al (sample 14) is noticeable higher than others,
6 0,35 0,32 17,46 which has the roughest surface texture as well. The micro
7 0,42 0,13 14,14 friction depends on the vertical loading and the roughness of the
8 0,39 0,21 18,42 surface texture. Those behaviour correlate with the results of via
atomic force microscope (AFM) obtained surface morphology.
9 0,40 0,11 12,31
10 0,37 0,24 14,44 Table 3 Critical load step when sudden increase of force
11 0,40 0,16 13,91 occurred
12 0,38 0,25 14,50 sample Critical load step in mN
13 0,49 0,22 17,06 4 78
14 0,41 0,21 26,01 11 89
15 0,46 0,01 10,81 13 34
16 0,42 0,05 11,15 15 67
17 0,44 0,09 11,71 16 56
Table 2 Results of deformation and micro friction under load of
17 78
60mN The poor scratch resistance of a material is mirrored by a
sample Ve in μm Vp in μm fR in mN sudden increase of permanent deformation and/or micro force
1 0,74 0,18 22,71 during the measuring. And the poorer scratch resistance does
2 0,78 0,23 26,92 along with a sudden increase force at lower step.
3 0,76 0,14 23,52
4 0,80 0,16 23,98 Table 3 shows, the SnO2:F films have poorer scratch
resistance than ZnO:Al films. The via radio frequency
5 0,64 0,26 25,15
magnetron sputtering prepared ZnO:Al films (sample 11 and
6 0,72 0,27 29,91 13) show poor scratch resistance, the scratch resistance will be
7 0,77 0,21 23,57 improved by etching. Except sample 4 the by in-line reactive
8 0,71 0,32 30,37 AC magnetron sputtering deposited ZnO:Al possess good
9 0,64 0,25 25,19 scratch resistance.
10 0,75 0,30 28,75
11 0,67 0,23 28,51 ACKNOWLEDGEMENTS
12 0,63 0,38 29,18 This work was supported by Fraunhofer-Institute for Surface
13 0,84 0,27 32,83 Engineering and Thin Films IST and INNOWEP GmbH
14 0,70 0,32 33,65 Measuring and Testing.
15 1,12 -0,07 21,80
16 1,11 -0,03 22,49 REFERENCES
17 0,78 0,13 24,42 [1] Kaiyang Zeng, Furong Zhu, Jianqiao Hu, Lu Shen, Keran
Zhang, Hao Gong, 2003, “Investigation of mechanical
The Deformation and micro friction of all samples could be properties of transparent conducting oxide thin films,” Thin
determined successfully. The Difference between the samples Solid Films, 443(2003), pp.60-65.
could be distinguished. In contrast to ZnO:Al films the SnO2:F [2] Te-Hua Fang, Win-Jin Chang, 2005, “Nanomechanical
films possess higher plasticity and lower elasticity. Negative characteristics of SnO2:F thin films deposited by chemical
permanent deformation occurred on the by an offline vapor deposition,” Applied Surface Science, 252(2005),
CVD-method deposited SnO2:F films. That means, the material pp.1863-1869.
is removed and deposited somewhere else during second step. [3] INNOWEP GmbH, Universal Surface Tester (UST®)
Manual V4.10; January 2007
The permanent deformation of by in-line reactive AC [4] V. Sittinger, F. Ruske, W. Werner, B. Szyszka, B.Rech,
magnetron sputtering deposited ZnO:Al films was raised J.Hüpkes, G. Schöpe, H. Stiebig, 2005, “ZnO:Al films
through etching. The elastic deformation of those films deposited by in-line reactive AC magnetron sputtering for
decreased through etching under load of 60 mN, while under 30 a-Si:H thin film solar cells,” Thin Solid Films, 496(2006),
mN their elastic deformation remained. pp.16-25.
The plasticity of by radio frequency magnetron sputtering on (The whole paper will be supplied by the authors if reader
SGG-Diamond-glass prepared ZnO:Al film rose after etching, needs it.)

717
Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

(Extended Abstract)

718
Contact Analysis of a Spherical Wear Particle between Elastomeric Seal and Coated Steel Surface

719
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Effect of Particles Size and Morphology of Selected Compounds of Friction Composite
on Friction Performance
Karla Barabaszová / Nanotechnology Centre,
VŠB-Technical University of Ostrava, 17. listopadu
15/2171, 708 33 Ostrava-Poruba, Czech Republic
Yuxiong Liu / The Key Laboratory of Beijing City on
Preparation and Processing of Novel Polymer Materials,
Box 82, Beijing University of Chemical Technology,
Beijing 100029, China
(Extended Abstract)
ABSTRACT
Friction materials are multicomponent composites, where
is very important to maintain homogeneity of material, which
can be assured using an adequate components with optimal
particle size. Friction components can be produced using
techniques which not always prioritize to achieve the
homogeneity of final friction composite. For that reason we
used special preparation technique to produce the particles
with nearly identical shape - the jet milling technique. This
technique is a simple method for preparation of particles with
defined size and reactive surface.
The effect of the size and shape of composite components
on the homogeneity and stability of mixtures before and after
friction process was evaluated.
Keywords: Multicomponent composites, Particle size,
Shape
INTRODUCTION
Friction performances of automotive brake linings request
the friction materials with specific surface, structure and
morphology. Very important is also morphology of individual
compounds.
Brake linings composite usually contain [1,2]:
a) friction additives, which determine the frictional
properties of the brake pads and comprise a mixture of
abrasives and lublicants;
b) fillers, which reduce the cost and improve the
manufacturability of brake pads;
c) binder, which holds components of a brake pad together;
d) reinforcing fibres, which provide mechanical strength.
The complete compositional disclosure of brake friction
material is not known [1]. In fact, each classified component
has in brake linings individual role and include to specifically
friction performances.
In particularly, fillers are focal category of friction
components. Fillers play an important role in modifying
certain characteristics of brake friction material. The actual
choice of fillers depends on the particular components (size
and shape) in friction material as well as the type of friction
materials. Typical inorganic fillers include barium sulphate,
mica, vermiculite and calcium carbonate. Metallic pad that
generates a lot of braking noise would require higher amount
of filler such as cashew, mica and/or vermiculite. Mica (or
vermiculite) is able to suppress low-frequency brake noise due
to it having a plane netlike structure. However, due to its
stratified structure, it has a low interlayer strength.
Semi-metallic brake pads with mixture of metallic and organic
compounds having varying thermal expansion coefficients
would require a large amount of molybdenum trioxide to
prevent lining craking. Brake pads with large quantities of
Gražyna Simha Martynková / Nanotechnology Centre,
VŠB-Technical University of Ostrava, 17. listopadu
15/2171, 708 33 Ostrava-Poruba, Czech Republic
Yafei Lu / The Key Laboratory of Beijing City on
Preparation and Processing of Novel Polymer Materials,
Box 82, Beijing University of Chemical Technology,
Beijing 100029, China
graphite or antimony sulphide as lubricants would not require
alkali metal titanats as filler. Therefore the specific filler to be
used depends on the constituents of the friction material.
On the other hand, abrasives in a friction material increase
the friction coefficient while also increasing the rate of wear of
the counter face material. Examples of abrasives are hard
particles of metal oxides, silicates and carbides. The abrasives
typically have Mohs hardness values of around 7-8, and a few
examples of the commonly used abrasives include zirconium
oxide, zirconium silicate, aluminium oxide, chromium oxide or
silicon carbide [3].
On these two types of friction components we can see the
variety in chemical composition of friction materials.
Therefore, homogeneity of friction composites must be
attainment in uniformity of particles size and shape, particle
size distribution and crystallinity. It is very important to know
the variances of properties of individual particles fraction,
because many properties of solid particles are not only a
function of the materials bulk properties, but also depend on
the particle size distribution. These changes of properties arise
from the increasing influence of surface properties in
comparison to volumetric bulk properties as the particle size
decreases.
The shape of friction components may be categorized to four
main groups: fibrous reinforcement (e.g. aramide fibers),
layered materials (e.g. clay minerals), metallic chips (e.g.
copper particles, brass chips and steel wool) and friction
modifiers (e.g. Al2O3, clay/PTFE composites). The shape of the
particle also significantly influences particle behavior, such as
particle packing and/or suspension rheology.
The preparation of particles used for friction composites
can be made by different methods such as homogeneous
precipitation, chemical vapor deposition, sol-gel process,
solid-state reaction method. In this research the milling
process has been applied as a process of solid-state reaction
method leading to the production of particulate materials.
MECHANICAL ACTIVATION OF PARTICLES
Modern technologies open the possibilities to fabricate the
nanomaterials with various dimensionalities of structures. The
milling methods represent one of the most popular approaches
to produce particles and nanoparticles by the mechanical way.
Milling techniques are very difference (include ball milling,
vibration milling, cryogenic milling etc.), but all are typically
used to produce particles that haven’t a homogenous particle
shape.
As milling preparation technique we used ball mill and jet
mill (Sturtevant Micronizer®). Jet milling is relatively simple
preparation method for particles with defined size, particle
shape and although is energy consuming.
720
 Effect of Particles Size and Morphology of Selected Compounds of Friction Composite on Friction Performance

Principle of grinding in jet mill is in regulation of feeding Mechanically modified particles were added to friction
and grinding pressure (kPa). The pressure of compressed air composite and after friction process were characterized again.
provides the grinding energy. The milling in jet mill consists of These oxides, sulfate and clay mineral play in friction
two stages: 1) the mixing of solid materials with compressed composites two important roles as fillers and abrasives.
air; 2) the acceleration of compressed air and solid materials
flow in the grinding chamber. High speed rotation of materials
in chamber causes the particle-on-particle collisions creating CONCLUSION
increasingly smaller particles. In the case of ball milling the
Comparison of shape, particle size and structure of selected
balls in the mill (made of wolfram carbide) rotate together with
components particles using two milling methods was
the ground material and optionally some medium.
performed. Milled materials was added to the composite
The aim of our experiments was ball milling and jet
composition and evaluated after friction process again.
milling of four potential components MgO, Al2O3, BaSO4 and
vermiculite. The particles size distributions of jet milled
vermiculite (Fig.1) proved fact that high grinding energy
(grinding pressure) leads to narrow distribution curve and fine ACKNOWLEDGEMENTS
particles with round morphology. The present work was solved in the frame of the research
project of Ministry of Education, Youth and Sport of Czech
Republic MSM 619 891 0016 and 1P05ME741 & ME 08040.

REFERENCES
[1] Chan, D., Stachowiak, G.W., 2004, “Review of automotive
brake friction materials” Proc. Insta. Mech. Engrs.,
PartD:Automobile Engineering, 218, pp.953-966.
[2] Popov, V.L., Psakhie, S.G., 2007, “Numerical simulation
methods in tribology” Tribology International, 40,
pp.916-923.
[3] Kobayashi, M., 2002, Non-asbestos friction materials. US
Pat. 6413622.

(The whole paper will be supplied by the authors if reader

Fig.1 SEM picture of jet milled vermiculite particles (average needs it.)
particle size 2.32 ȝm)

It was observed that the particles change the size, shape and
particle size distribution after milling processes. It was found
that jet milled particles have not only narrow distribution curve
but reactive surface also. For observation of changes in
vermiculite structure we employed XRD analysis. We should
presume that ball and jet milling itself representing friction
process also.

721
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

New Technique of DLC Coating Obtaining for Tribology Applications

722
New Technique of DLC Coating Obtaining for Tribology Applications

723
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Effect of Spraying Parameters on Microstructure and Thermal Stability of

Fe-Based Metallic Glass Coatings

Li Fuping, Li Jinshan, Kou Hongchao, Jiang Chaoping, Xue Xiangyi, Fu Hengzhi

(State Key Laboratory of Solidification Processing, Northwestern Polytechnical University, Xi’an, 710072)


(Extended Abstract)

ABSTRACT
Fe-based metallic glass coating was prepared on
Ti-3Al-5Mo-5V-4Cr-2Zr substrate by air plasma spraying
(APS). The effect of spraying power (current) on amorphous
phase content and properties of the coating were investigated.
It was revealed that appropriate spraying current was
necessary to produce fully amorphous coating, and the
amorphous phase content in the coatings decreased with the
increase in spraying current. The thermal stability and
cross-section Vickers microhardness of the coating were also
studied by DSC and microhardness tester, respectively. The
highest cross-section microhardness of the coating was
HV0.51260, roughly four times as high as that of the substrate.
Keywords: Fe-based metallic glass coating, Air plasma
spraying, Thermal stability, Vickers microhardness
INTRODUCTION
Bulk metallic glasses (BMGs), which were discovered in
the late 20th century, have attracted a lot of interest due to
their excellent properties such as very high strength, elastic
strain limit [1]. However, because of their low ductility and
toughness at room temperature and maximum thickness [2],
BMGs are difficult in the application of structural materials. It
has been shown that BMGs show higher hardness and
wear/corrosion resistance because of their structure
homogeneity and lack of grain boundary. Such properties
make them well suited for using as coatings.
Metallic glass coatings can be deposited by thermal
spraying process, in which the sprayed powders are heated to a
molten or half-molten state, accelerated to the substrate and
then the amorphous coating is formed due to rapid cooling.
Among the thermal spraying process, plasma spraying is an
effective spraying technique to form coatings with dense
structure and high bond strength between coatings and
substrates because of very high particle velocity. J. Jayaraj et
al. have reported that Ni–Zr–Ti–Si–Sn fully amorphous
metallic coatings were obtained by vacuum plasma spraying
(VPS) [2]. However, it seems difficult to obtain a fully
amorphous metallic coating by air plasma spraying (APS). In
the process of APS, various spraying parameters can influence
the phase composition and properties of the coating, but
powder feed rate and spraying power are two important
parameters [3]. In this paper, an attempt had been made to
develop an amorphous coating with Fe-Mo-Cr-Ni-P-Si-B-C
powders on Ti-3Al-5Mo-5V-4Cr-2Zr substrate by APS.
Following coatings, the microstructure and surface
morphology of the metallic glass coatings at different spraying
conditions (current, working gas pressure, powder feed rate,
etc) were examined, and the porosity and crystalline phase
were discussed. For the mechanical properties, cross-section
Vickers microhardness of the coatings was measured with
Hx1000 microhardness tester at a load of 50g for 15s. In
addition, microstructure of powders and the coatings was
characterized by X-ray diffraction (XRD), scanning election
microscopy (SEM) and transmission election microscopy
(TEM), and thermal stability were examined with differential
scanning calorimeter (DSC).
RESULTS AND DISCUSSION
MICROSTRUCTURE AND PHASE ANALYSIS
Spraying parameters for the APS process were listed in
Table 1. Fe-based metallic glass coatings with the thickness of
about 300μm were obtained on Ti-3Al-5Mo-5V-4Cr-2Zr
substrates by air plasma spraying process at different current
of 100A, 300A and 500A. Fig. 1 is the XRD patterns of the
spraying powders and sprayed coatings. A fully amorphous
coating was successfully obtained at 100A although the

724
 Effect of Spraying Parameters on Microstructure and Thermal Stability of Fe-Based Metallic Glass Coatings

spraying powders were not fully amorphous. This may provide
an economical way to prepare coatings-replacing amorphous
powders with alloy powders to spray. The cross-section SEM
images revealed that the sprayed coatings were dense,
adhering well to the substrates, and with low porosity and no
crack. The porosity of the coating was inversely proportional
to the spraying current. The coating sprayed at 500A had the
lowest porosity and thus the densest structure. The bond
strength between the coatings and the substrates increased
with the increase in current, and it was about 30MPa for the
coating sprayed at 500A.
power (current). The coating sprayed at 100A was fully
amorphous, whereas the amorphous phase content in the
coatings sprayed at 300A and 500A were both up to 60%, and
the main crystalline phases were oxide and boride.
MICROHARDNESS ANALYSIS
The sprayed Fe-based metallic glass coatings had very
high cross-section Vickers microhardness. The cross-section
Vickers microhardness of sprayed coatings increased in
proportion to the current, and the highest was about HV0.51260,
roughly four times as high as that of the substrate, for the
coating sprayed at 500A. In addition, Vickers microhardness

Table 1 Spraying parameters for APS process along the cross-section decreased with the increase in distance

Parameter Condition from the surface of the sprayed coating. From analysis it was

(a) 100 concluded that Vickers microhardness of the coating was

Current/A (b) 300 depend on the amount of various phase in the coating,

(c) 500 including amorphous phase and nanocrystalline grains.

Voltage/V 50 However, correlation between coating parameters and surface

Arc gas (argon) pressure/MPa 0.7 microstructure and properties allowed determination of the

Auxiliary gas (helium) pressure/MPa 0.65 optimum conditions that ensured fine grained uniform

Powder feed rate 6.7 microstructure with a significant improvement in

Stand off distance/mm About 100 microhardness.

THERMAL STABILITY OF SPRAYED COATING
DSC trace of the sprayed coating revealed that Fe-based
bulk metallic glass coating prepared by air plasma spraying
showed very high thermal stability. The EDAX results
suggested that compositional changes (solute redistribution)
within the coated zone and across the coating-substrate
interface are responsible for nucleation and growth of
crystalline phases from the melt. And numerical prediction of
the thermal profile and related parameters suggest that the
cooling rate and thermal gradient experienced by the coated
zone were fairly high.

Fig. 1 XRD patterns of the spraying powders and Fe-based
metallic glass coating deposited at: (a) 100A, (b) 300A and (c)
500A
It was also found that the spraying power had a significant
effect on the amorphous phase content and thus the properties
of the coatings. Appropriate spraying power was necessary to
produce fully amorphous coatings, and the amorphous phase
content in the coatings decreased with the increase in spraying
REFERENCES
[1] Hui X.D., Chen G.L., 2007, Bulk Metallic Glasses,
Chemical Industrial Press, Beijing.
[2] Jayaraj J., Sordelet D.J., Kim D.H., Kim Y.C., Fleury E.,
2006, "Corrosion behavior of Ni–Zr–Ti–Si–Sn amorphous
plasma spray coating," Corrosion Science, 48, pp.950-964.
[3] Boulos M.I., Faushais P., Vardellc A., Pfender E., 1993,
Plasma Spraying: Theory and Applications, World
Scientific Publishing Co, Singapore.
(The whole paper will be supplied by the authors if reader
needs it.)

725
Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

(Extended Abstract)

726
Factors Influencing the Fluid-Assisted Surface Cracking under Rolling-Sliding Contact Loading

727
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Microstructure, Phase and Microhardness Distribution of Laser Deposited

Ni-Based Amorphous Coating

 Jiang Chaopi ng, Li Jinshan, Kou Hongchao, Dai Jiangbo, Xue Xiangy i, Fu Hengzhi
(State K ey La bora tor y of Solid ifi cati on P rocessing, Nort hwestern P olytechni cal U niversity , Xi’a n, 710072)


(Extended Abstract)

ABSTRACT amorphous composite coatings on metallic substrates. It is a

Ni59Zr16Ti13Si3Sn2Nb7 amorphous material was deposited significant way to improve the surface properties of materials

by laser cladding onto Ti-3Al-5Mo-5V-4Cr-2Zr titanium alloy. by surface modification. Microstructure, phase and

Despite trials with wide range of process parameters, the microhardness distribution of amorphous coating was studied in

present experiments were unable to retain complete amorphous this paper.

surface microstructure after laser cladding. So the mixed

RESULTS AND DISCUSSION
structure with amorphous phase, intermetallic compounds and
borides were obtained. XRD results showed that the amorphous PHASE ANALYSIS

phase fraction of the coatings was measured up to about50% Relative Intensity(a.u.)

Ni10(Zr,Ti)7 ZrB2
NiNiTi
10
(Zr,Ti)7

depending on the laser cladding parameters. DSC curve showed

composites coating
that glass transition temperature (Tg) and crystallization
temperature (Tx) was observed around 750K and 880K,
respectively, which indicated that the Ni-based amorphous alloy amorphous ribbons

coating had high thermal stability. The nanocrystalline grains, 20 30 40 50 60 70 80

were about 40-100nm in size, precipitated from amorphous
phase or interface between amorphous and borides. The Vickers
hardness of coating depended on the amount of various phases
that were present in different locations of coating.
Keywords: Amorphous, Laser, Coating
INTRODUCTION
Amorphous/nanocrystalline composite coating with unique
structure had demonstrated highly strength, higher hardness and
[1-3]
wear resistance . For these excellent properties the
amorphous coating has been applied in many aspects such as
mechanical, aerial, chemistry and communication. Nickel-based
alloys are very important materials for industry application.
However, it is difficult to produce Ni-based bulk metallic
glasses. The best glass forming ability (GFA) achieved so far in
Ni-based systems corresponds to a limiting amorphous
[4–7]
thickness of 3–5mm .
Now many amorphous coatings have been fabricated
currently by plasma spraying, high velocity oxygen fuel
[8]
spraying, kinetic metallization and Laser cladding . Laser
cladding is an effective method to prepare Nickel-based
728
2©/°
Fig.1 XRD patterns for the Ni-base composites
and the amorphous ribbon
Just like amorphous ribbon, the coating’s XRD pattern has a
broad halo peak. It showed in Fig.1 that the coating contained
amorphous phase. The coating’s pattern also had some
diffraction peak corresponding to crystalline phase such as
intermetallic compounds and borides. The coating’s XRD
pattern showed that the amorphous phase fraction of the
coatings was measured up to about 50% depending on the laser
cladding parameters.
MICROSTRUCTURE ANALYSIS
It was very clear in Fig2 and Fig3 that the Ni-based
amorphous compound coating had columnar crystalline,
amorphous phase and big banding crystalline. The substrate
alloy grew into coating in columnar crystalline at the
coating-substrate interface. So the composition of bulk metallic
glassy alloy was changed. In this area the amorphous phase can
not be easily obtained. At the center of the coating it mainly
was amorphous phase. In the middle of molten pool the
amorphous phase was easily obtained for repaid cool rate and
Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

(Extended Abstract)

730
Friction Modifiers Optimization of the Ceramic Composites for Automotive Applications

731
Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

(Extended Abstract)

732
Friction and Wear Behaviors and Rolling Contact Fatigue Life of TiN Film on Bearing Steel by Plasma Immersion Ion
Implantation and Deposition Technique

733
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Connectivity Characterization of 3D Surface Topography Based on Mathematical Morphology
Liu Xiaojun * (Hefei University of Technology, China)
Wang Wei (Hefei University of Technology, China)
(Extended Abstract)
ABSTRACT
In order to understand the correlation between the
connection of surface microstructures and lubrication and seal
performances, a novel method to characterize the connectivity
of the 3D surface topography based on mathematical
morphology is presented. A new concept of surface
connectivity index is proposed. Quantitative description of the
connectivity of 3D topography in digital space is made by
recursive operation of multiscale erosion. The variations of the
surface connectivity index with the penetration height are
approached. The reliability of the surface connectivity measure
method is analyzed. As a practical application, the connectivity
of the 3D topography of cylinder liner of engine is evaluated.
The results of calculation and analysis indicate that this
approach has an explicit signification and reliable arithmetic,
and it can effectively describe the connection characteristics of
surface structures.
Keywords: 3D surface topography, characterization, connec-
tivity, mathematical morphology
INTRODUCTION
The tribological properties of contacting surfaces have a
close relationship with the micro-structure characteristics of
the surfaces. Lubricant needs surface valleys to be stored and
wear particles need space to dorge. The transportation and the
distribution of the lubricant are realized by the connections
between the valleys [1, 2]. Therefore, when considering the
effects of the rough surface on the lubrication, the valleys and
the connections between them are the crucial factors involved
in it. The surfaces with different texture structures have
different connection characteristics, even if they have the same
arithmetic mean roughness. The surfaces with the same texture
structure but different structure parameters have different
connections. Connectivity of surface structures has an
important effect on the lubrication and seal. But, up to now,
there is no evaluation method of the surface connection
characteristics.
The 3D surface topography can be represented as a 2D matrix
of measured points, or a digital image [3]. In image processing,
connectivity, as topological characteristics of images, is widely
used in the image filter, segmentation, compression and code,
and pattern recognition [4-7]. Senin and Ziliotti [8] analyzed
the adaptation of image segmentation techniques to the
partitioning of the 3D micro and nano topography of
engineered surfaces by study of the choice of clustering
methods, the design of feature vectors and similarity metrics.
In this paper, a novel method is presented to characterize the
connectivity of the 3D topography of engineered surfaces
based on the morphological transforms. A new concept of
surface connectivity index is introduced.
CONNECTIVITY MEASURE OF SURFACE STRUCTURES
THE CONCEPT AND MEASURE OF CONNECTIVITY
In surface image, the 3D surface topography is represented
as a 2D matrix of discrete measured points. The connection
between measured points is actually the connection between
*To whom all correspondence should be addressed.
Liu Kun (Hefei University of Technology, China)
Gui Changlin (Hefei University of Technology, China)
pixels. For arbitrary two measured points, if there exists a path
between them in the measuring area, then the two points is
connected. All the points which are connected constitute a
connected component.
Let μ ( Ai ) be connectivity index of set Ai which is a
connectivity measure on Ai , 0 ≤ μ ≤ 1 . Erosion-based
connectivity measure can be defined as [5]:
μ ( Ai ) = 1 − e − λ0 rε ( Ai )
{
rε ( Ai ) = inf r ≥ 0 : ε Br ( Ai ) ∉ C \ ∅} λ0 > 0 (1)
where ε B ( Ai ) denotes a multiscale erosion on set Ai , or
r
ε Br ( Ai ) = Ai Θ rB , B is a compact convex structuring
element, and C is connected set.
Expression above means that the connectivity measure of a
connected component can be realized by recursive operation of
multiscale erosion. When a connected component becomes
disconnected or vanishes after recursive erosion, the
geometrical measure of the narrowest path of the connected
region is obtained.
CONNECTIVITY MEASURE OF 3D TOPOGRAPHY
The penetration of the surface, composed of many
connected void regions, can be represented as a binary image.
In order to describe the degree of the connectivity of surface
structure, surface connectivity index is proposed to
differentiate strong connections from weak connections of
valleys at a certain penetration of the surface. The connected
components of penetration image can be separated by use of
labeling arithmetic. Let μ i and s i denote the connectivity
index and area of a connected component respectively, and
weight p i of a connected component be defined as
p i = s i s 0 , with s 0 being the sampling area, the surface
connectivity index μ is defined as:
n
∑μ p i i
μ= i =1
n
(2)
∑p i =1
i
The larger the surface connectivity index is, the better the
connection of the surface microstructure.
CONNECTIVITY ANALYSIS OF 3D SURFACE
TOPOGRAPHY
VARIATION OF THE SURFACE CONNECTIVITY INDEX
WITH PENETRATION HEIGHTS
At the different penetration height, the material area and
the void area change. Figs. 1 and 2 show the changes of the
surface connectivity index of cross texture surface and regular
crater surface with the penetration height. It is seen that the
surface connectivity index decreases as the penetration goes
deeper. At the highest penetration, there are no material areas,
but only void area, the connectivity index equals 1. With the
deeper penetration, the connectivity index decreases, as the
void areas decrease and the material areas increase.
734
 Connectivity Characterization of 3D Surface Topography Based on Mathematical Morphology
Fig. 1 Variation of the surface connectivity index of cross
texture surface with the height
Fig. 2 Variation of the surface connectivity index of regular
crater surface with the height
RELIABILITY ANALYSIS OF THE CONNECTIVITY
EVALUATION
In order to analyze the reliability of the connectivity
measure, the surface connectivity index of cross texture
surfaces and circle texture surfaces is calculated on 5 different
sampling areas (Fig. 3). The results show that the relative
change ratio of the surface connectivity index on different
measure areas is less than ±3%. The surface connectivity index
is independent on the measure area. The connectivity evaluation
method based on the morphological operation is reliable.
Fig. 3 Changes of the surface connectivity index with the
sampling area
CONNECTIVITY OF CYLINDER LINER SURFACE OF
ENGINE
The 3D plot of cylinder liner surface of engine measured
shows that it is composed of form error, fine plateau structure
and rough groove texture. These three parts can be effectively
separated based on the multiscale graylevel morphological
transform [9], and the transition point of the fine plateau
735
structure and the rough groove texture can be determined.
Based on the transition point, the surface texture is partitioned
into load carrying zone and oil retention zone. The penetration
at the transition point can be taken as the reference plane to
evaluate the connectivity of the cylinder liner surface.
According to the evaluation method of the surface connectivity
mentioned above, the surface connectivity index of the
cylinder liner is determined as 0.4107 which characterizes the
transportation and the distribution of the lubricant.
CONCLUSIONS
(1) 3D surface connectivity evaluation method based on
mathematical morphology can effectively describe the
connection characteristics of valleys of surface microstructures.
The approach, performing operations on the geometrical
structures of the binary image of the section, has an explicit
signification and reliable arithmetic.
(2) The surface connectivity index of 3D topography decreases
with the deeper penetration of the surface. The measure result
of the surface connectivity has no relation with the sampling
area.
(3) Evaluated at the transition height of fine plateau structure
and rough groove texture, the surface connectivity index of the
cylinder liner of engine can characterize the transportation and
the distribution of the lubricant.
ACKNOWLEDGEMENTS
This research work was financially supported by Hi-Tech
Research and Development Program of China under grant No.
2007AA04Z119.
REFERENCES
[1] Steinhoff, K., Rasp, W., Pawelski, O., 1996, “Development
of deterministic-stochastic surface structures to improve
the tribological conditions of sheet forming process,”
Journal of Materials Processing Technology, 60,
pp.355-361.
[2] Zhen, L.Q., 1994, Principle of Tribology, Higher Education
Press, Beijing.
[3] Liu, X.J., Liu, K., Jiao, M.H., 2004, “Feature extraction of
the 3D multi-scale surface topography,” The 3rd
International Symposium on Instrument Science and
Technology, Xi’an, pp.135-139.
[4] Braga-Neto, U., Goutsias, J., 2003, “A theoretical tour of
connectivity in image processing and analysis,” Journal of
Mathematical Imaging and Vision, 19, pp.5-31.
[5] Tzafestas, C.S., Maragos, P., 2002, “Shape connectivity:
Multiscale analysis and application to generalized
granulometries,” Journal of Mathematical Imaging and
Vision, 17, pp.109-129.
[6] Braga-Neto, U., Goutsias, J., 2005, “Constructing
multiscale connectivities,” Computer Vision and Image
Understanding, 99, pp.126-150.
[7] Mukhopadhyay, S., Chanda, B., 2003, “Multiscale
morphological segmentation of gray-scale image,” IEEE
Transactions on Image Processing, 12(5), pp.533-549.
[8] Senin, N., Ziliotti, M., Groppetti, R., 2007,
“Three-dimensional surface topography segmentation
through clustering,” Wear, 262, pp.395-410.
[9] Liu, X.J., Liu, K., Fang, X.Y., Wang, W., Gui, C.L., 2007,
“Multiscale characterization of 3D surface topography of
cylinder liner of engine,” Transactions of CSICE, 25(5),
pp.475-479.
Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

(Extended Abstract)

736
Effect of Microstructure on the Friction Properties of the Electroless Ni-P Deposit

737
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Erosion Behaviors of Elastic Polymer Coatings
Zhong Ping1, Liao Youwei1, Yuan Chengqing2, Li Jian1*
1 Wuhan Research Institute of Materials Protection, Wuhan 430030, China;
2 Wuhan University of Technology, Wuhan 430063, China
ABSTRACT
Two kinds of spray elastic polymer coatings were made of
polyurethane-urea and pure polyurea. The dynamic mechanical
properties of the coatings were measured by the dynamic
mechanical analysis (DMA). Their corresponding wear
performances were investigated by the Taber tribo-machine and
the high-pressure water jet erosion tester. The topographies of
the coatings were observed by the scanning electron microscopy
(SEM), the chromatic confocal 3D profiler and the atomic force
microscopy (AFM). The elasticity and the relationship between
the coatings’ components and their erosion resistances were
analyzed as well. The results show that the spray polyurea
coating provides with excellent damping properties and
anti-wear performance which can be used under the hydraulic
condition.
Keywords: Elastic Polymer Coating, Dynamic Mechanical
Properties, Erosion, Hydraulic condition
1. INTRODUCTION
Under the hydraulic condition, the structure of the concrete
was not safe enough to stay long, which makes the regular
maintenance and reinforcement necessary. It was still a
challenge to improve the erosion performance of the concrete
under the hydraulic condition [1-3]. Polyurea spray coating
technology has been recently developed in the polyurethane
coatings industry [4-6], showing extreme application properties
such as rapid cure (even at temperature below 0 ć), chemical
and water resistance, insensitivity to humidity. In addition, it
offers exceptional physical properties such as high hardness,
flexibility, tear and tensile strength, which grants its good
weathering and abrasion resistance [7, 8]. The system was
100%-solids, which makes it comply with the strictest VOC
(volatile organic compounds) regulations. Meanwhile, due to its
specific curing profile and exceptional film properties, it has
been rapidly developed in many various fields, especially in
corrosion protection, containment, membranes, linings and
caulks [9, 10]. However, up to date, few studies on the erosion
behaviors of polyurea elastic polymer coating have been
reported [11-17], and the application of spray polyurea coatings
under the hydraulic condition is still a blank [18-22]. In this
paper, we first study the dynamic mechanical properties and
erosion performance of elastic coatings and investigate the
interrelation between the coating’s components and its
performance. We expect that the investigative results will
provide some evidences for the potential application of the
elastic polymer coating under the hydraulic condition.
2. EXPERIMENTAL SECTION
2.1. Materials
The materials used in this study were listed in Table1.
According to the different proportions of active hydrogen, two
*Corresponding author.
E-mail address:lijianwuhan@tom.com
738
samples were prepared, (see Table 2). The active hydrogen of
the two samples was dehydrated in the vacuum condition about
from 100ć to 110ć. The samples were cooled and filtrated by
a sieve with the precision 0.074 mm when the contents of the
water were less than 800 ppm.
Table 1 The detailed information of the employed materials
Materials Tradename Characteristic Manufacturer
Hydroxyl terminated GR-403 hydroxyl number: Shanghai Gaoqiao
polyether 770±35 mgKOH/g
Polyetheramine D2000 viscosity: 200-300 Huntsman
mPa$s/25ć
Chain extender Ethacure®-100 viscosity: İ155 Albernarle
mPa$s/25ć Vorporation
Cure catalyst. A-33 viscosity: İ100 Air Products
mPa$s/25ć
cross linking agent R9480 viscosity: 400~600 Huntsman
mPa$s/25ć
Table 2 Proportion of active hydrogen of polyurethane samples
Sample Hydroxyl terminated Polyetheramine/% Chain Cure
polyether/% extender/% catalyst/%
1 30 40 29.7 0.3
2 - 70 30 -
The elastic coatings were sprayed on the nummular glass
pieces cleaned by the acetone. The paint equipments include the
special spray punishment (MH-III A, by Glas-Craft) and spray
gun (GX-8, by Gusmer). The spray pressure and temperature
were 15 N/mm2 and 60ć. The thicknesses of coatings were all
around 2.0 mm. After cured, the coatings were peeled off from
the glass pieces.
2.2. Characterizations
According to HG/T 3831-2006 Spray polyurea for
materials protection, the hardness, elongation at break, tear
strength and tensile strength of the two coatings were measured.
The dynamic mechanical properties were estimated by
virtue of Dynamic Mechanical Analysis (DMA, Model: Q800,
TA company) with single cantilever mode. The tests were
performed at the 1 Hz frequence by changing the temperature
from -80ć to 200ć with an velocity 5 ć/min.
The erosion performance of the coatings was measured by
the high pressure jet impact erosion testing machine (GSPS-S).
The abrasive in slurry was crystallized silica with an average
diameter of 0.061 mm and the percentage of crystallized silica
was 8% to 10%. The pressure of slurry was 15MPa and the
testing lasts 5 min with the jet impact angles of 45° and 90°.
The dry wear behavior of the coatings was measured by
using the Taber wear tester (TORSSEE, by Japanese TKS). The
velocity of the turnplate was 60r/min. The type of grinding
wheel was CS17. The load of pressure was 7.5 N.
The scanning electron microscopy (SEM, JSM-5600, by
JEOL), the chromatic confocal 3D profiler (MICROMESURE 2,
by STIL S. A.), and the atomic force microscopy (AFM, XE-70,
by Park systems) were employed to observe the topographies of
these coatings.
 Erosion Behaviors of Elastic Polymer Coatings
3. RESULTS AND DISCUSSION
3.1. Dynamic mechanical analysis
Fig.1 shows the storage modulus-temperature curves
for these tests, which tells us that the material state
changed from a rubbery behavior at the lowest storage
modulus (127ć, 49 MPa) to a glassy behavior at the
highest storage modulus (-79ć, 3275MPa) when the
temperature decreased from 200ć to -80ć. This shows
that the coatings could maintain in good flexility under
the hydraulic condition. The Tan delta-temperature
curves for the two samples were also discussed, as shown
in Fig.2. The results show that the value of Tan delta
becomes bigger than 0.02 with the increasing of
temperature from -50ć to 127ć, suggesting that the
elastic polymer has excellent damping properties [23].
Furthermore, the values of internal friction (tan) of the
coatings were so high that it could help to exhaust the
heat energy under erosion condition. The heats,
originated from the internal friction which might
aggravate the erosion, could not damage the coatings
badly since it could be taken out by high pressure water
flow [24]. Therefore, it comes to a conclusion that the
two kinds of elastic polymer coatings were suitable for
the hydraulic transition parts.
Fig.1 Storage modulus of samples
Fig.2 Tan delta of samples
3.2. Relation between mechanical performances and coating
proportion
The conventional properties of the elastic coatingV were
shown in table 3. It illustrates that the hardness, elongation at
break, tear strength and tensile strength of the coatings would be
improved with the increasing of the polyetheramine in the
coating. The activity of the hydroxyl terminated polyether was
low in the sample1, therefore it needs catalyst to improve the
739
speed of action. The isocyanate which is sensitive to the
moisture could react with the water in the air to produce a great
deal of poles in the coating when curing so as to reduce the
physical properties of the coating. There was no hydroxyl
terminated polyether in the sample2. The activity of the
polyetheramine and the isocyanate was high enough so that the
curing reaction would be accomplished rapidly under the
condition of room temperature without catalyst. The curing
reaction could not produce a great deal of poles in the coating,
which made the coating had the good mechanical properties.
Figs.3 and 4 shows the SEM topographies with different
magnifications. It is clear that the poles could be seen in the
micro-structure of the coating (Fig 3), destroying the
mechanical properties of the coating due to their formation
disfigurements. On the contrary, the surface shown in Fig. 4 was
relatively smooth.
Table 3 Performances of coatings
Sample Hardness Elongation Tear strength Tensile strength
/shore A at break/% /kN·m-1 / N/mm2
1 88 250 70 12
2 94 320 75 11
Fig. 3 Topography of sample 1
Fig. 4 Topography of sample 2
3.3. Erosion test
Table 4 shows that the average loss rates of the two samples
were 2.00 mg/MPa·min and 0.77 mg/MPa·min when the angle
were 45° and 90°, respectively. It was very interesting that the
average loss rate of Co-WC coating was 18.93 (mg/MPagmin),
which worked as the protection coating of hydraulic turbine [3],
indicating that the spray elastic polymer coatings had an
excellent anti-erosion performance. The topographies of sample
2 by 45° jet angle are showed in Fig.5. It is shown that the
surface roughness (Ra) increased from 4.2m to 16.25m, and
the geometrical roughness (Rq) increased from 5.1m to
31.6m, due to the violent erosion of the water flow contained
sand. There were some micro-cracks and erosion pits in the
surface of coating after successive impact by the high-speed
particle, but there was no flake-off and no spread of erosion
holes and cracks in the surface of the coating because the
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

coating was high tough and flexile. There were so many holes in polyurea coating, so the wear loss of the coating was low.
the sample 1, suggesting that the damage of coating was more
serious than the sample 2. Table 5 Data of Taber test experiment
Sample Wear mass/mg(500 r,7.5N)
Table 4 Erosion capacity of samples
1 13.5
Sample Erosion angle/(°) Ration of wear mass/mg(MPa·min)-1 2 6.0
1 45 8.567
90 2.678
2 45 2.007
90 0.767

˄a˅Topography by confocal 3D profiler

(a) Original sample by confocal 3D profiler

˄b˅ Topography by AFM

Fig.6 Topography of Taber testing ˄sample 2˅

(b) Test sample by confocal 3D profiler
˄c˅ Topography by AFM
Fig.5 Topography of erosion˄ sample 2˅
3.4. Dry wearing test
Table 5 shows that the wear mass of sample 2 was lower
than that of sample 1. The reason may be that the symmetrical
ureido of Sample 2 was steadier than the urethane of Sample 1,
which could provide with excellent toughness for Sample 2. Fig.
6(a) shows that the change of the surface roughness about
Sample 2 which was not marked. The surface roughness (Ra)
was only from 4.2 m to 4.8 m, and the geometrical roughness
(Rq) was from 5.1m to 6.2 m, because the surface flow
leveling of the wet coatings concealed the micro pinholes inside
the coatings. Many holes appeared in the surface of coatings
after erosion test, and there were ploughing grooves, which
could increase the geometrical roughness of coatings. The photo
of AFM in Fig.6 (b) illustrates that there was only slight plough
groove instead of spalling pits around the pinholes in the
4. CONCLUSION
In this study, the elastic polymer coatings possess good
mechanical properties, especially damped properties.
Therefore, the elastic polymer coatings are suitable for
the hydraulic transition parts.
The main components of the coatings influence the
wear behavior of the coatings. The erosion resistance of
the coating was improved with the increasing of the
polyetheramine and amine chain extender in elastic
polymer coatings. Great deals of poles in the spray
polyurethane coating aggravated the occurrence of
erosion. The pure polyurea coating without hydroxyl
terminated polyether was provided with excellent wear
performances under both the conditions of high-speed
water contained sand and dry wearing, which could be
used under the hydraulic condition.
ACKNOWLEDGEMENTS
The authors would like to thank the support provided
by National Natural Science Foundation of China
(No.50432020) and National Scientific and Technical
Project of China (No. 2007CB607603), and acknowledge
the help of Mr. Wang Ding for the experiment.
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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Mechanical Properties of the TiAlSiN Coatings by Post Heat Treatments
Wei-Yu Ho / Dept. Materials Science and science
(MingDao University, Taiwan, China)
Chih-Wei Chen / Dept. Materials Science and science
(MingDao University, Taiwan, China)
Li-Wei Shen / Dept. Materials Science and science
(MingDao University, Taiwan, China)
(Extended Abstract)
ABSTRACT
In this study, TiAlSiN coatings were deposited by cathodic
arc evaporation from titanium, aluminum and silicon alloy
targets in a reactive nitrogen atmosphere at substrate bias of
−50 V. The as-deposited coatings were then subjected to post
heat treatment at 400 oC in nitrogen atmosphere. The annealing
treatment has an expected effect on the wear resistance. The
TiAlSiN coating subjected to heat treatment in nitrogen
atmosphere presented wear resistance better than the
as-deposited coatings. The friction coefficient of the TiAlSiN
coatings subjected at 400oC in nitrogen atmosphere was
decreased due to the effect of the structure modification.
Keywords: Hard coatings; Cathodic Arc deposition; Wear
INTRODUCTION
TiAlSiN is a good candidate as an alternative to
conventional TiN coatings especially for high temperature
oxidation-resistance applications. Many researches were
reported to confirm the excellent oxidation resistance of
TiAlSiN coatings [1-6]. The hardness of the TiAlSiN coatings
increased with the increase of silicon content and substrate bias
by a cathodic arc evaporation (CAE) process. The grain size of
the TiAlSiN coatings remains stable in protective argon
atmosphere up to a temperature of 1000 oC for 30 min [1]. The
results showed that TiAlSiN exhibited a very good chemical
stability and could be used at high cutting speed where
chemical wear dominates. Structure and stability of vacuum
arc-deposited TiAlSiN coatings were studied after thermal
treatment under N2 atmosphere at 1000 oC for 1 h. [5]. A
significant hardness drop due to structural relaxation occurs
after thermal treatment, indicating that the initial hardening
effect was due mainly to compressive stresses in the films,
caused by the ion bombardment conditions during deposition.
In this study, the effect of the heat treatment on the
as-deposited TiAlSiN coatings was compared for the samples
treated in the different atmospheres at low annealing
temperature of 400 oC.
EXPERIMENTAL
A CAE system equipped with dual arc sources was used to
deposit TiAlSiN coating on the WC-Co substrates in a reactive
nitrogen atmosphere at substrate bias of −50 V. During the
deposition, the substrates were heated to a 400 oC by resistance
heaters set inside the chamber and then, TiAlSiN films were
deposited from titanium cathode and aluminum–silicon
cathode by rotating the substrate. The nitrogen pressure during
deposition was kept at 1.3 x 10-1 Pa. Heat treatments were
conducted at 400 oC for 1 h under air and N2 atmosphere,
respectively. The samples were subsequently furnace cooled.
Corresponding author: Wei-Yu Ho, MingDao University,
Taiwan, China. weiyuho@mdu.edu.tw
Chi-Lung Chang / Dept. Materials Science and science
(MingDao University, Taiwan, China)
Chun-Nane Chen / Dept. Materials Science and science
(MingDao University, Taiwan, China)
Chi-Chun Hwang / Dept. Materials Science and science
(MingDao University, Taiwan, China)
The microstructure of the coatings was analyzed by using
X-ray diffraction (XRD) and scanning electron microscopy
(SEM). Wear tests were performed on a ball-on-disc tribometer
(CSEM). The tests were conducted with no lubricant in
ambient air. A 6.0 mm diameter WC-Co ball traveled along a
circular track of 20mm diameter against the samples at 0.3 m/s
under a normal load of 10N.
RESULTS
Fig. 1 compared the X-ray diffraction patterns of the
as-deposited and the heat-treated TiAlSiN coatings. The
diffraction patterns of both of the TiAlSiN coatings show the
same crystalline microstructure which is same as TiN that
exhibits B1 NaCl structure with (200) preferred orientation
located at 43.7°. XRD peaks related to Si3N4 and w-AlN
phases were not shown due to amorphous structure existed in
the coating [6]. From the Fig. 1, it is expected that grain size of
the TiAlSiN coating remains stable at a temperature of 400 oC.
The thermal stability of the coating was confirmed at the
temperature of 400oC for 3 hours.
ʳ
Fig. 1 XRD diffraction patterns of the TiAlSiN coating.
TiAlSiN-as:as-deposited coating, TiAlSiN-ht: heat treated at
400oC in N2 atmosphere
Fig. 2 shows the SEM surface morphology of the TiAlSiN
coating before and after annealing treatment, respectively.
From Fig. 2(a), the surface morphology of the coating is
observed, showing macroparticles spreading on the surface due
to the liquid particles emitted from the hot cathodic spot.
Similar surface morphology of the heat-treated coating was
also seen (Fig. 2(b)). Hardness measurement by Vicker’s
indentation under 50g load does not distinguish the hardness
value of the coatings with or without heat treatment. However,
a significant increasing hardness of the TiAlSiN coating after
annealing at protective argon atmosphere was obtained from
35 GPa to 43 Gpa even heated at 500oC [1]. Therefore, it is
expected that the real hardness value of the TiAlSiN coating
after heat treatment was increased under the N2 atmosphere in
this study.
742
 Mechanical Properties of the TiAlSiN Coatings by Post Heat Treatments
(a)
(b)
Fig. 2 SEM image of the TiAlSiN coating after annealing
treatment. (a) cross-section, (b)surface morphology
A pin-on-disk tribometer was used to evaluate the friction
coefficient of the TiAlSiN coatings against a WC-Co ball. Fig.
3 shows the coefficient of friction versus travel distance under
a load of 10 N. The coefficient of friction of as-deposited and
the heat treated TiAlSiN coatings increased initially to the
range of 0.6 ~ 0.7 for the run-in stage, and then drop to 0.45
and 0.3 for the as-deposited and the heat-treated coatings,
respectively, until the 2250 m of the travel distance. After that,
the sharp increase of friction coefficient seen for both of the
tested coating implied the worn-out of the TiAlSiN coatings.
The observed lower friction coefficient of the heat-treated
TiAlSiN compared to that of the as-deposited coating is seen.
The narrower wear track of the TiAlSiN after heat treatment
implied the better wear resistance compared to that of the
as-deposited one. The differing friction coefficient for the
heat-treated TiAlSiN coating may result from the increase of
the hardness. From the study of Parlinska-Wojtan et al [5], for
the case for Al-rich TiAlSiN films, in which the fine,
nanocomposite structure remains stable after the heat-treatment.
However, the hcp-AlN is formed, which contributes to the
small changes in hardness.
Fig.3 Friction coefficient of the TiAlSiN coatings against a
WC-Co ball at a load of 10N
743
CONCLUSIONS
In this study, TiAlSiN coating was synthesized by
cathodic-arc evaporation. The results provided a comparative
characterization of the synthesized coatings with respect to the
wear resistance. After annealing treatment at 400 oC for 3h, the
nitrides phases of the TiAlSiN retained the same structure as
compared to that of the as-deposited coating. The coefficient of
friction of this coating decreased as the coating conducted with
annealing treatment under N2 atmosphere. The result revealed
the better wear resistance of the coating conducted with
addition heat treatment in this study. The expected reason is
under study in the near future.
ACKNOWLEDGEMENTS
The authors wish to thank Mr. Shein-Chen Liu from
Surftech Corp. for generously providing the CAE deposition
system to accomplish all the experiments. In addition, the
funding from the National Science Council of Taiwan under
the contract NSC-96-2221-E-451-005 is sincerely appreciated.
REFERENCES
[1] Holubář P., Jílek M., Šíma M., 1999, “Nanocomposite
nc-TiAlSiN and nc-TiN̄BN coatings: their applications on
substrates made of cemented carbide and results of cutting
tests”, Surface and Coatings Technology, 120-121,
pp.184-188.
[2] Durand-Drouhin O., SantanaA.E., Karimi A., Derflinger
V.H., Schütze A., 2003, “Mechanical properties and failure
modes of TiAl(Si)N single and multilayer thin films”,
Surface and Coatings Technology, 163 –164, pp. 260-266.
[3] Jilek M., Cselle T., Holubar P., Morstein M.,
Veprek-Heijman M. G. J., Veprek S., 2004, “Development
of Novel Coating Technology by Vacuum Arc with
Rotating Cathodes for Industrial Production of
nc-(Al1−xTix)N/a-Si3N4 Superhard Nanocomposite Coatings
for Dry, Hard Machining”, Plasma Chemistry and Plasma
Processing, Vol. 24, No. 4, pp. 493-510.
[4] Jobin M., Burdet B., Escudeiro Santana A., Bergmann E.,
2004, “AFM of ion-etched cross-sections: a method for
analyzing the morphology of dense hard coatings”, Thin
Solid Films, 469-470, pp.398-403.
[5] Parlinska-Wojtan M., KarimiA., Coddet O., Cselle T.,
Morstein M., 2004, “Characterization of thermally treated
TiAlSiN coatings by TEM and nanoindentation”, Surface
& Coatings Technology, 188-189, pp.344-350.
[6] Dobrzański L.A., Pakuła D., Hajduczek E., 2004,
“Structure and properties of the multi-component TiAlSiN
coatings obtained in the PVD process in the nitride tool
ceramics”, Journal of Materials Processing Technology
157-158, pp.331-340.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

In-situ Measurements of Surface Temperature Fields on Ring-Block Contact Surface

under Friction Using an Infrared Thermography
*
Tao You1, , Jianwei Yu1, Xiaofen Yu2
1
Department of Mechanical Engineering, Hefei University of Technology, Hefei 230009, China
2
School of Instrument Science & Opto-electronic Engineering, Hefei University of Technology, Hefei 230009, China

ABSTRACT Many methods were employed to measure the surface

Measurement of Surface temperature in friction has drawn
extensive attention in modern industry, especially in
manufacture. When the temperature in friction exceeds a given
value, the wear of parts will be accelerated. Some of the failed
parts exhibited enormous thermal damage. Infrared
thermography(ITG), sometimes called infrared(IR) imaging
system, provides a quantification of the degradation in thermal
performance of machine in operation and can be used to
identify degrading parts for replacement before failures
become immanent. A novel test technique is described in
which surface temperatures were measured during tests of a
rotating ring and a flat block which had a thermocouples
embedded under its contact surface. The technique involves
measurement of the radiation emitted by specimen
immediately adjoining the ring-block contact region using a
Charge Coupled Device (CCD) based ITG. By using an
appropriate calibration procedure, measured radiation values
are converted to temperatures. Novel aspects of the
experimental technique are non-intrusive and full-field
dynamic measurement at high spatial resolution and high
sensitivity. This technique will facilitate present study of
thermal damage and multi-scale thermal models in friction.
Keywords: infrared thermography, target-region, temperature
field, sliding contact, radiance
INTRODUCTION
The parts used in modern manufactures generally work
under the extremely severe operation conditions, such as high
speed, high temperature and heavy load, which produce
friction and wear unavoidably. The process will cause huge
material and energy consumption. It is very necessary to has a
better understanding of the friction interface, particularly under
conditions in sliding contact. Either parts or work pieces can
be damaged during solid-solid contact, but it is not enough to
study actual contact conditions. It is very desirable to estimate
the surface temperature that is generated by contact heat
between a rotating sliding ring and a flat block. The high
temperature in interface may soften the binder of harden-layer
coated parts and reducing the effectiveness of lubricants on the
surface of either oil film or boundary film coated disks. On this
problem, some theoretical and empirical studies have been
done[1,2], which could not be applied to different sliding
conditions. In practical studies, especially in the examination
of limit conditions of materials, such as high temperature, high
pressure and micro-scale, it is expected to acquire the true
temperature under the limit working conditions and to analyze
the test results based on the accurate simulation and
reproduction of the sliding contact conditions.
*mcsyt@126.com; phone 86-551-2901338-2729; fax 86-551-2901359;
www.hfut.edu.cn
temperature directly, such as thin film thermocouples,
metallographic observation and liquid crystals metachromasia [2].
With the influence of performance of responsibility or
accuracy, these methods are limited in practice. In this study,
we used a special tester, a compact infrared camera is mounted
on the right side of the tester. Unlike other end-face
temperature measurement by thermography [3,4], this study
investigated the temperature distribution at different depths
into the specimen and combined results of thermocouple
embedded in block to reduce the disadvantage of IR camera
itself as well.
EXPERIMENTAL
CONDITIONS
Surface friction experiments were carried out on an
end-face friction and wear test machine which having a load
resolution of 0.1N along the vertical axe and speed resolution
of 1 rpm in rotation. A steel ring, with hardness of HRC 45,
was used to slide on a copper block. The ring diameter (27
mm) was designed to be larger than the diameter of the block
(25 mm) in order to ensure the contact between the ring and
the block extended to the block edge. Ring speed was kept
constant at a range of 100~1000 rpm, while the maximum
linear speed is 1.31 m/s. All friction experiments were done
under dry condition.
In this study, the surface temperature field was measured
dynamically to assess friction temperature. Forces were
measured continuously during experiment to estimate the heat
generated in the friction zone and to explore the dependences
of temperature on both normal pressure and relative speed.
SET-UP
Fig. 1 Schematic of the set-up used for friction temperature
measurement
A schematic of the experimental set-up is shown in Fig. 1.
Prior to the experiments, one side of the block was coated with
a black paint (Rutland Stove Paint) of high emissivity (^~0.9).

744
 In-situ Measurements of Surface Temperature Fields on Ring-Block Contact Surface under Friction Using an Infrared Thermography
A portion of this side is contained in the target region (TR)
shown in Fig. 1. The surface preparation of the block prior to
coating and the coating procedure were identical to that used in
a calibration experiment (see next section). Radiation from the
TR was measured to obtain temperature values. The TR
consists of contact regions of the ring and block where the
friction heat is generated. In the experiments, the TR is “fixed”
in total experiments in order to contrast the result.
A medium wavelength, high-speed ITG (made by FLIR
Systems) was used to measure the radiation being emitted from
the TR (Fig. 1). The ITG consists of a CCD detector array and
an infrared micro-scope assembly. The objective lenses were
made of semiconductor materials viz. silicon (Si) and
germanium (Ge). These lenses focus the infrared radiation onto
a two-dimensional focal plane array (FPA) of 320240
detectors, effectively creating an image of the source on the
FPA. The FPA is a two-dimensional CCD array of indium
antimonide (InSb) detector elements (pixels) that are highly
sensitive to radiation in the medium-wavelength infrared range,
allowing a temperature change as small as 0.025°C to be
detected in a black body. The size of single pixel is 30m  were done in the temperature range of 30°C to 300°C.
30m, with a total field range of 6.1 mm  4.6 mm (TR). This
TR is made up of roughly equal areas of ring and block. The
pixels of the FPA have a time constant low enough to enable
system operation at shutter speeds as small as 50­s, which
allows observation of transient events. A band-pass filter (Fig.
1) is fitted into the microscope assembly to cut off radiation
outside the spectral range of 3.16-3.80m. A neutral density
(ND) filter is also incorporated into the optical path at the rear
of the lens assembly (Fig. 1) to attenuate the amount of
radiation incident on the FPA. The increase of the maximum
temperature can be measured by ITG. The ND filter used in the
experiments allowed 1 percent of the radiation incident on it to
pass through, enabling a maximum temperature of
approximately 700°C to be measured when the paint-coated
specimens was in friction. This maximum temperature value
can be increased to well over 1000°C by using an ND Filter of
lower transmissivity (0.1%). The ITG could be operated at
framing rates of up to 100 frames per second by sacrificing
either the field of view or the spatial resolution. An integration
time of 6 ms and a frame rate of 50 frames per second were
used to capture a full-Field image of 6.2 mm  4.6 mm with
18m spatial resolution. Details of the measurement set-up are
shown in Fig. 1.
In a few of the friction experiments, there was slight
discoloration and, occasionally, peeling off the black paint at
the very surface of the block. Radiation measurements from
these experiments were excluded from the results. But even in
the vast majority of experiments, where the integrity of the
paint at the block surface appeared to be intact, the radiation
measurements were taken only up to and including one pixel
below the block surface. The temperature at the surface was
then obtained by extrapolation from the subsurface values. It is
this value that is reported for the friction interface temperature.
CALIBRATION
Temperature was derived from the equivalent measured
thermal radiation using Planck's black body radiation law [6]:
 
2  C1  data.
specimen (K),  is the wavelength of the thermal radiation (m),
and C1 and C2 are black body radiation constants(C1 = 3.74 x
10-16 (W$m2), C2 = 1.44 x 10-2 (K$m)).
Calibration was done by focusing ITG onto a heated
copper sample, coated with the same black paint (calibration
sample) as that used on the TR during the experiments. The
sample was polished with 1500-grit sand paper prior to coating
to reduce its surface roughness. A thin coating of commercially
available black paint (Rutland Stove Paint) was applied to the
sample to enhance the emissivity of the metallic surface. The
coated surface had an emissivity (^) of 0.9, thereby increasing
the intensity of thermal radiation emitted by it and incident on
the FPA. A K-type thermocouple was attached to the sample in
the region of interest from which radiation intensity images
were captured. As the sample was heated up by a strip heater,
intensity and temperature was measured simultaneously by
ITG and thermocouple, respectively. The data were acquired
using a high-speed interface (IEEE-1394) and a digital
instrument with RS232 serial port, respectively. Calibrations
The infrared camera output radiance are plotted as dotted
curves with changes in temperature of the heater (obtained by
thermocouple) through two replicate calibration experiments
done at the same ambient temperature of 30°C (see Fig. 2).
6
Calculated
Measured
Measured
4.5
Radiance (X10-10 W/m2)
3
1.5
0
0 80 160 240 320
Block Temperature(`C)
Fig. 2 Calibration curves relating radiation to temperature
The closeness of the two calibration curves in Fig. 2 shows
that the measurement is highly repeatable. Using Eq. 1, S(T)
was calculated on the basis of the assumption that the spectral
response, 4~12 m, was constant [6]. The solid curve in Fig. 2
was obtained when the radiance was calculated with
temperature as a variable. The dotted curve is close to the solid
curve, with a correlation coefficient of 0.99. The calibration
curve (equation) for temperature derivation from the radiance
was acquired when the solid curve was modified by changing
its variable from radiance to temperature. A single calibration
curve was derived using a Least-Squares polynomial fit to the
S (T )    d  (1)
1 C
  5 (exp( 2 )  1)  R = 7.110-7 T3
2.210-4 T2 + 0.0308 T
1.1456 (2)
 T  Where R is radiance and T is temperature.
where S(T) is the radiance (W/m2), T is the temperature of the

745
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Thus, a given infrared intensity value, when mapped to depth of 3 mm into the specimen in Fig. 5 is essentially flat at
temperature using this calibration curve, gives a temperature a constant temperature of 40°C which is close to the ambient
value accurately. It should be noted that the intensity values temperature. The variation of temperature with depth into the
plotted on the Y-axis in Fig. 2 are differential intensity values. specimen may also be obtained from the temperature field.
A differential intensity value is obtained by subtracting the
intensity reading corresponding to the background or stray
radiation from the measured infrared intensity value. The
intensity of stray radiation was measured before each pass in
experiments. Because of the background random radiation
noise, there was a temperature estimation error which was less
than ±3°C. The lower limit of detectable temperature was
100°C with a signal-to-noise ratio of 1.15. In the ensuing, only
the radiation emitted by the specimen region of the TR is
analyzed and discussed. This region constitutes roughly
one-half of the entire TR that is exposed to ITG.

RESULTS AND DISCUSSION

Fig. 3 and Fig. 4 show typical contours of differential
intensity recorded by ITG and the corresponding temperature
field, respectively, in the specimen in constant surface friction.
This measurement was made as soon as the temperature field
had reached a steady state. The temperature values of Fig. 4
Fig. 4 Corrected temperature fields in friction
were derived from the differential intensity values of Fig. 3
using the calibration curve of Fig. 2. The i nfrared intensity
image was filtered by a Gaussian (median) filter (with a 33
pixel window) before the intensity values were converted to
temperatures. In the figures, the top edge of the rectangular
region represents the specimen friction surface. It should be
noted that ITG focuses on a fixed area in space, while the ring
is rotating clockwise, as shown in Fig. 1.

Fig. 5 Line temperature profiles at different depths

Fig. 3 Differential intensity fields in friction
The highest temperature region is recorded at the specimen
surface (Fig. 4). Value of the highest temperature is 125°C and
occurs at the point "P" marked in the figure, which is located
towards the trailing contact edge. This is consistent with
predictions of moving heat source models [7]. A steep
temperature gradient is seen to prevail within a zone extending
100 m into the specimen surface in Fig. 4. The temperature
field shown in Fig. 4 contains a wealth of data which may he
extracted and analyzed. Fig. 4, which shows line temperature
profiles at different depths into the Specimen, is one such
example. Each temperature profile in the figure is along a line
parallel to the direction of sliding and is derived from the
temperature field of Fig. 4. The line temperature profile at a
The line temperature profiles and depth distributions
contain invaluable data for understanding the evolution of
hardness, microstructure and residual stress in the specimen
during friction. It is difficult, if not impossible, to obtain such
temperature data from “spot” measurements by thermocouples
or other similar devices. Last, but not the least, the
measurement shown in Fig. 4 is made in a non-intrusive way
without disturbing the specimen temperature field.
CONCLUSIONS
The temperature field in the specimen during surface
friction has been measured using a FPA-based ITG. A
novel aspect of the experimental technique is capability
for non-intrusive and dynamic temperature measurement
over an area whose dimensions are substantially larger
than the contact length, high spatial and temporal
resolution, high sensitivity. They may be contrasted with
previous thermocouple and infrared measurements,
which have estimated the temperature at only one or a
few select locations in the specimen.

746
 In-situ Measurements of Surface Temperature Fields on Ring-Block Contact Surface under Friction Using an Infrared Thermography
ACKNOWLEDGEMENTS
This work was supported by the Young Innovation
Foundation of Tech. (No.102-037023) and Institute of
Tribology of Hefei University of Technology.
REFERENCES
[1] Bair, S., Green, I. and Bhushan, B., 1991, "Measurements
of Asperity Temperatures of a Read/Write Head Slider
Bearing in Hard Magnetic Recording Disks," ASME J. Trib.
113(3), pp.547-554.
[2] Kennedy, F.E., 1992, ASM Handbook, 18, ASM
International Publishers, Metals Park.
747
[3] Sakagami, T., Ogura, K. and Kub, S., 2000, "Application of
Infrared Thermography for Contact Problems," Proc.
IUTAM, 82, pp.603-610.
[4] Bogdanovich, P., Belov, V. and Tkachuk, D., 2007,
"Determination of Temperature Field in Zone of Cutting of
Diamond Crystals by Thermography," J. Friction and Wear,
28(1), pp.44-50.
[5] Information on http://www.flir.com
[6] Nettesheim, S. and Zenobi, R., 1996, "Nanosecond Time
Scale Temperature Measurement Using Black Body
Radiation," Chem. Phys. Lett., 255(4), pp.39-44.
[7] Jaeger, J.C., 1942, "Moving Sources of Heat and the
Temperature at Sliding Contact," J. Proc. R. Soc. N. S. W.,
76(3), pp.203-224.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Research on the Preparation, Characterization and Tribological Properties of Ultra-Thin

Self-Assembled Monolayers on the Magnetic Head Surface

Hu Xiaoli* (School of Mechanic Engineering, Shanghai Zhang Chenhui (State Key Laboratory of Tribology,
Dianji University, Shanghai, China) Tsinghua University, Beijing,China)

(Extended Abstract)
ABSTRACT
To improve the tribological properties of the magnetic head DID-3000 AFM and Contact Start Stop Test (CSS) systm
and increase its anti-contaminantion abilities, self-assembly of respectively.
silane with hydroxyl group on the substrate was adopted to
prepare a SAM(self-assembled monolayer) of RESULTS AND DISCUSSION
1H,1H,2H,2H-perfluorodecanetr- ichorosilanes (FDTS) on the The organosilane SAMs could be prepared on the magnetic
magnetic head. TOF-SIMS (Time-of-flight secondary ion mass head, because the hydroxyl group reacts with the hanging-up
spectrometer), XPS (X-ray photoelectron spectroscopy), AFM bonding in sp3 phase of DLC film[7-8]. The XPS spectra of
(atomic force microscopy), and contact angle measurement FDTS coated on the magnetic head surface is shown in Fig. 1.
were used to characterize the FDTS SAM. A component There are six peaks at 282.513 eV (A), 284.605 eV (B),
centered at Binding Energy of 287.627eV appearing in the C1s 286.105 eV (C), 287.625 eV (D), 291.395 eV (E) and 293.726
XPS spectra of FDTS SAM, suggests that the FDTS SAM eV (F), which are assighned to C-Si bonds originated from
deposited on the magetic head surface with the C-O-Si bond. FDTS molecules and DLC bulk, C-C bonds attributed to DLC
The experimental results show that an ultra-thin smooth FDTS bulk, C-O bonds adsorbed from environment, C-O-Si bonds,
SAM, with a thickness of 2.3 nm, Ra value of 0.123nm and a CF2 species and CF3 species, respectively. In the present study,
water contact angle of 130.7º, can be prepared on the magnetic the 287.625 eV is mainly attributed to C-O-Si bonds.
head surface by controlling reaction time. Having good
durability property, the FDTS SAMs made the stiction of the
magnetic head less than 1g after the 20000 Contact Start Stop
(CSS) test, and leads to considerably improved tribological
properties of the magnetic head surface.
Keywords: magnetic head; 1H,1H,2H,2H-perfluorodecanetric-
horosilanes; SAMs; characterization; tribological properties

INTRODUCTION
Over the past years, the recording density of HDD increased
remarkably. The flying height of head in a hard disk with a
recording density of 100 Gbit/in2 should be limited within
6-7nm, which lead to more rigorous requirements for all kinds
of HDD performance [1-2]. The Diamond-like carbon (DLC)
and perfluoropolyether (PFPE) were always used to protect the
surface of the magnetic head or the disk. The self-assembled
monolayers (SAMs) on DLC were studied by Dr. Choi, and
these results indicated that the
heptadecafluoro-1,1,2,2,-tetradecyltrietoxysilane (FTE) SAMs
coated DLC surfaces showed better frictional characteristics
compared to the un-lubricated DLC and there is possibility of
organosilane monolayer films as lubricants for disk drives[3-5]. Fig. 1 X-ray photoelectron C1s spectra of the FDTS SAMs on
In this paper, a fluoroalkyltrichlorosilane SAMs on the the magenetic head surface
magnetic head is prepared, which represents a better
hydrophobicity and tribological properties, and contributes to In Fig. 2, the roughness of FDTS SAMs on the magnetic
keep the magnetic head surface clean. head surface reduced to 0.144 nm and 0.123 nm at 50
min and 12 h, respectively, which indicate that the
EXPERIMENTAL
smooth SAMs could be formed possibly. Fig. 3 shows
After a 2nm thick DLC film deposited on the magnetic head the reaction time dependence of thickness and CA
surface, and the sample was cleaned according to the slider values of FDTS on the magnetic head surface. After
normal cleaning process in SAE Magnetics (H.K.) Ltd. In an
inclosed glove-box filled with nitrogen, the precleaned sample
reacting for 50 min, the thickness was 1.2 nm and the
was immersed in 10 mM solution of FDTS in isooctane at 60 CV value was 107.4º. As the reaction time was 12 h, the
ć, , 45㨪50㧑 humidity[6]. Taken out of the glove-box, thickness was 2.3 nm and the CV value was 130.7º (the
the sample was cleaned again, just the same as preclean measuring figure shown in Fig. 4). The chain length of a
process. Finishing nitrogen-drying, the sample was kept in FDTS molecular is 1.33 nm in theory [9]. The densely
non-dust drying cabinet at 120 ć for 30min. packed SAMs with a small tilt angle were formed on the
The thickness, water contact angle (CA) value, surface surface. From the thickness, CA value and roughness
roughness and tribological properties were measured by the data, we may conclude that a smooth FDTS monolayer
PHI TRIFT II ToF-SIMS, VCA2500XE CA apparatus, and a smooth FDTS double-layers were formed at 50
*Wenjin Road 88#, Shanghai, China
748
Research on the Preparation, Characterization and Tribological Properties of Ultra-Thin Self-Assembled Monolayers on the Magnetic Head Surface

min and 12 h, respectively.

1.4

1.2

1.0
5RXJKQHVVQP

0.8

0.6

0.4 Fig. 6 The 20001st start-stop cycle friction profiles of the

FDTS SAMs coated magnetic head at 12h
0.2

0.0 CONCLUSION
0 30 60 90 120 1400 2800 The FDTS SAMs were successfully prepared on the magnetic
5HDFWLRQ WLPHPLQ head surface, and verified by the TOF-SIMS, XPS, and CA
Fig. 2 The roughness as function of reaction time for the FDTS measurements. As the reaction time was 12 h, the thickness,
SAMs on the magenetic head surface CA value and roughness of the FDTS SAMs were 2.3 nm,
40 140 130.7º and 0.123nm, respectively. At this experimental
35
condition, the FDTS SAMs coated magnetic head could lead to
130
better tribological properties.
30
7KLFNQHVV˄DXQJVWURPV˅

120
ACKNOWLEDGEMENTS
&RQWDFWDQJOH˄R˅

25
110
20
We acknowledge Dr. Tian H. and Dr. Liu Y. W. of SAE
100 Magnetics (H.K.) Ltd.
15

10
5 &RQWDFWDQJOH
0
0 50
5HDFWLRQWLPH˄PLQ˅
Fig. 3 The thickness and contact angle as function of reaction
time for the FDTS SAMs on the magenetic head surface
Fig. 4 Contact angle of the FDTS SAMs on the magnetic head
surface at 12h of the reaction time
The FDTS SAMs coated magnetic head at 12 h was used
in tribological properties measurements. In Fig. 5, the
stiction of the magnetic head maintained less than 2g
during 20000 CSS cycles. And Fig. 6 shows that the
20001st start-stop cycle friction of the magnetic head
was 2.207g. In the quality control, the stiction and
20001st start-stop cycle friction were 2-4 g and 4-6 g,
respectively.
90 REFERENCES
7KLFNQHVV
80 [1] Bogy D. B., 2002, “Some Tribology and Mechanics Issues
for 100-Gb/in2 Hard Disk Drive,” IEEE Transactions on
100 150 200 1500 3000
70 Magnetic, 38, pp.1879-1882.
[2] Shinji Yonemura A, Stefan Weissner B, Lin Zhou. 2005,
“Investigation of disk damage caused during load/unload
using a surface reflectance analyzer,” Tribology
International, 38, pp.81-87.
[3] Choi J. H., Kato M., Kato T., 2002, “Self-assembled
monolayer formation on magnetic hard disk surface and
friction measurements,” Journal of applied physics, 91,
pp.7574-7578.
[4] Choi J. H., Kawaguchi M., Kato T., 2003, “Possibility of
organic monolayer films as lubricants for disk drives:
comparative study of PFPE and organosilane,” Journal of
tribology, 125(4), pp.850-853.
[5] Choi J. H., Kato T., 2005, “Self-assembled monolayers as
lubricants for magnetic disk drives,” IEEE Trans.
Magn., 41(2), pp.599-603.
[6] Noemi Rozlosnik, Micheal C., Gerstenberg, Niels B.
Larsen, 2003, “Effect of solvents and concentration on the
formation of a self-assembled monolayer of
octadecylsiloxane on silicon(001),” Langmuir, 19,
pp.1182-1187.
[7] Kasai P. H., 2000, “Carbon overcoat: Structure and bonding
of Z-DOL,” Proceeding of international Tribology
Conference, Nagasaki, pp.63-68.
[8] Shukla N., Gellman A. J. 2000, “The interaction of
CH3CH2OH and (CF3CF2)2O with amorphous carbon
films,” Langmuir, 16 (16), pp.6562-6568.
[9] Atsushi Hozumi, Kazuya Ushiyama, Hiroyuki Sugimura,
1999, “Fluoroalkylsilane monolayers formed by chemical
vapor surface modification on hydroxylated oxide
surfaces,” Langmuir, 15, pp.7600-7608.

(The whole paper will be supplied by the authors if reader

needs it.)
Fig. 5 CSS test stiction profiles of the FDTS SAMs coated
magnetic head at 12h

749
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Super-Hydrophobic and Self-Lubricating Carbon Coating on Ti3SiC2

Jian Sui/State Key Laboratory of Solid Lubrication, Lanzhou Institute of Chemical Physics, Chinese Academy of
Sciences, Lanzhou 730000, P.R. China
Yanjie Zhang/State Key Laboratory of Solid Lubrication, Lanzhou Institute of Chemical Physics, Chinese Academy of
Sciences, Lanzhou 730000, P.R. China
Shufang Ren/State Key Laboratory of Solid Lubrication, Lanzhou Institute of Chemical Physics, Chinese Academy of
Sciences, Lanzhou 730000, P.R. China
Monika Rinke/ Institute for Materials Research I, Forschungszentrum Karlsruhe GmbH, Karlsruhe 76021, Germany
Jinjun Lu/State Key Laboratory of Solid Lubrication, Lanzhou Institute of Chemical Physics, Chinese Academy of
Sciences, Lanzhou 730000, P.R. China

(Extended Abstract)

ABSTRACT
Carbon coating on Ti3SiC2 with combined
superhydrophobic and self-lubricating properties is synthesized
by high temperature chlorination followed by modification of
organic film in this paper. Raman spectroscopy confirms the
conversion from titanium silicon carbide to highly graphitized
carbon coating at 1000°C. Scanning electron microscopy
(SEM) observation shows a highly porous microstructure of
graphite flakes on the coating surface. Both the size and shape
of Ti3SiC2 grains vary after high temperature chlorination. The
original grains are transformed to graphite flakes, and
separated into two and more parts. The porous structure as well
as organic film on carbon coating endows the surface with
super-hydrophobic property. Because of chemical inertia of
carbon coating and the modifier, the superhydrophobic surface
is stable under various environments. Carbon coating is good
solid lubricant and greatly reduces the friction coefficient of
Ti3SiC2 sliding against Si3N4, which is important for Ti3SiC2
used as engineering materials.
Keywords: Carbide derived carbon; Porous structure; Super-
dhyrophobic Surface; Self-lubricating
INTRODUCTION
Selective etching of carbides in halogens is an attractive
method to produce various carbon structures. Carbon
synthesized by this process is called carbide derived carbon
(CDC) [1]. CDC shows potential applications in many areas,
including molecular sieve, hydrogen storage, supercapacitor,
catalysis, and tribology [1]. Considerable studies on the
tribological behaviors of CDC coating on top of SiC revealed
that CDC coating is good solid lubricant in sliding against
Si3N4 and steel over a wide range of humidity and different
atmospheres [2-5]. Since CDC coating is characterized by
rough surface with binary porous structures at micro- and
nanometer scales, it can be deduced that super-hydrophobic
surface of CDC coating on carbides can be obtained after
modification with hydrophobic compounds while retaining its
self-lubricating property.
Theoretically, super-hydrophobicity is defined as water
contact angle above 150° and sliding angle below 10° [6,7].
Super-hydrophobic surfaces have attracted considerable
interests in recent years due to their great importance in both
fundamental research and potential industrial application
[6,8-10]. Relatively easy and feasible chemical etching method
was selected to fabricate a series of stable super-hydrophobic
surfaces successfully on engineering materials, including
aluminum alloy, steel, titanium alloy, and copper alloy [11,12].
Super-hydrophobic surfaces was easily constructed through
chemical etching of acid, basic or other solution on metal or
alloy, but not on ceramic. As we know, carbide ceramics
including some ternary carbide, e.g. titanium silicon carbide
(Ti3SiC2), are important engineering materials. Because of
their excellent mechanical properties and chemical inert, it is
rather difficult to fabricate a super-hydrophobic surface on
carbides by aforesaid methods. Constructing stable
super-hydrophobic surface on carbides is attractive for both
fundamental and real applications. In addition, bi-functional or
multi-functional surfaces are more attractive than
mono-functional surface to scientists and engineers. In this
connection, low friction and high wear resistance are still
important properties for modified CDC coating.
In this article, fabrication of a super-hydrophobic and
self-lubricating carbon coating on top of polycrystalline
Ti3SiC2 by high-temperature chlorination and modification of
hydrophobic compound is reported.
EXPERIMENTAL DETAILS
MATERIAL SYNTHESIS AND MODIFICATION
Ti3SiC2 bulk samples introduced in this work was
fabricated by hot-pressing process, and the surfaces were
polished (average Ra of 0.06 μm). The chlorination etching of
Ti3SiC2 was performed in a quartz tube placed in a furnace that
can be heated to 1000°C. The quartz tube was purged with
high flow rate of Ar gas before heating at a rate of 60°C /min
to the desired reaction temperature. Once the desired
temperature was reached, the reaction gas mixture (8%Cl2+Ar)
was introduced for chlorination. Post-treatment of samples at
1000°C for 2 hours with high flow rate of Ar gas was
conducted to remove the residual Cl2 adsorbed in the CDC
sample. During the cool-down period, the sample was secured
under Ar gas all the time. Surface was modified as follow:
samples were ultrasonically cleaned in acetone bath, and then
immersed in solution (C8H18: CF3(CF2)5CH2CH2SiCl3 = 1000)
for 5 hours. Finally, the sample was dried in vacuum.
WETTABLE AND TRIBOLOGICAL TESTS
Contact angles were measured on Drop Shape Analysis
System DSA100 (Kruss, Germany) in room air. The average
CA value was obtained by measuring seven different positions
for each process. The sample was immersed in water, acid
(volume fraction of sulfuric acid is 5%), basic (1 mol/L NaOH
solution), and acetone for 5 hours in turns to study the stability.
After each immersing process, sample was dried to measure
contact angle. Tribological tests were performed on a
UMT-2MT tribo-meter (CETR, USA) with a ball-on-disk
configuration at room temperature in air (relative humidity is
30-40%). The Si3N4 ball has a diameter of 3 mm and a surface
roughness Ra of 0.02 μm. The load, speed and duration are 3 N,

750
 Super-Hydrophobic and Self-Lubricating Carbon Coating on Ti3SiC2
0.02 m/s, and 40 minutes, respectively. The ball makes
oscillating movement on the disk. The friction coefficient was
recorded by the tribo-meter.
RESULTS AND DISCUSSION
WETTABILITY
The surface wettability of the modified CDC coating and
Ti3SiC2 substrate has been contrasted in our study. The
polished Ti3SiC2 surface (average Ra of 0.06 μm) is
hydrophilic having average contact angle of 72.7° for water.
After high temperature chlorination, the metal luster of Ti3SiC2
surface was changed to black and a rather rough surface
(average Ra = 8 μm) was acquired. When the sample was
soaked in water, numerous small bubbles were escaping fleetly
from the surface to envelop the sample, illustrating a large
amount of air was trapped on the surface. However, the
as-grown CDC coating is super-hydrophilic and water droplet
spread on the surface and permeated into interior quickly, due
to the high surface energy. After modification, the water
contact angle is as high as 151.5 ± 2°, and adhesive force
between water droplet and surface is so low that water can
easily fall away without any trace when the surface is leaned or
wobbled slightly. These results can be theoretically explained
by Cassie and Baxter equation, which reflects the contact
between water and surface closed to reality.
cos θ r = f1 cos θ − f 2 (1)
f1 + f 2 = 1 (2)
Where θrand θ are the contact angles on rough and smooth
surface, respectively; f1 and f2 represent the area fraction for
the solid and air on the surface, respectively. Large amount of
air trapped on the surface increase the contact area between
water and air, effectively preventing water permeating into
carbon coating. It is clear that a super-hydrophobic surface on
top of Ti3SiC2 was synthesized successfully.
In order to evaluate the stability of superhydrophobicity in
various environments, the sample was immersed in water, acid
(5 vol. % sulfuric acid solution), basic (1 mol/L NaOH
solution), and acetone for 5 hours, in turns. After each
immersing process, water contact angle was measured.
Surprisingly, water contact angles after each process are quite
stable, and the average contact angle is still 149° even after the
whole operation. Such stability may be explained in two
aspects. The first one is the microstructure of CDC coating
remains unchanged after the chemical attacking of the
chemicals. The second one is due to the strong adsorption of
the modifier to surface and chemical resistance of the modifier
to the chemicals. It can be concluded that this
super-hydrophobic surface is of great stability in various
environments, which is important for engineering materials
used in real application.
TRIBOLOGICAL RESULTS
Generally, friction coefficient of a material can be affected
by surface roughness which is necessary for acquiring
superhydrophobic property in most sliding contacts. However,
carbon coating with high roughness produced by high
temperature chlorination effectively reduced the friction
coefficient of Ti3SiC2 substrate in sliding against Si3N4. After a
short running-in period, the friction coefficient of Ti3SiC2
fluctuates rather heavily around 0.8 in open air. Because of
high friction coefficient and severe wear, the tribological test
was factitiously stopped at about 350s to protect the
751
tribo-meter. CDC coating is good solid lubricant under the
same condition. The average friction coefficient of as-received
CDC coating against Si3N4 is 0.35, which is much lower than
that of bulk Ti3SiC2. Moreover, friction coefficient is very
steady throughout the test. In order to investigate the effect of
roughness, CDC coating was carefully ground to an average
roughness of 2 μm. The friction coefficient of the ground CDC
coating is as low as 0.24, which is comparable to that of
commercially available graphite. The tribological results
showed that CDC coating on top of Ti3SiC2 is good solid
lubricant and can greatly improve the tribological performance
of Ti3SiC2, extending its application in many areas.
ACKNOWLEDGEMENTS
The present work is financially supported by National
Natural Science Foundation of China (No. 50675216).
REFERENCES
[1] Nikitin A, Gogotsi Y., 2004, Nanostructured
carbide-derived carbon, Encyclopedia of Nanoscience and
Nanotechnology, 10, 1-22, American Scientific Publishers,
California.
[2] Carroll B, Gogotsi Y, Kovalchenkob A, Erdemirb A,
McNallanc MJ, 2003, “Effect of humidity on the
tribological properties of carbide-derived carbon (CDC)
films on silicon carbide,” Tribol Lett, 15, pp51-55.
[3] Erdemir A, Kovalchenko A, McNallan MJ, Welz S, Lee A,
Gogotsi Y, Carroll B, 2004, “Effects of high-temperature
hydrogenation treatment on sliding friction and wear
behavior of carbide-derived carbon films,” Surf Coat
Technol, 188-189, pp588-593.
[4] Erdemir A, Kovalchenko A, White C, Zhu R, Lee A,
McNallan MJ, Carroll B, Gogotsi Y, 2006, “Synthsisi and
tribology of carbide-derived carbon films,” Int J Appl
Ceram Technol, 3, pp236-244.
[5] Gao F, Lu J, Liu W, 2007, “Tribological behavior of
carbide-derived carbon coating on SiC polycrystal against
SAE52100 steel in moderately humid air,” Tribol Lett, 27,
pp339-345.
[6] Blossey R, 2003, “Self-cleaning surfaces — virtual
realities,” Nat Mater, 2, pp301-306.
[7] Sun T, Feng L, Gao X, Jiang L, 2005, “Bioinspired surfaces
with special wettability,” Acc Chem Res, 38, 644-652.
[8] Barthlott W, Neinhuis C, 1997, “Purity of sacred lotus, or
escape from contamination in biological surfaces,” Planta,
202, pp1-8.
[9] Lafuma A, Quéré D, 2003, “Superhydrophobic states,” Nat
Mater, 2, pp457-460.
[10] Gao X, Jiang L, 2004, “Biophysics waterrepellent legs of
water striders,” Nature, 432, pp36-36.
[11] Guo Z, Zhou F, Hao J, Liu W, 2005, “Stable biomimetic
super-hydrophobic engineering materials,” J Am Chem Soc,
127, pp15670-15671.
[12] Qu M, Zhang B, Song S, Chen L, Zhang J, Cao X, 2007,
“Fabrication of superhydrophobic surfaces on engineering
materials by a solution-immersion process,” Adv Funct
Mater, 17, pp593-596.
(The whole paper will be supplied by the authors if reader
needs it.)
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Corrosion Protection of Ultra-Thin Diamond-Like Carbon Films on Cuprum

Min Zhong, Chenhui Zhang, Jianbin Luo

The State Key Laboratory of Tribology, Tsinghua University, Beijing 100084, China

(Extended Abstract)

NanoScope ċ A atomic force microscopy (AFM) was

ABSTRACT
Diamond-like carbon (DLC) films serve the purpose of
protecting the magnetic underlayer from environmental
corrosion in computer disk drives. The corrosion protection of
DLC films with various film thicknesses deposited on cuprum
were investigated. The DLC films were prepared on cuprum
using a filted cathodic vacuum arc (FCVA) system. The
cuprum films were deposited on silicon substrates also by
FCVA system. The films were characterized by transmission
electron microscope (TEM) and atomic force microscopy
(AFM). The corrosion protection of the ultra-thin DLC films
have been studied using an atomic force microscope (AFM)
and a three-electrode electrochemical corrosion test.
Keywords: Corrosion, DLC, Ultra-thin
INTRODUCTION
Diamond-like carbon (DLC) film has been extensively
used in the hard disk drive industry as a corrosion and wear
protective overcoat on the magnetic layer [1-3]. The reduction
of the magnetic spacing is one of the most important
parameters to increase the lateral storage density of hard disks
[4]. A decrease of the related magnetic spacing can be achieved
by reducing the thickness of the carbon overcoat. To minimize
the overcoat thickness while maintaining its functional
properties (wear resistance, corrosion protection) is the major
aim to improve hard disk’s performance.
Air humidity as well as various gases present in the
environment or evolved from the hard disk file has a
detrimental effect on the lifetime of the hard disk [5]. The
corrosion protection of DLC films depending on the film
thickness was investigated by atomic force microscope after
soaked in de-ionized water for 1 hour. A three-electrode
electrochemical corrosion test was also employed to study the
corrosion property of the DLC film.
employed to observe the surface morphology of the films with
tapping mode. For each sample, four images were taken and an
average roughness was obtained. The samples were soaked in
de-ionized water for 1 hour and the corroded surface
morphology was studied by AFM.
A standard three-electrode electrochemical cell was used to
investigate the corrosion property of the DLC film. The
working electrode was attached to the sample whose area is
150mm2. As a reference electrode a standard saturated calomel
electrode (SCE) was used and the counter electrode was made
of Pt. A 0.05 M solution of NaCl was used as electrolyte.
RESULTS
To characterize the structure and the thickness of the DLC
film deposited on the cuprum, the cross sectional sample of
DLC film was prepared for TEM observation. Fig 1 shows the
cross sectional TEM image of the DLC film with deposition
duration of 9 min. As shown, the typical amorphous structure
of DLC film was observed and the film thickness of DLC was
measured to be 9 nm. As a consequent, the deposition rate was
calculated to be 1 nm/min. Thus, a series of DLC films with
different nominal thickness can be obtained via controlling the
deposition duration

EXPERIMENTS
The ultra-thin DLC films studied in this paper were
prepared on cuprum deposited on silicon wafers by a FCVA
system. The silicon wafers were cleaned ultrasonically in the
acetone and alcohol for 15 min respectively and then immersed
in hydrofluoric acid solution with concentration of 0.5% for 15
s to remove the oxide layer on the wafer surface. The silicon
wafer were sputtered by Ar+ ions with energy of 500 eV, beam
current of 50 mA, and incident angle of 45 degree. The
chamber was evacuated to a base pressure less than 5h10-4 Pa,
Fig. 1 the cross sectional TEM image of the DLC film with
and the working pressure increased to about 2h10-3 Pa. The
deposition duration of 9min
films were prepared under a pulse bias with duty ratio of 20%
and amplitude of -100 V. The deposition duration of cuprum The surface morphologies of the cuprum and DLC-coated
was 3 min and for DLC was varied in the range of 3~15 min in cuprum respectively measured by AFM are shown in Fig 2. To
order to obtain ultra-thin DLC films with thickness of 3~15 study the corrosion protection of the DLC film, the surface
nm. morphologies before and after soaked in de-ionized water for 1
The deposition rate was calculated from the film thickness hour are presented in Fig 2. As shown, the surface of cuprum
measured by a JEM-2010F transmission electron microscope after soaked became much rougher than before. However, the
(TEM) and the deposition duration. A digital instruments surface of DLC-coated cuprum was almost the same as before.

752
 Corrosion Protection of Ultra-Thin Diamond-Like Carbon Films on Cuprum

The potentiodynamic curves of cuprum and DLC-coated

cuprum with DLC film of 9 and 15nm are shown in Fig. 4. The
sharp point in the curve is the point where the current changes
signs as the reaction changes from cathodic to anodic. The
corrosion current and corrosion potentials are obtained from
Fig. 4 by Tafel analysis. The corrosion potential of the
DLC–coated sample was shifted to positive direction
compared to that of the cuprum sample. And the corrosion
current of the DLC–coated sample is lower than that of cuprum
sample. These indicate that the DLC film has good corrosion
protection performance.

Fig. 2 AFM images of a) cuprum, b) cuprum after soaked, c)

DLC–coated cuprum, d) DLC–coated cuprum after soaked

Fig. 3 shows the surface roughness variation after soaked in

de-ionized water for 1 hour of cuprum and DLC-coated
cuprum with different nominal film thickness. The surface
roughness of cuprum without DLC film raised much larger
after soaked than before. To be a contrast that the surface
roughness of DLC-coated cuprum with nominal film thickness
in the range of 3-15 nm stayed almost the same after soaked. Fig. 4 potentiodynamic polarization curves of cuprum,
As a result, a conclusion can be made that the DLC film with DLC-coated cuprum with DLC thickness of 15 nm and
thickness of even 3 nm has good resistance to corrosion. DLC-coated cuprum with DLC thickness of 9 nm

REFERENCES
[1] Casiraghi, C, Robertson, J, Ferrari, A.C, 2007,
“Diamond-like carbon for data and beer storage,”
Materials today, 110, pp.44-53
[2] Ferrari, A.C, 2004, “Diamond-like carbon for magnetic
storage disks,” Surface and Coating Technology, 180-181,
pp.190-206.
[3] Tomcik, B, Osipowicz, T, Lee, J.Y, 2000, “Diamond-like
film as a corrosion protective layer on the hard disk,” Thin
Solid Films, 360, pp.173-180.
[4] Bernhard, P, Ziethen, Ch, Ohr, R, et al, 2004,
“Investigations of the corrosion protection of ultrathin a-C
and a-C:N overcoats for magnetic storage devices,”
Surface and Coatings Technology, 180-181, pp.621-626.
[5] Tomcik, B, Seng, S.C, Balakrisnan, B, et al, 2002,
“Electrochemical tests on the carbon protective layer of a
hard disk,” Diamond and Related Materials, 11,
pp.1409-1415

Fig. 3 surface roughness of cuprum and DLC–coated cuprum (The whole paper will be supplied by the authors if reader
with different DLC film thickness before and after soaked in needs it.)
de-ionized water for 1 hour

753
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

SEM and AFM Study on Nanoparticles Used as Lubricating Oils Additives

Gu Zhuoming*
(Marine Engineering department of Shanghai Maritime University, 1550 Pudong Dadao , Shanghai , China , 200135)

(Extended Abstract)

ABSTRACT In the present studyˈsuitable surfactants such as tween-60㧘

The CeO2 nanoparticles were used as lubricating oil additives.
The modified and surface-modified CeO2 nanoparticles exhibit
good dispersion and stability in the lubricating oils. The
constructure㧘morphology and mean diameter of nanoparticles
of CeO2 were characterized and measured by transmission
electron microscope(TEM) and X-ray diffraction (XRD)㧚
Tribological properties of the lubricating oils with CeO2
nanoparticles additives were evaluated on a four-ball
tribotester. The worn surfaces were analysed by scanning
electron microscope (SEM) and atomic force microscope
(AFM). Experimental results indicate that㧘lubricating oils with
CeO2 nanoparticles additives have excellent tribological
properties of the friction reduction㧘wear resistance and higher
load capability㧚By means of SEM and AFM investigations㧘
the mechanism of excellent tribological performances of CeO2
nanoparticles additives was discussed㧘too㧚
Keywords: CeO2 nanoparticles, lubricating oil additives,
SEM, tribological performances
INTRODUCTION
Much attention has been paid to the application of
nanometer rare earth materials due to their special properties㧘
such as unique physical and chemical properties 㧚 These
materials can be widely used in metallurgy, electric industry,
petrochemical industry, catalysts, pollution ecology and others㧘
even in medicine and agriculture[1~3] 㧚In recent years, the
interest in tribological applications of rare earth nanomaterials
is increasing, and it is found that some rare earth nanomaterials
provide excellent antiwear and friction reduction capacities[4~5]㧚
However 㧘 the study of their tribological properties and
mechanism is still in its infancy.
Although some investigations have been undertaken㧘with
the results implying that the nanometer-sized rare earth
particles would be potential additives of lubricating oils in the
near future, much more work is still required to establish how
the lubricating additives will be affected by the various
changes which are expected in lubricating oil quality. In this
paper 㧘 CeO2 nanoparticles were used as lubricating oil
additives.The tribological properties of lubricating oils with
and without CeO2 nanoparticles were examined. The friction
and wear experiments were performed to evaluate the friction
reduction 㧘 anti-wear and load-carrying abilities of CeO2
nanoparticles. In addition, more investigations were performed
using scanning electron microscope(SEM) and atomic force
microscope(AFM) to interpret the possible tribological
mechanisms of lubrication and wear of oils with CeO2
nanoparticles as an additive.
span-20㧘span-80 and polyether were selected according to
the HLB (Hydrophile and Lipophile Balance) valueˊThe
weight ratio of above surfactants was 2:2:1:1㧚They enabled
CeO2 nanoparticles to have very good dispersion and stability
in the lubricating oils. The CeO2 nanoparticles were added into
the surfactant solution firstly and heated to 60͠ with stirring㧚
Then the system were added to 500 SN base oil to disperse
using ultrasonic vibration firstly㧘totaling 20 min.㧘and then
using temperature magnetic stirrer heated to 80͠ with stirring,
totaling 2 hours㧚Finally㧘oil-soluble CeO2 nanoparticles were
dispersive and stable well in base oil㧚
A four-ball tribotester of MRS-1J was used to evaluated the
tribological properties of oils with CeO2 nanoparticles at room
temperature(27 ͠ ) and elevated temperature(75 ͠ ) 㧘
respectively.The maximum non-seizure loads (PB)㧘friction
coeffiction(Ǵ) and wear scar diameter(WSD) were measured
on the MRS-1J four-ball tribotester of under a rotating speed of
1450 rpm and test duration of 30 min at room
temperature(27 ͠ ) and elevated temperature(75 ͠ ) 㧘
respectively㧘and the wear scar diameter of the worn steel ball
were measured as well. The balls of 12.7 mm in diameter㧘
which were made of GCr15 bearing steel (AISI52100 steel)
with a hardness of HRc64㨪66㧘were used.The wear scar
diameters(WSD) of the three lower balls were measured with a
digital-reading optical microscope with an accuracy of
0.01mm.
The morphology of the nanoparticles was analyzed using
Hitachi H-600 transmission electron microscopy (TEM).The
constitute of CeO2 nanoparticles was tested with D/max-rA
X-ray diffractometer (Cu Kǩradiation㧘at 40kV and 40mA).
The morphologies of wear scar and CeO2 nanoparticles on the
worn surface were characterized with SIRION200 scanning
electron microscope (SEM) and Digital Instruments
Nanoscope E atomic force microscope (AFM).
2. RESULTS
2.1 TEM AND XRD ANALYSIS

1. EXPERIMENT
Tween-60㧘span-20㧘span-80㧘polyether㧘ceriem oxides
nanoparticales and 500 SN base oil were used in this paper㧚To
prevent the agglomeration of nanoparticles㧘oil-soluble CeO2
nanoparticles were prepared by surface-treated with surfactants㧚
Fig.1 TEM morphology of nano-CeO2
* Corresponding author㧦Gu Zhuoming (1945- )㧘Male㧘Doctor㧘Professor㧘
Research field㧦nanometer materials and tribology,(zmgu@mmc.shmtu.edu.cn)㧚

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 SEM and AFM Study on Nanoparticles Used as Lubricating Oils Additives

Fig.2 XRD patterns of nano-CeO2

2.2 TRIBOLOGICAL BEHAVIOR

Table 1 tribological properties of oils
Fig.6 AFM morphology of wear surface of oil
Tribological With nano-CeO2(wt %) with CeO2 nanoparticles
properties 0.2 0.4 0.6 0.8 Base oil

PB/N 696 696 726 726 392 3. CONCLUSIONS

From this study㧘the following conclusions can be made.
WSD/mm 0.48 0.47 0.42 0.49 0.67 (1)The CeO2 nanoparticles as additives in lubricating oils can
improve base oil’s tribological properties of anti-wear㧘friction
Ǵ 0.1098 0.1089 0.1008 0.1119 0.12
reduction and load-bearing capacity. The optimum additives
concentration of CeO2 nanoparticles is about 0.6%.
2.3 SEM AND AFM STUDIES (2)The suitable surfactants selection and surface modification
of CeO2 nanoparticles have direct effect on the dispersion and
stability of CeO2 nanoparticles in the lubricating oils.
(3)With the mechanism of the “miniature bearing”㧘polishing
and fill-in of CeO2 naoparticles in worn surfaces, CeO2
naoparticles in lubricating oils take effect on enhancing of the
anti-wear㧘friction reduction and load-bearing capacity.

ACKNOWLEDGEMENTS
The authors here sincerely thank the support from the
Shanghai Science and Technology Committee and the
Fig.3 SEM morphology of wear scars of base oil Shanghai Education Committe for this research㧘and gratitude
also goes to the National Microanalysis Center of Fudan
University and Shanghai Huaming High Science and
Technology Company㧚
REFERENCES
[1]GAO Jieming㧘ZHOU Hongping㧘LIU Zhinong㧘ZHOU
Shijie㧘YI Jin㧘2002㧘ĀProgress in study of nanometer
powders of rare earth compoundsˈāMaterials review㧘
16(11)ˈpp.39-43㧚
Fig.4 SEM morphology of wear scars of oil [2]GUO Yun㧘LU Guanzhong㧘2007㧘 ĀCurrent status and some
with CeO2 nanoparticles perspectives of rare earth catalytic materialsˈāJournal of
the chinese rare earth society㧘25(1)ˈpp.1-6㧚
[3]HUANG Xiaohua㧘ZHOU Qing㧘ZHANG Guangsheng㧘
2005㧘ĀAdvances on rare earth application in pollution
ecologyˈāJournal of rare earths㧘23(1)ˈpp.5-10㧚
[4]WANG Ling㧘CHENG Xianghu㧘2006㧘ĀPreparation and
tribological investigation of rare earth nanofilm on
single-crystal silicon substrate ls㧘āJournal of rare earths㧘
24(1)ˈpp.44-49㧚
[5]JIANG Song㧘WEI Yunlong㧘CHENG Xiyun㧘CHEN
Boshui 㧘 2005 㧘Ā Tribological performance and
tribochemical mechanism of lanthanum
dialkyldithiophosphateˈ āJournal of rare earthsˈ
23(1)ˈpp.20-25㧚
(The whole paper will be supplied by the authors if reader
Fig.5 AFM morphology of wear surface of base oil
needs it.)

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Study on Wear Model for Piston Ring and Strengthened Cylinder Wall of Engine
Jianmin Sun1, Haiqiao Wei2
1 Beijing University of Civil Engineering and Architecture, Beijing 100044, China
2 Tianjin University, Tianjin 300072, China
ABSTRACT
Ni-P electroless plating is applied to repairing engine
cylinder is advanced. For practical operation conditions of
engine cylinder, piston speed and lateral pressure to cylinder
wall are determined as experimental factors, and abrasion
value of cylinder is set as wear resistance target. According to
load and speed on 1mm~8mm below top dead center of
cylinder in expansion stroke, the ranges of experimental
parameters are chosen. Based on the quadratic regression
rotation combination method, wear resistance experiment of
hardening material is designed. The wear mathematic models
of Ni-P electroless plating is established, and three-
dimensional curved surfaces for load-speed-wearing value are
drawn. The results show that the Ni-P electrolessl plating is fit
for the operating condition of cylinder, and can increase
relative wear resistance of cylinder by 5 times. By analysis of
wear mechanisms of hardening material and wear resistance,
the material is perfect for hardening engine cylinder wall.
Keywords: Ni-P Electroless Plating, Wear Mechanism,
Engine Cylinder, Regression Rotation Design
INTRODUCTION
Corrosion and wear of engine cylinder wall is serious, and
the cylinder is a most heavy wear part of engine. Its attrition
rate is an important mark that determines if the engine is in the
big repair. So it has higher demand for surface treatment and
surface repairing.
Cylinder liner and piston ring are a pair of mated parts
which run in high temperature, high pressure, alternate load
and corrosive condition. For long term, they run in complex
and alternate condition. As a result, the wear and distortion of
cylinder liner affect seriously on power performance, fuel
economy and durability [1-2]. Based on the modern surface
hardening technology, by analysis of reasons and rules of
cylinder wear, proper cylinder surface hardening methods are
put forward.
For high performance engine, the materials and surface
processing technology of cylinder liner have been improved.
It’s very active to research the surface hardening technology
and increase the slide characteristic of cylinder liner surface
[3-4]. Surface hardening technologies of cylinder liner include
nitride hardening, phosphorus hardening, thermal spraying,
chromium plating, electroless nickel plating, composite plating,
surface laser hardening and so on. It’s an efficient way to
improve the wear resistance of engine cylinder wall by the
modern surface hardening technology.
SURFACE HARDENING TECHNOLOGY AND
PREPARATION OF TEST PARTS
Surface hardening technology can attain special component,
structure and surface performance with a variety of physical,
chemical, electrochemic, mechanical or electronic technology,
and meet special requests of parts. According to different kinds
of failure forms and mechanisms, a variety of surface
hardening technology are synthetically applied to repair and
maintenance of automobile, such as antisepsis, wear resistance,
756
finish of part surface or special characters of part surface in
manufacture industry and repair industry [5-8]. It’s very
importance to increase service life and reliability of parts,
improve repair quality of mechanical equipment and save
material, energy, bankroll and so on.
Surface Hardening Treatment Technology
The surface hardening technology is divided basically into
three kinds, surface material structure change hardening,
surface material component change hardening and surface
material deposition hardening.
Surface material structure change hardening is a kind of
metal microstructure process, which happens in hardening
surface layer, but neither by pervading any elements for
surface component change nor by adding any materials for
apparent surface size change.
If the component of surface layer is changed, it is called the
surface material component change hardening. In the course of
hardening, the element different from base metal is infiltrated
into base metal with solid diffusion, and change chemistry
composition of surface layer of base metal to bring compound
and solid solution on parts surface different from metal base
structure.
Surface material deposition hardening is to reform
microstructure of surface layer or deposition material different
from metal base, in order to obtain surface layer with high
strength, wear resistance and corrosion resistance. This kind of
hardening technology mainly includes surface metallurgy
hardening and surface film hardening. Surface metallurgy
hardening usually applies heating treatment process with high
power density and high speed to melt metal or alloy plating on
the surface, then solidify with fast cooling in order to gain
hardening layer. Surface film hardening is to plate the surface
film different from base material with physical or chemical
methods, and form wear-proof film or corrosion-proof film.
The key problem of surface film hardening is how to improve
the binding force of surface film and base.
Electroplating and electroless plating are important method
to increase wear resistance and corrosion resistance of the parts.
Lately, researchers gradually pay attention to electroless
phosphorus plating, since electroless nickel plating has unusual
merits. Especially nickel-phosphorus electroless plating is
applied in repair of automobile parts, its wear resistance and
corrosion resistance is obvious.
Prepare of Test Parts
For researching wear mechanisms of engine cylinder
hardening materials, the surface hardening technology is
analyzed. Ni-P electroless plating layer is a homogeneous
amorphous material, and has better self-lubrication. By 400ć
and an hour heat treatment, the hardness of electroless nickel
plating layer can reach 1100HV. In addition, change of its
hardness isnÿt obvious from room temperature to 400ć.
By the wear experiment of electroless nickel plating, wear
mechanisms of cylinder hardening materials are studied and
surface hardening technology of engine cylinder is analyzed.
Since engine cylinder is made commonly of high phosphorus
 Study on Wear Model for Piston Ring and Strengthened Cylinder Wall of Engine

cast iron, high phosphorus cast iron is acted as the contrast
material.
REGRESSION ROTATION EXPERIMENT DESIGN
METHOD
The choice of the experiment method is a key of scientific
research, especially researche with multifactor and multilevel
[9]. The regression rotation experiment design method has
better application in the internal combustion engine experiment.
The points with the equal distance to experiment center have
the same variance [10], namely experimental forecast values
that are distributed on the same spherical surface have the
same variance. This is called rotation. On the one hand, the
regression rotation design basically remains the merits of the
orthogonal regression design, such as less experiment number,
simple calculation, and partly eliminating pertinence among
regression coefficients. On the other hand, it can make the
quadratic design have the rotation. This is helpful to avoid the
predicted value variance to depend on the experiment point
position in factor space of the regression orthogonality design.
Conditions of Rotation Experiment Design
In general p dimensions d degrees regression equation, the
general element statement in coefficient matrix A of normal
equation corresponding to regression equation is
n
needs to solve contrary matrix A1 [10]. Then A + 0 . Namely,
parameter 2 and 4 must meet
4 p
+ (6)
2 p  2
Therefore, the instance must be avoided in the regression
rotation design. It is called the non-degeneration condition of
the quadratic regression rotation design.
The only condition that the equal sign in formula (6) come
into existence is that n experiment points are on the same
sphere. Namely, as long as n experiment points are not on
the same sphere, it is possible to attain the quadratic regression
rotation design project.
In the central combine design project, n experimental
points are distributed on three spheres with different radiuses.
So mc experiment points are on the sphere of the
radius 3 c  p . 2 p experiment points are on the sphere of
the radius 3r  r ;. mo experiment points ˄central point˅
are distributed on the sphere of the radius 3o  0 .
Thus the experiment design can’t cause the degeneration of
coefficient matrix A.
Parameter Determination of Quadratic Rotation Design

(x
ap
x "x
a1 a 2
i1 i 2 ip    (1) To make the experimental design meet rotation condition,
i 1
central combination design demands
Where, the exponent a1 , a2 ,", a p respectively takes r 4  mc    (7)
non-negative integer, such as 0,1,2 " 2 d etc, and must meet It is obvious that if p  2 , then mc  4 , so r  1.414 .

0 F a1  a 2  "  a p F 2d    (2) If the design has not only the rotation, but also the
orthogonality or approximate orthogonality, the elements of
To the regression rotation condition, the elements in the non diagonal in the coefficient matrix must be zeros, namely
coefficient matrix A should be
g  (1  h / n) 2 mc  4(r 2  n / m)( h / n) (8)
K p  (  h / n ) 2 ( n  m c  4)
H nGai! where, h  mc  2r 2 .
n HHa i1 all ai are even integer or zero
(
a
xia11 xia22 "xipp J n/2 p ai In formula (8), mc is given, now r has been determined,
i1 H 2 G (
i1 2
)! (3)
H and n  mc  2 p  m . Thus g only is a function about mo ,
HI0 one ai is odd integer at least
when g  0 , mo can be solved. If the received mo is integer,
Where, n üexperiment number the design is the orthogonal rotation design. If the received
mo is not integer, mo takes proximal integer. Then the design
a ücoefficient, a  a1  a2  " a p
is the approximate orthogonal rotation design. For example,
a üundetermined coefficient, subscript a must be p  2 , mc  4 , r  1.414 , r 2  2 , n  g  mo , then by
even integer, and 0  1 the formula (8),
To the quadratic regression rotation design, coefficient mc2 4mc 2 4 4
matrix A in formula (2) meets g  mc   r  r 0
n n n
    0 F a1  a 2  "  a p F 4   (4) The results are n  16 and mo  8 . So this is an orthogonal
And a1 , a2 ,", a p must all be even integers or zeros. rotation design.
There are several instances as below: Thus, based on parameters r , mo , mc and the
n combination experiment method, the orthogonal rotation
(x
i 1
2
ij  2 n i, j  1,2," , p
(5)
experiment project with two factors can be determined.

n n j+k WEAR EXPERIMENTAL DESIGN ON CYLINDER

(x
i 1
4
ij  3( xij2 xik2  3 4 n
i 1 j , k  1,2," , p HARDENING MATERIALS
The grinding wheel of the wear test bed is made of 45 steel,
Where, 2 and 4 can be determined by real design. and its working surface is plated chromium to ensure that it is
To calculate the least square evaluation of regression identical with the chrome plated piston ring.
coefficient in quadratic regression equation, coefficient matrix Due to wide speed range in the experiment, wear test bed is

757
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

designed. Its features are high rotation speed, stepless speed coefficient formulas of the quadratic orthogonal rotation
regulation and there is no resonance phenomenon in the whole regression equations. With programming computing, the
speed range. mathematical models on where the friction losses of high
phosphorus cast iron and electroless nickel plating, change
with respect to the load and speed based on the engine running
Wear Experiment Method condition are shown as below.
With regression rotation experiment design method, the yˆ  38.23  1.48 x1  4.88 x 2  0.27 x1 x 2 (9)
points of which are equidistant from experiment center have  1.07 x12  0.03 x 22
the same variance, namely the experimental forecast values
which are distributed on the same spherical surface have the yˆ  15.99  3.66 x1  0.91x 2  0.13x1 x2 (10)
same variance. The regression rotation design not only has less  0.29x12  0.02x 22
experiment number and sample calculation, but also can partly To check the validity of these equations, it needs make the
eliminate pertinence among regression coefficients. Because statistical significance test, namely F test.
the design is rotational, it is overcome that the predicted value
variance depends on experiment point position on factor space mean square of lack of fit ;
in regression orthogonality design. F1 
mean square of error
Since the regression rotation design can overcome the
shortages of orthogonal design and decrease experiment mean square of regression
numbers, it is chosen as the experiment design method in the F2 
wear mechanisms research of engine cylinder.
mean square of residue

Wear Experiment Factors
The main reasons affecting the wear of the engine cylinder
are load, speed and temperature etc. The condition of load and
speed affects obviously on the stress state of cylinder and
cause severe wear of engine cylinder [11-12]. The relative
speed and pressure between piston ring and cylinder wall are
determined as main wear factors of engine cylinder, and
abrasion value of cylinder is chosen as wear resistance target.
In order that the wear experiment of hardening plating is
close to the worst conditions of the engine cylinder, according
to the wear rule of the engine cylinder and the relative speed
and pressure between piston ring and cylinder wall on
1mm~8mm below top dead center of cylinder in expansion
stroke, the ranges of experimental parameters are chosen. By
analysis and calculation on construction and operating
performance of TOYOTA 12R engine, the speed and pressure
range between the top piston ring and cylinder wall of piston
ring relative to cylinder wall is determined. In addition,
according to the size of the grinding wheel, the application
range of the force is 14.7N~42.1N, and the application speed
range takes 1500 r/min ~4000 r/min.
Wear Experiment Project
Based on the factor code table of the quadratic regression
rotation design, the experiment project is established, shown in
table 1. In the table, x1 is the code value of the load P, x2 is the
code value of the speed V. The distance of the wear experiment
is 200m. So the operating time is different at the different wear
experiment level.
j is defined.
j j 
The value F1 is used to show if there is other factors have
notable effect on the test target besides test factors. If the result
is notable, it needs check the reasons and change quadratic
regression model. The value F2 is used to show the
significance on fitting degree between test factors and
regression equation. The F test results of regression equation
are shown in table 1.
Table 1 F Test Results of Regression Equation
Test Index
F1 F2
Material
High Phosphorus Cast Iron 3.16 41.82
Electroless Nickel Plating 1.17 26.23
Note: F critical value, F1= F0.05=4.35, F2=F0.01=6.64
The F1 values of the materials all are smaller than F1
critical values. This shows that the fitting error compared with
experimental error is quite small. The F2 values of the
materials are bigger than F2 critical values. This shows that
the quadratic regression model has perfect fitting.
Analysis of Factor Contribution Rate
According to the variance ratio of each regression
coefficient in the model equations, F( j ), F( i j ) and F( j j ),
the influence degree of different factors to index can be
calculated. The factor contribution rate
1
2
(  ij   jj (11)

EXPERIMENT RESULTS AND ANALYSIS

whereˈ KH0 F F1
Under simulating engine running condition, the electroless  J
nickel plating is used in experiment research on wear HI1  1 F F &1
resistance and wear mechanisms. By the orthogonal regression
rotation experiment design method, the mathematic models  j üsimple contribution rate of factor j;
about friction and wear of hardening material are determined.  ij ümutual contribution rate, caused by corporate rate of
With the experiment project, the worn experiment parts
must be washed, dried, and weighed three times. Then weight factor j with one of other factors;
loss of every experiment part under the various levels is  jj üquadratic contribution rate of factor j .
measured. By statistical calculation, the factor contribution rates of
Check of Test Factors and Regression Equation the load and speed to the wear resistance of materials are listed
in table 2.
The test results are substituted in the various regression

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 Study on Wear Model for Piston Ring and Strengthened Cylinder Wall of Engine
Table 2 Factor Contribution Rate
Factors
x1
Materials
High Phosphorus Cast Iron 1.81
Electroless Nickel Plating 2.35
In contribution rates of the load and speed to the abrasion
loss of high phosphorus cast iron, the effect of the load is
greater, and the speed has less effect. Namely when engine run
normally and piston ring arrives top dead center in expansion
stroke, the load reaches maximum value and abrasion loss also
is maximum. This is accordant with practical wear of engine. It
is obviously that this kind of material has worse wear
resistance in worst operating condition of engine.
To the electroless nickel plating, the results show that the
load has greater effect on the abrasion loss than the speed. The
material wear is accordant with general wear rule. Especially
in course of test, the plating layer shows fine self-lubricating
characteristic. One of main reasons, why abrasion loss at top
dead center of engine cylinder is maximum, is bad lubricating
condition. Then the electroless nickel plating with
self-lubricating characteristic will help to solve this problem.
Wear Mechanism Analysis of Hardening Material
With the equations (9)~(10), the three-dimensional surfaces
of the load-speed-abrasion loss of hardening material is drawn,
as shown in fig.1~ fig.2. According to the three-dimensional of
wear loss, the relations between the relative speed and pressure
of piston ring and cylinder wall and wear loss of materials are
analyzed synthetically.
(1) High Phosphorus Cast Iron
As shown in fig.1, when high phosphorus cast iron is
mated with chromium plating material, the curved surface of
the material abrasion loss is flatter near top dead center in
expansion stroke. The load effect on the abrasion loss is
approximate twice than the speed. It shows that the load effect
on the abrasion loss of this material is obvious. The change of
the abrasion loss with respect to the speed always straightly
keeps increase. So the quadratic effect of the speed is
unimportance. Therefore, with change trend of 3D curved
surface, friction performance of high phosphorus cast iron is
perfect in the test range. Namely, in the test range
Wear loss (mg)
Pressure (MPa) Speed (m/s)
Fig.1 Load-speed-abrasion loss relation of high phosphorus cast iron
corresponding to the load and speed of engine cylinder
working condition, the change of its abrasion loss is less.
x2 Because its abrasion loss changes smoothly, it ensures not to
cause severe partial wear on cylinder wall. But the whole
0.98 abrasion loss is greater. It is inevitable that the whole wear
1.32 resistance of cylinder liner is not perfect.
(2) Electroless Nickel Plating
Under test conditions, the wear rule, that electroless nickel
plating layer is mated with chromium plating layer, is shown in
fig.2. It is very small and approximately remains
invariableness level that the speed effects on abrasion loss.
This explains that the two kinds of materials have a good
match. The load effect on abrasion loss is relatively greater
than the speed. With the increase of load, abrasion loss only
slowly rises. Thereby, in the most severe wear area of cylinder
liner, the change scope of abrasion loss of electroless nickel
plating layer is very little and smooth. This is very perfect to
improve wear resistance of engine cylinder liner. At the same
time, electroless nickel plating layer still has excellent
performance of adhere wear resistance. So it is quite perfect
hardening material for engine cylinder liner.
.
CONCLUSION
The cylinder liner and piston ring is considered as a whole
friction system. Based on experimental research and theoretic
analysis, the wear mechanisms and wear resistance of
hardening material of engine cylinder are studied.
According to general regression rotation design conditions,
the degeneration-proof of quadratic rotation design with two
factors is discussed, and experiment design parameters are
determined.
Based on the quadratic orthogonal rotation regression
experiment method, the wear experiment of hardening cylinder
liner and piston ring is designed. The wear mechanisms of high
phosphorus cast iron and electroless nickel plating are
approach. According to the wear experiment results of the
hardening material, the wear mathematical models which
abrasion losses change with respect to load and speed are
established.
For the quadratic regression mathematical model that
abrasion losses change with respect to load and speed, it shows
that the two factors are the main factors. By significance test,
Wear loss (mg)
Pressure (MPa) Speed (m/s)
Fig.2 Load-speed-abrasion loss relation of electroless nickel plating
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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
the quadratic regression mathematical model fit better.
In the most severe wear area of cylinder liner, abrasion loss
of electroless nickel plating material changes very small and
smooth. This is perfect for hardening cylinder liner wall of
engine.
ACKNOWLEDGEMENTS
The correspondence author is Haiqiao Wei. This work is
supported by the science and technology development program
of Beijing municipal commission of education.
REFERENCES
[1] Dearnley P.A., Kern E.; Dahm K.L., 2005, “Wear response
of crystalline nanocomposite and glassy Al2O3-SiC
coatings subjected to simulated piston ring/cylinder wall
tests,” Proceedings of the Institution of Mechanical
Engineers, Part L: Journal of Materials: Design and
Applications, vol. 219, no. 2, pp. 121-137.
[2] Xu Fangda, Zhang Yongkang, 2001, “New technologies
for improving wear-resistant properties of cylinder bore by
laser-strengthening,” Journal of Jiangsu University of
Technology Science and Technology (Science and
Technology Edition), vol. 23, no. 2, pp. 18-21.
[3] Chen Fengbin, Bi Rui, 2001, “New laser-strengthening
technologies for improving wearability of the engine
piston ring,” Journal of Jiangsu University of Technology
Science and Technology (Science and Technology Edition),
vol. 23, no. 2, pp. 22-25.
[4] Takaoka Katsuya, Hirota Ken, Kato Masaki, et al, 2006,
“Fabrication of meta-stable monoclinic zirconia ceramics
with a high density using a piston-cylinder type
760
high-pressure apparatus,” Journal of the Society of
Materials Science, vol. 55, no. 3, pp. 258-263.
[5] Xue Shaoping, Yan Qinlao, 2001, “Test study on shallow
surface layer of diesel engine cylinder liner with
bidirectional rotation laser hardening technique,”
Transactions of the Chinese Society of Agricultural
Machinery, vol. 32, no. 6, pp. 117-118.
[6] Tian Bin, Yue Wen, Zheng Xian, et al, 2006, “Effect of
cermet additive on nitriding and chromeplating cylinder
liners,” Lubrication Engineering, no. 6, pp. 74-77+80.
[7] Hwang Jong-Hyun, Han Myoung-Seoup, Kim Dae-Young;
2006, “Tribological behavior of plasma spray coatings for
marine diesel engine piston ring and cylinder liner,”
Journal of Materials Engineering and Performance, vol.
15, no. 3, pp. 328-335.
[8] Wang Yu, Ma Wenyan, 2000, “Study on wear resistance
and reliability of engine cylinder liner,” Automobile
Technology, no. 8, pp. 24-26.
[9] Cui Hongzhi, 2000, “Cylinder liner quenching hardening
with digital controlled plasma technique,” Materials for
Mechanical Engineering, vol. 24, no. 4, pp. 50-51.
[10] Xu Zhongru, Optimum Regression Design of Agriculture
Experiment, Harbin city, China: Heilongjiang science and
technology press, 1988.
[11] Hu Zehao, Liu Changxheng, 2002, “Matching in materials,
tolerance and surface hardening process of cylinder and
piston (ĉ),” Internal Combustion Engine, no. 3, pp.16-18.
[12] Hu Zehao, Liu Changxheng, 2002, “Matching in materials,
tolerance and surface hardening process of cylinder and
piston (Ċ),” Internal Combustion Engine, no. 4, pp. 14-16.
 State of the Art in Laser Surface Texturing
State of the Art in Laser Surface Texturing
Izhak Etsion
Dept. of Mechanical Engineering Technion, Haifa 32000
Israel
etsion@technion.ac.il
(Extended Abstract)
ABSTRACT
Surface texturing has emerged in the last decade as a viable
option of surface engineering resulting in significant
improvement in load capacity, wear resistance, friction
coefficient etc. of tribological mechanical components. Various
techniques can be employed for surface texturing but Laser
Surface Texturing (LST) is probably the most advanced so far.
LST produces a very large number of micro-dimples on the
surface and each of these micro- dimples can serve either as a
micro-hydrodynamic bearing in cases of full or mixed
lubrication, a micro-reservoir for lubricant in cases of starved
lubrication conditions, or a micro-trap for wear debris in either
lubricated or dry sliding. The paper reviews the current effort
being made world wide on laser surface texturing in particular.
It presents the state of the art in LST and the potential of this
technology in various lubricated applications like mechanical
seals, piston rings, thrust bearings, magnetic recording etc. The
paper also describes some fundamental on-going research
around the world with LST.
Keywords: Tribology, Friction, Surface texturing
INTRODUCTION
Surface texturing as a means for enhancing tribological
properties of mechanical components is well known for many
years. Perhaps the most familiar and earliest commercial
application of surface texturing is that of cylinder liner honing.
Today surfaces of modern magnetic storage devices are
commonly textured and surface texturing is also considered as
a means for overcoming adhesion and stiction in MEMS
devices. Fundamental research work on various forms and
shapes of surface texturing for tribological applications is
carried out worldwide and various texturing techniques are
employed in these studies including machining, ion beam
texturing, etching techniques and laser texturing. Of all the
practical micro-surface patterning methods it seems that laser
surface texturing (LST) offers the most promising concept.
Fig. 1 LST regular micro-surface structure in the form of
micro-dimples
761
This is because the laser is extremely fast and allows short
processing times, it is clean to the environment and provides
excellent control of the shape and size of the texture, which
allows realization of optimum designs. By controlling energy
density, the laser can safely process hardened steels, ceramics,
and polymers as well as crystalline structures. Indeed, LST is
starting to gain more and more attention in the Tribology
community as is evident from the growing number of
publications on this subject. LST produces a very large number
of micro-dimples on the surface (see Fig. 1) and each of these
micro-dimples can serve either as a micro-hydrodynamic
bearing in cases of full or mixed lubrication, a micro-reservoir
for lubricant in cases of starved lubrication conditions, or a
micro-trap for wear debris in either lubricated or dry sliding.
The pioneering work on LST started at Technion in Israel
as early as 1996 [1, 2]. At about the same time work on laser
surface texturing was done in Germany but unfortunately, most
of it is published in the German language and hence, is not
even referenced in English archive journals. A few exceptions
are papers coming from the group lead by Geiger at the
University of Erlangen-Nuremberg e.g. [3, 4]. This group uses
an eximer laser with a mask projection technique, a mask is
illuminated with the laser beam and its geometrical
information is projected onto the textured surface. This method
was applied to a punch, used in a backward cup extrusion
process for the production of rivets, and showed a substantial
increase of up to 169% in cold forging tool life. These as well
as many other papers on LST are described in a review of the
state of the art of LST covering this subject until 2005 [5].
Laser surface texturing has been used in the magnetic storage
industry [6, 7] mainly to prevent stiction during start up. This
issue will not be dealt with in the present review. Instead, the
potential of LST in enhancing Tribological performance during
continuous operation will be described.
STATE OF THE ART
The evolution of research works on surface texturing, and
mainly on LST, over the last decade is presented in Fig. 2.
Publication Numbers
25
20
15
10
0
96
97
98
99
00
01
02
03
04
05
06
07
19
19
19
19
20
20
20
20
20
20
20
20
Fig. 2 Surface texturing research evolution
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

As can be seen an exponential growth in number of operating conditions. The micro-dimples produced on the
publications took place since 2003. In the three years from surface by a pulsating laser beam can act as
2005 through 2007 alone some 50 papers were published on micro-hydrodynamic bearings in cases of full or mixed
this subject, in the English literature, by researchers coming lubrication with either incompressible or compressible
from many countries all over the world as can be seen from Fig. 3. lubricants. These dimples can serve as micro-reservoirs for
lubricant in cases of starved lubrication conditions, in EHL,
14 and for solid lubricants, and they can also provide micro-traps
12 for wear debris in either lubricated or dry sliding. Many
10 theoretical and experimental studies on surface texturing were
8 performed by a large number of researchers with various types
6 of texturing geometries and with different texturing
4 technologies. These researchers come from many countries
2 around the world as shown in Fig. 3. The figure presents the
0 distribution of researchers by countries of origin and references
corresponding to work done in the period from 2005 through
th an
G ny
a

Po d
Fi lic

el

Tu nd
ge ia

G nce

Sw nd
itz en
pu l

ey

A
Fr d

UK
Re zi

n
in

ec
an

US
Ar ger

ra
b

a
h Bra

Ne ap

la

la
rk
la
Sw ed
nt

m
a

Is
re
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er

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2007. In almost all these studies surface texturing showed a

J
Al

er

beneficial effect on the tribological performance. Some of the

ec
Cz

experimental studies involve limited trial and error approach

Fig. 3 Distribution by countries of Surface Texturing published
research (2005-2007)
This large volume of research (which is even larger
considering the non-English published literature) deals with a
variety of aspects from theoretical modeling through a number
of applications. Issues like the validity of the Reynolds
equation for solving LST hydrodynamic and hydrostatic effects,
the optimization of texture geometries, modeling with a large
number of dimples, and non-conforming contact solutions for
EHL problems, are some examples of the theoretical works.
The applications include:
which not always was able to produce the expected benefit. On
the other hand whenever a thorough theoretical modeling was
performed with extensive parametric analysis to optimize the
texturing geometry, success during following experiments was
inevitable. Of all the various technologies used for surface
texturing like, for example, machining, embossing, ion beam
texturing, etching etc the LST is probably the most advanced
so far. It is friendly to the environment, can be used on almost
any material, is very precise and can be incorporated in
production lines for fast processing. LST is finding its way into
different applications and will probably become a widely
accepted technology of surface engineering.

Automotive
• piston rings REFERENCES
• cylinder liner [1] Etsion, I. and Burstein, L. 1996, "A Model for Mechanical
• piston pin Seals with Regular Microsurface Structure," Tribology
• disk brakes Transactions, 39, pp. 677-683.
[2] Etsion, I., Halperin G., and Greenberg, Y. 1997, "Increasing
Bearings and Seals Mechanical Seal Life with Laser-Textured Seal Faces,"
• thrust bearings Proc. 15th Int. Conf. on Fluid Sealing, BHR Group,
• air bearing sliders Maastricht, pp. 3-11.
• journal bearings [3] Geiger, M., Roth, S., and Becker, W. 1998, "Influence of
• mechanical face seals Laser-Produced Microstructures on the Tribological
• gas seals Behavior of Ceramics," Surface and Coatings Technology,
100-101, pp. 17-22.
Elasto-hydrodynamic Lubrication [4] Geiger, M., Popp, U., and Engel, U. 2002, "Eximer Laser
Micro Texturing of Cold Forging Tool Surface- Influence
Magnetic Storage on Tool Life," Annals of the CIRP, 51, pp. 231-234.
• hard disk sliders [5] Etsion, I. 2005, "State of the Art in Laser Surface
Texturing," J. of Tribology Trans. ASME, 127, pp.
• magnetic tapes
248-253.
[6] Ranjan, R., Lambeth, D.N., Tromel, M., Goglia, P., and Li,
Miscellaneous
Y. 1991, "Laser Texturing for Low-Flying-Height Media,"
• machine tools guideways
J. of Applied Physics, 69, pp. 5745-5747.
• hydraulic motors [7] Zhou, L., Kato, K., Vurens, G., and Talke, F.E. 2003, "The
• reservoirs for solid lubricant Effect of Slider Surface Texture on Flyability and
SUMARRY Lubricant Migration under Near Contact Conditions,"
Tribology Int., 36, pp. 269-277.
A review of surface texturing, and more specifically laser
surface texturing (LST), has revealed the potential of this
technology in improving tribological performance of various (The whole paper will be supplied by the authors if reader
mechanical components over a wide range of different needs it.)

762
 La2O3 Effect on Microstructure, Mechanical and Tribological Properties of Ni-W Coatings
La2O3 Effect on Microstructure, Mechanical and Tribological Properties of Ni-W Coatings
Baolei Han (State Key Laboratory of Tribology, Tsinghua University, Beijing, 100084, China)
Xinchun Lu (State Key Laboratory of Tribology, Tsinghua University, Beijing, 100084, China)
Extended Abstract
In this work, a Ni-W-La2O3 composite coating was prepared
by electrodeposition method. Microhardness tester and
environmental scanning electron microscope equipped energy
dispersive spectroscopy were employed to investigate the
microhardness and the surface morphology of the composite
coatings respectively, and the high temperature friction
behavior and corrosion resistance of the coatings against
molten glass were investigated by using a high temperature
tribometer. The results show that La2O3 can refine the
microstructure effectively, and make the element distribution
uniform, which leads to the increase of average microhardness.
La2O3 particulates decrease the friction coefficient from
nearly 0.48 to about 0.22 during the composite coatings sliding
against the molten glass at about 973 K, and also decrease the
variation of the friction coefficient value remarkably.
Furthermore, La2O3 particulates can improve the corrosion
resistance of the Ni–W alloy at high temperature effectively,
and the mechanism of anti-friction and anti-corrosion is also
discussed.
Keywords: Rare earth oxide; Ni-W- La2O3; Composite coating;
High temperature tribological properties
INTRODUCTION
Many molding dies and forming tools are used in a terrible
condition. The working surfaces of these tools are exposed to
the chemical active environment and also subjected to
mechanical and thermal cyclic operations at high temperature
(up to 800 K). These severe conditions require the surface of
the dies to be self-lubricating and corrosion resistant [1]. In
glass precision molding, the frictional behavior of molten glass
as a special phase with a solid surface counterpart is very
complex, so the study on the coatings against molten glass
focuses on the wettability of coatins, but few people
investigated the frictional behavior of coatings to molten glass.
[1,2]
Electrodeposited composite coatings show a significant
improvement on material’s properties, such as microhardness,
wear resistance, or corrosion resistance, as compared to the
pure metal coatings [2,3]. La2O3 particles, which are used as
filler, can give good friction and wear-reducing properties for
the polytetrafluoroethylene-based composites [4] and can
largely improve the tribological properties at high-temperature .
Therefore, in this study, Ni-W coatings with different amounts
of La2O3 were prepared using composite plating, and the high
temperature tribological and corrosion resistance performances
of the coatings against molten glass were also investigated.
1. Experimental procedure
Ni-W-La2O3 composite coatings were electrodeposited from a
suspension of La2O3 particles in a Ni-W electrolyte. The
composition of the plating bath was: 33 g/L Na2WO4·2H2O, 25
g/L Ni(NH2SO3)2, 72.5 g/L (NH4)3C6H5O7·H2O. The La2O3
particles were added to the solution from 20 to 80 g/L. The
average size of the La2O3 particles (purity>99.99%) was
estimated to be less than 3 um as illustrated in Fig. 1.
The electroplating parameters were cathode current density 5
A/dm2, stirring rate of 800 rpm, PH 7~7.5, bath temperature
65 ć, plating time 40min. After composite plating, the sample
763
Fig. 1 SEM micrographs of the La2O3 particles
was polished by using an UNIPOL-150L Precision
Lapping/Polishing Machine, and the surface roughness (Ra) of
the coatings changed from 0.7~0.5 to 0.3. The thickness of the
coatings is about 16 um. The chemical composition of seven
sample groups is shown in Table 1.
Table 1 Chemical composition of coatings
Sample groups Chemical composition
0# Substrate-stainless steel
1# Ni-W
2# Ni-W doped with 2.5̚3.5% La2O3 coating
3# Ni-W doped with 4.5̚5.5% La2O3 coating
4# Ni-W doped with 6.5̚7.5% La2O3 coating
5# Ni-W doped with 8.5̚9.5% La2O3 coating
6# Ni-W doped with 10.5̚11.5% La2O3 coating
7# Ni-W doped with 12.5̚13.5% La2O3 coating
Surface morphology of coatings before and after high
temperature test against molten glass was examined by an
environmental scanning electron microscopy (ESEM, FEI,
Quanta 200 FEG, Netherlands) with X-ray energy disperse
spectroscopy (EDS) to determine the composition of the
composite coatings. Microhardness measurements were done
using a Vickers indenter (DM-400, LECO, USA) under a load
of 200 g with the duration of 15 s. The friction tests were
carried out by using a self-developed high temperature
tribometer, as illustrated in Fig. 2, and the high temperature
corrosion tests between coatings and molten glass were
completed by this tribometer, too.
Fig.2 Schematic diagram of high temperature tribometer
2. Results and discussion
2.1 surface morphology and composition
Fig. 3 (a) and (b) show the surface SEM micrographs of the
Ni-W-La2O3 (4#) and the Ni-W (1#) coatings. It is observed
that the matrix microstructure of the 4# coating with rare earth
is smoother, finer and more compact than that of undoped the
1# coating. Fig. 3 (c) and (d) show the SEM micrographs of
sectioned surface of the Ni-W-La2O3 (4#) and the EDS
spectrum of the Ni-W-La2O3 coating (4#) after being polished.
It is observed that the La2O3 particles distribute uniformly in
the Ni-W matrix, and the microstructure of the Ni-W-La2O3 is
dense, compact and less porous. The EDS spectrum shows the
composition of the composite coating.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Fig. 3 SEM micrographs and the EDS spectrum of coatings
2.2 microhardness
Fig. 4 shows the relationship between the microhardness of the
Ni-W-La2O3 composite coatings and the content of
co-deposited La2O3 in the coatings. It is seen that the
Ni-W-La2O3 composite coating (752 Hv for 6.5~7.5% La2O3)
has a much larger microhardness than that of the Ni–W alloy
coating (587 Hv).
Fig. 4 microhardness values of different sample groups
2.3. Friction behavior against molten glass
Fig. 5 shows the friction coefficient values of sample group 0#,
1# and 4# varying with the sliding time. There are 5 repeated
tests for each coating, and it is observed that the frictional
curves are well repeated and stable during the sliding process.
Fig. 5 Friction coefficient values vary with the sliding time
Fig. 6 shows the relationship between the friction coefficient of
the Ni-W-La2O3 composite coatings and the content of
co-deposited La2O3 in the coatings. It is seen that the
Ni-W-La2O3 composite coating has a much lower friction
coefficient than that of the Ni–W alloy coating.
Fig. 6 Friction coefficient of different sample groups
2.4 High temperature corrosion tests between coatings and
molten glass
Fig. 7 shows the SEM micrographs of the coating surfaces of
sample group 1# and 4# after high temperature corrosion for 4 h.
It is observed that the coating of sample group 1# without
La2O3 particles was corroded much more seriously than the
coating of sample group 4# with La2O3 particles.
Fig. 8 shows the mass change vs. time for cyclic oxidation of
the coatings of sample group 1# and 4# at 973K for 15h cyclic
oxidation. It is observed that the mass gain of the coating of
sample group 4# was lower than that of the coating of sample
764
Fig. 7 SEM micrographs of the coating surfaces of sample group 1# and
4# after high temperature corrosion
group 1#, so it indicates that the oxidation resistance is
improved effectively as La2O3 particulates doping.
Fig. 8 Mass change vs. time for cyclic oxidation of coatings of sample
group 1# and 4# at 973K for 15h cyclic oxidation
3. Conclusions
(1)La2O3 particles refine the microstructure of the Ni-W
plating and can substantially eliminate cracking in the coating.
(2) La2O3 particulates can increase the microhardness of the
Ni-W coating remarkably from 587 Hv to about 752 Hv.
(3)La2O3 particles also can decrease the friction coefficient
from nearly 0.5 to about 0.22 during the composite coatings
sliding against molten glass at about 973K, and proper quantity
of La2O3 can decrease the fluctuation range of the friction
coefficient value. The optimized quantity is wt6.5~7.5%, the
friction coefficient is about 0.22, and the range of the friction
coefficient value varies smally.
(4) La2O3 can improve the corrosion resistance of the Ni-W
coatings effectively at high temperature.
ACKNOWLEDGEMENTS
The authors appreciate the financial support from the National
Natural Science Foundation of China (Grant No.50575121).
REFERENCES
[1] Zhong, D., Mateeva, E., Dahan, I., Moore, J.J., Mustoe,
G.G.W., Ohno, T., Disam, J., Thiel, S., 2000, “Wettability of
NiAl, Ni-Al-N, Ti-B-C, and Ti-B-C-N films by glass at high
temperatures,” Surf. Coat. Technol., 133–134, pp.8-14.
[2] Kleer,G., Kaiser, E., Döll, W., 1996, “Behaviour of Ti-Al-N
coatings for tools applied in the thermoplastic moulding of
inorganic glasses,” Surf. Coat. Technol., 79, pp.95-102.
[3] Wu, G., Li, N., Zhou, D., Mitsuo, K., 2004,
“Electrodeposited Co–Ni–Al2O3 composite coatings,” Surf.
Coat. Technol., 176, pp.157-164.
[4] Zhang, Z.Z., Xue, Q.J., Liu, W.M., Shen, W.C. 1999,
“Effect of rare earth compounds as fillers on friction and wear
behaviors of PTFE-based composites, ” J. Appl. Polym. Sci.,
72, pp.361-369.
(The whole paper will be supplied by the authors if reader
needs it.)
 A Comparative Study of Growth Process and Tribological Behavior between Single Component and Mixed Alkylsilane
Self-Assembled Molecular Films
A Comparative Study of Growth Process and Tribological Behavior between Single Component and
Mixed Alkylsilane Self-Assembled Molecular Films
X.K. Wang, Y.H. Liu*, J.B. Luo, X.C. Lu
State Key Laboratory of Tribology, Tsinghua University, Beijing 100084, China
ABSTRACT
In the present work, the growth process and tribological
properties of single component and mixed alkylsilane
self-assembled molecular films were investigated. Atomic force
microscopy (AFM) images showed that the growth process and
morphology of the single component fluorocarbon film was
different from the mixed ones which were composed of
fluorocarbon and hydrocarbon alkylsilane molecules. Contact
angle measurement showed that the water contact angles of all
the molecular films increased with the exposure time of the
silicon wafers immersed in the solution (immersion time). Due
to the gradual integrity of the molecular films, the lengths of
the error bars decreased with the increase of the immersion
time. Tribological experiments showed that the friction
coefficients of the mixed molecular films were higher than the
single component one. And the longer chain length of the
hydrocarbon alkylsilane molecules in the mixed molecular
films resulted in lower friction coefficients.
Keywords: Self-assembled molecular films; Growth
mechanisms; Tribological properties.
INTRODUCTION
Nanometer-thick films of the organic self-assembled
monolayers, which have long been used to modify the chemical
nature of surfaces, have attracted much attention as lubricants
for MEMS/NEMS devices. And much progress has been made
in understanding the structure and phase behavior of the SAMs
[1-7]. During the past decades, the long carbon chain organic
alkylsilane self-assembled monolayers have been the targets of
numerous investigations due to their special characteristics [8].
It was shown that when self-assembled on the substrates such
as Si or SiO2, the alkylsilane molecules could form complete
molecular films which were ordered, compact and
crystalline-like, and the hydrocarbon chains were even
perpendicular to the substrate [9-12]. However, the growth
mechanism of the SAMs has not got a consistent conclusion
[13-18]. The sequential growth theory [19-21] showed that
there was a liquid like, disordered molecular film was formed
at the very beginning and with the increase of the exposure
time, the more compact and ordered film was self-assembled
on the substrates. On the contrary, it has also been reported that
the sub-monolayer films were composed of incompact
molecular islands which were separated by the uncovered
surface regions, with the increase of the coverage, the islands
were shown to grow laterally and jointed into larger
agglomerates until a complete film was formed [22, 23].
Though the great progress has been made in revealing the
growth mechanism of self-assembled monolayers, little
attention was paid to show the different growth process
between hydrocarbon and fluorinated SAMs.
The wettability of a solid surface was determined by the
*Corresponding author. Tel: +86-10-6279-2449;
Fax:+86-10-62781379
E-mail address: liuyuhong@tsinghua.edu.cn
765
chemical composition and the surface structure. Therefore the
contact angle of the substrate with water should depend on the
alkylsilane molecular films which self-assembled on the
substrate, and the change of the water contact angle could be
influenced by the growth process of the molecular films.
Furthermore, the tribological properties of the surface should
be improved in that molecular films could be used to decrease
the friction. It is well known that the frictional characteristics of
molecular films could be controlled by changing the chain
length or mixing with other molecular films. It has been
reported that the friction coefficients of the single component
alkylsilane monolayers with a shorter chain length were higher
than the ones with a longer chain length [24, 25]. Xiao, et al.
[26] found that the mixed SAMs with the same terminal group
but small chain length differences could surprisingly reduce the
friction compared with the single component SAMs. Perry, et al.
[27] showed that the CF3- terminated alkanethiols mixed with
CH3- terminated alkanethiols having one fewer methylene at a
1:1 molar ratio, a measurable reduction in friction force could
be observed with respect to the friction force of the SAMs
composed of similar species with an identical chain length.
The present study aims at investigating the different growth
process and tribological properties between the single
component self-assembled molecular films made by fluorinated
alkylsilane molecules and the mixed ones made by fluorinated
and non-fluorinated alkylsilane molecules with different chain
lengths.
EXPERIMENT
Polished single crystal P-type Si (100) wafers used as the
substrates were pretreated subsequently by supersonic rinsing in
chloroform, acetone and ethanol, respectively for 5 minutes,
followed by 10 minutes supersonic rinsing in distilled water
(Milli-Q) to remove the possible contaminants. In order to get
rid of the oxides, the wafers were immersed into the hydrofluoric
acid (40%) for 30 seconds, and then rinsed thoroughly with
distilled water (Milli-Q). Subsequently, the prepared Si wafers
were immerged in the piranha solution (98% H2SO4:H2O2=7:3,
v/v) heating at a temperature of 90ºC for 30 minutes to
hydroxylate the surfaces, respectively. Besides the
hydroxylation, any organic/inorganic contaminants can also be
removed through the piranha treatment. 1H,1H,2H,2H-
Perfluorooctyltrichlorosilane (97%, ABCR Corporation) was
dissolved in anhydrous chloroform with a volume ratio of
1:1000, then the hydroxylated Si wafers were immerged in the
solution and the immersion time could be controlled. Finally, the
wafers were taken out and ultrasonically cleaned in chloroform
and acetone respectively to rid off the remnant alkylsilane
reagents. The purified wafers were dried by the nitrogen gas
with high purity and the single component SAMs (C8F) was
prepared. n-Dodecyltrichlorosilane (96%) and
n-Hexadecyltrichlorosilane (96%) were provided by Alfa Aesar
China Corporation. The preparation of the mixed SAMs of
C8F/C12 and C8F/C16 were the same as C8F, and the
concentration of the two alkylsilane reagents in the mixed
solution were equivalent, i.e., the volume ratios of the
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

alkylsilane reagents to chloroform were both 1:2000. length results in a higher water CA. Since the molecular films
The morphologies of the alkylsilane self-assembled are becoming more and more orderly and compact with the
molecular films deposited on the silicon substrates were increase of the immersion time as evidenced by the AFM
investigated by atomic force microscopy (AFM). A multimode pictures in Fig. 1, the water contact angles of all the molecular
Nanoscope V AFM (Digital Instrument, Santa Barbara, CA) films were increasing and the error bars were decreasing all
and an ambient tapping mode cantilever holder were used. along.
Commercial silicon cantilevers with resonant frequencies 281
kHz and spring constant 49.51N/m obtained from Digital
Instrument were applied in all measurements Instruments at the
room temperature of 20±1ºC, and the humidity of about 41%.
The water contact angle (CA) of the prepared films were
measured with a JC2000A (Shanghai, China) contact angle
system under ambient condition. Water droplets (about 3μL)
were dropped carefully onto the self-assembled molecular films.
The average contact angle value was obtained by measuring at
least six different positions on the sample. The tribological
experiments were carried out under ambient atmosphere with
the humidity of 42%-52%. The immersion time of the samples
for the tribological experiments was 12 hours. A ball-on-disk
Universal-Micro-Tribometer (UMT-2, CETR, rotary style) was
used to study the frictional properties of those prepared samples.
A steel ball (Ra  5nm) with a diameter of 4mm was fixed at the
top of the pin on the counterpart of the tribometer in this
experiment. There was no lubricant acted in the tribological Fig. 1 The 3D AFM images of bare Si and the alkylsilane
experiments. molecular films self-assembled on silicon surfaces at different
immersion time. (a) Bare Si, (b) C8F-1s, (c) C8F-5s, (d)
C8F-30s, (e) C8F-120s, (f) C8F/C12-1s, (g) C8F/C12-5s, (h)
RESULTS AND DISCUSSION C8F/C12-30s, (i) C8F/C12-120s, (j) C8F/C16-1s, (k)
Fig. 1 showed a series of three-dimensional AFM images of C8F/C16-5s, (l) C8F/C16-30s, (m) C8F/C16-120s
bare Si, the single component and the mixed self-assembled
molecular films at different immersion times. It could be
observed that the silicon surface was smooth and uniform.
During the whole process of silicon wafers immersed in the
alkylsilane solutions, the molecules of C8F, C8F/C12 and
C8F/C16 aggregated in the form of small islands at the very
beginning. With the increase of the immersion time, more new
islands were formed and the former islands were growing and
merging into larger agglomerates. An important phenomenon
was that the forming of C8F film was the fastest. This is
possibly due to the stronger van der Waals interaction between
the molecular chains of C8F than that of C8F/C16 or C8F/C12.
It is well known that fluorine atom has a bigger volume than
hydrogen atom; hence the mutual interactions between the
alkylsilane molecular chains could be weakened in that some
functional fluorinated group (CF3-) in C8F was substituted by
CH3- in C8F/C12 and C8F/C16. Also, it is believed that a
longer silane chain length could lead to a stronger van der
Waals interaction; therefore the molecular film of C8F/C16
grew faster than the one of C8F/C12. It should be pointed out Fig. 2 Variation in the water contact angles of the single
that the enhanced van der Waals interactions between the component and mixed self-assembled molecular films with the
alkylsilane molecular chains could result in the orderly immersion time. The volume of the water droplet was 3 μL
molecular films. Consequently, the single component C8F film
was more ordered and compact than the mixed ones of C8F/C16 The immersion time of the molecular films for the
and C8F/C12. Also, the film structure of C8F/C16 was better tribological experiments was 12 hours. The roughness and the
than C8F/C12, as evidenced by the AFM images at the structure of the molecular films could influence the frictional
immersion time of 120 seconds. properties significantly, and the AFM images of these films
Fig. 2 showed the variation of the water contact angles of the were shown in Fig. 3. Obviously, C8F has the most ordered
single component and mixed self-assembled molecular films film conformation and the lowest roughness which followed by
with the immersion time. Clearly, the water CA of C8F was C8F/C16, and this was in accordance with Fig. 1. As discussed
larger than those of C8F/C12 and C8F/C16. Probably, the CH3- above, the van der Waals interactions between the molecular
terminated functional group in C12 and C16 have a higher chains should be the leading factor for this phenomenon. As
surface tension than the CF3- group in C8F. Comparing the regards the effect of chain lengths, it could be drawn that the
water CAs of C8F /C12 and C8F/C16, it could be found that the longer chain lengths resulted in more orderly molecular films.
water contact angle has a slight dependence on the carbon chain The variation in the friction coefficients of the prepared
length of the non-fluorinated alkylsilane molecules in the mixed self-assembled molecular films was shown in Fig. 4. The
self-assembled molecular films, i.e., a longer carbon chain experiments were carried out under different normal loads

766
 A Comparative Study of Growth Process and Tribological Behavior between Single Component and Mixed Alkylsilane
Self-Assembled Molecular Films
Fig. 3 The 3D AFM images of the single component and mixed
molecular films self-assembled on silicon surfaces at an
immersion time of 12 hours
(20g, 30g and 40g). It could be observed that the varieties of
the friction coefficients with sliding time were not notable and
C8F showed the lowest friction coefficient. Because the
alkylsilane molecules with shorter chain lengths have more
gauche defect, hence the friction coefficient of C8F/C12 was
higher than that of C8F/C16.
Fig. 4 Variation in the friction coefficients of the prepared
molecular films with the sliding time. Sliding velocity is 1mm/s
767
Fig. 5 showed the variation in the average friction
coefficient of the molecular films. Due to the much more
orderly and less gauche defects of the film conformation, the
average friction coefficient of C8F was lower than that of
C8F/C12 or C8F/C16. It also could be found that the friction
coefficient had a slight dependence on the normal load, which
might correspond with the energy dissipation during the sliding
of the steel ball. Usually, the molecular films would be worn
out even failure at high applied loads, which leaded to the
rather high friction coefficient. Typical self-assembled
molecular films behave as solid films and have good mechanical
strength to bear loads. When the normal load exceeds a threshold
value, the films would be removed from the surface due to the
severe plastic deformation, thus lead to the film failure. This
might be the main reason for the poor durability of such
molecular films under repeated sliding contacts and high normal
load [28]. In light of the sliding velocity, it could be found that
high sliding velocity resulted in high friction coefficient as
shown in Fig. 5 (a) and Fig. 5 (b). The reason possibly is that as
the sliding velocity increased, the re-orientation of the molecular
films needed additional work, which leaded to an increase in the
friction force. Another possible reason was that the frictional
heat generated in the high sliding velocity resulted in the
desorption effects of the alkylsilane molecules which resulted in
the partial defections of the molecular films. Besides, high
sliding velocity could cause the viscous drag of the molecular
films and hence high adhesive force, which would also increase
the friction coefficient [29].
Fig. 5 Variation in the average friction coefficients of the
molecular films with normal load. Sliding velocity is 1mm/s (a)
and 3mm/s (b)
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
The correlation between the wettability and friction
coefficient of the molecular films was shown in Fig .6. It could
be drawn that the wettability has the influence on the tribological
properties of the molecular films and the more hydrophobic the
films are, the less the friction coefficients. A possible reason
should be due to the adhesion, since the much more hydrophobic
C8F has a lower surface energy as the contact angle
measurement shown, so the adhesion force between C8F and the
steel ball should be less than that of C8F/C12 or C8F/C16 [30],
which leaded to the lower friction. More over, the carbon chain
length of the alkylsilane molecular films has slight effect on the
friction coefficient, it has been shown that the adhesion force
decreases with the increase of the chain length [31], therefore the
friction of C8F/C16 is lower than that of C8F/C12.
Fig. 6 Water contact angle and friction coefficient (sliding
velocity: 1mm/s, normal load: 20g) of the molecular films
CONCLUSIONS
In summary, the growth process and tribological properties of
the single component and mixed alkylsilane self-assembled
molecular films were investigated and compared in detail. The
experimental results showed that due to the strong van der
Waals interaction between the chains of the single component
fluorinated molecular film, the growth of its molecules on the
silicon substrates was faster than the mixed ones. Also, the
single component fluorinated alkylsilane molecular film
brought on the ordered and compact film structure, which
leaded to a lower friction coefficient than the mixed
self-assembled molecular films.
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ACKNOWLEDGEMENTS
The authors thank the National Natural Science Foundation
(Grant No. 50730007 and 50805086). The Foundation of
Tsinghua Basic Research for financial suppor is also
acknowledged
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 A Comparative Study of Growth Process and Tribological Behavior between Single Component and Mixed Alkylsilane
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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
The Effect of Surface Morphology on the Friction Behavior of HF-CVD Diamond Films
Bin Shen*
Shanghai Jiao Tong University, Shanghai,
China,200240
(Extended Abstract)
Keywords: HFCVD, diamond film, surface morphology,
tribological properties
INTRODUCTION
Chemical vapor deposition (CVD) diamond film has long
been investigated as an important coating material for a variety
of mechanical components, due to its many excellent
mechanical and tribological properties, e.g. extremely high
hardness, low friction coefficient and excellent wear resistance.
The tribological behaviors of CVD diamond films have been
known to show significant dependence on both sliding
environment and its surface characteristics. The investigation
on the effect of sliding conditions like normal load, sliding
velocity, counterpart material and lubricant have been reported
extensively in available literatures. Nevertheless, the studies on
the influence of grain size, surface roughness and homogeneity
mainly concentrate on the CVD diamond film self-mated
tribosystem [1-2]. Inadequate attention has been put on the
heterogeneous contact of CVD diamond film with metal or
ceramics material, which is a considerable frequently used
contact type in its mechanical applications, especially for the
CVD diamond coated cutting inserts or drills.
In this study, we reveal the influence of surface
morphology of CVD diamond films on their friction behaviors
in dry sliding against ball-bearing steel, copper and alumina
ceramics counterpart materials. Four types of CVD diamond
films with different surface morphologies are deposited on
Co-cemented tungsten carbide (WC-6wt%Co) substrates,
respectively named after microcrystalline diamond (MCD)
film, polished MCD (pMCD) film, fine-grained diamond
(FGD) film and ultra-smooth composite diamond (USCD) film.
The CVD diamond film samples are fabricated using hot
filament CVD (HFCVD) method, which is most popular for
fabricating CVD diamond films in industry allowing for the
imperative requirement on reducing capital and operating cost.
The friction tests are conducted on a ball-on-flat reciprocating
friction tester in ambient air atmosphere.
EXPERIMENTS
The CVD diamond films are deposited in a homemade bias
enhanced HFCVD apparatus. The MCD and FGD films are
deposited using different deposition parameters in order to
favor rough coarse grained or smooth fine-grained diamond
films respectively. The pMCD films are fabricated by polishing
the surface of MCD films with diamond grits (1μm). The
USCD films are deposited using a novel deposition method
combining HFCVD and polishing technique, which consists of
a layer of MCD film and multiply layers of NCD films. The
surface characterizations of as-deposited CVD diamond films
are studied using SEM, AFM, surface profilometer and Raman
spectroscopy.
The friction tests for as-deposited CVD diamond films are
carried on a ball-on-flat reciprocating friction tester, with
ball-bearing steel (AISI 52100), copper and alumina ceramic
balls as counterpart. The diameter of counterface balls is 4 mm.
The normal load and reciprocating frequency are fixed to 4.0 N
and 5 Hz respectively for all sliding processes. With friction
770
Fanghong Sun
Shanghai Jiao Tong University, Shanghai,
China,200240
stroke of 6 mm, the average sliding velocity between the
counterparts is ~0.06 m/s.
RESULTS
Fig.1 exhibits the surface morphologies of as-deposited
diamond films. The MCD film shows a rugged surface and
well-faceted diamond crystallites with grain size of ~1-2 μm,
most of which have sharp octahedral shape and exhibit
<111> or <100> crystallographic orientations. Fig.1 (c)
presents the surface of pMCD film, on which the sharp edges
of diamond grains are worn down but some hollows still exist.
For the FGD film, many cauliflower structured clusters of
diamond crystallites are visible on its surface, instead of the
faceted diamond grains. The diameter of these diamond grain
clusters is about ~4-5μm. Fig.1(d) is the SEM image of
as-deposited USCD film consisting of one layer of fine-grained
MCD film and three layers of NCD films, on which an
ultra-smooth and uniform surface can be observed. The surface
roughness values (Ra) of the four types of diamond films
measured using surface profilometer are: MCD ~395 nm, FGD
~312 nm, pMCD ~176 nm and USCD ~88.8 nm.
The friction coefficient curves for these contacts exhibit
similar evolution tendency, as plotted in Fig.2. Generally, the
whole sliding process can be divided into three stages. At very
beginning of the sliding process, a high friction coefficient
peak is always visible. Thereafter, a short transitional period
with unstable fluctuating friction curve is observed. Finally,
this curve culminates in a long steady state, during which the
friction coefficient maintains a relatively stable value.
Fig.3 plots the average friction coefficients for these
contacts in the stable stage. It can be indicated that the friction
behavior of CVD diamond film shows significant dependence
on their surface morphology. The MCD film, for a given
counterpart, always presents the highest friction coefficients
comparing with others. The obtained friction coefficients for
MCD films are in the range of ~0.27-0.29 while sliding against
Fig. 1 SEM images of CVD diamond film (a) MCD (b) FGD
(c) pMCD (d) USCD
 The Effect of Surface Morphology on the Friction Behavior of HF-CVD Diamond Films
Fig.2 The friction coefficient curves for diamond films sliding
against ball-bearing steel
Fig.3 The stable friction coefficient of friction contacts
different counterfaces. The next is FGD films, the friction
coefficients of which slightly reduce to the range of ~0.20-0.24.
As well, the pMCD and USCD films give the best friction
performance, all stable friction coefficients of them are lower
than 0.20, regardless of the counterface material.
DISCUSSION
The high initial friction coefficient for these contacts is
ascribed to the fact that the ‘interlocking effect’ occurs among
asperities distributed on the contact interface and thus makes it
difficult to cause relative sliding between the diamond films
and their counterparts. The followed transitional stage actually
is a process of polishing on the sliding interface, during which
the friction curve presents a gradual transition from unstable to
relative stable state. One attribution to the unstable friction
coefficient is the micro-fractures of sharp asperities on the
contact interface and the fragmentations of diamond grains.
Another one is ascribed to the wear debris accumulating on the
diamond films surface, which is transferred from the mating
ball surface and cause high adhesive force in the sliding
interface. The harder keen-edged diamond tips penetrate into
and plow over the softer surface of counterface balls, which
produces a lot of micro-fractures and fragments of diamond
crystals on the sliding interface. Some of these produced
micro-asperities will be swept out of the contacts due to the
mechanical motions of the counterparts. In consequent, the
effect of interlocking and plowing diminishes. As the
micro-asperities being removed and the transferred materials
accumulating, an equilibrium sliding interface is forming,
771
which according to the fact that friction coefficient curve
culminates in a relative stable state at the end of transitional
period.
The wear debris adhered on the worn area on the CVD
diamond film surface, which are confirmed by EDX
spectroscopy to be transferred from the counterpart ball, are
supposed to play predominate role on their frictional behavior.
As discussed above, an equilibrium interface has achieved
during the stable stage on which certain amount of transferred
materials distribute. That is to say, the counterface is actually
in contact with the transferred materials on a part of sliding
interface, instead of CVD diamond film, which will cause
increasing adhesive strength between the contacts and thus
higher friction coefficient. In consequence, a conclusion may
be reached is that the larger diamond film surface is covered
by the transferred materials, the higher friction coefficient is
obtained for the contact. This deduction can be used to
interpret the mechanism of the influence of diamond film
surface morphology on its friction coefficient.
For a given counterfaces, the largest transferred materials
coverage is always observed on the worn surface of MCD
films, therefore they exhibit highest friction coefficient during
the stable stage. It is easier for the wear debris accumulating on
the rough diamond film surface because they can adhere on the
grain boundaries and avoid being removed from the contact by
the sliding motion. Comparatively, it is hardly to find
transferred materials on the worn surface of pMCD and USCD
because the debris on such smooth diamond film can be swept
out from the contact very easily. Additionally, the more
prominent plowing phenomenon for MCD films is beneficial
for generating wear debris, which can be reflected by the high
wear rate of the counterface balls that slide against diamond
films with rough surface.
CONCLUSION
Four types of CVD diamond films with different surface
morphology are deposited on WC-Co substrates using HFCVD
methods. The tribological behaviors of them in contact with
ball-bearing steel (AISI 52100), copper and alumina ceramic
materials are investigated and the results indicate that the
friction coefficient curves for these contacts exhibit similar
evolution tendency and the friction behavior of CVD diamond
film shows significant dependence on their surface
morphology. The transferred materials adhered on the worn
surface of diamond films are supposed to play predominate
role on their tribological behavior. The larger diamond film
surface is covered by the transferred materials, the higher
friction coefficient is obtained for the contact.
ACKNOWLEDGEMENTS
This research is sponsored by National Natural Science
Foundation of China (No. 50575135), Program for New
Century Excellent Talents in University (NCET-06-0399) and
The Tribology Science Fund of State Key Laboratory of
Tribology.
REFERENCES
[1] Schade, A., 2006, “Tribological behaviour of (100) and
(111) fibre textured CVD diamond films under dry planar
sliding contact”, Diam. Relat. Mat., 15, pp. 1682-1688.
[2] Schade, A., 2007, “Influence of surface topography of
HF-CVD diamond films on self-mated planar sliding
contacts in dry environments”, Surf. Coat. Technol., 201,
pp. 6197-6205.
(The whole paper will be supplied by the authors if reader
needs it.)
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Particles Detection and Analysis of Hard Disk Substrate after Post-CMP Cleaning

Yating Huang1, Xinchun Lu1, *, Guoshun Pan1, Bill Lee2, Jianbin Luo1
1
State Key Laboratory of Tribology, Tsinghua University, Beijing, 100084, China
2
Shenzhen Kaifa Megnetic Recording Co. Ltd.

component analysis. ICP of water in ultrasonic and megasonic

Extended Abstract tank is also tested for accessorial analysis of element.
Scrub, ultrasonic and megasonic are widely used in
Table 1 The procedural details of cleaning
industry as post-CMP cleaning procedure. In this paper,
experiments are taken to analyze the particle contaminations Process Parameter setting Soaking Time
after each process. A scatter spot method has been exploited to Soak and Detergent 15 min
exam the particles’ location and features. SEM with EDX is Ultrasonic concentration: 2~5%
used to observe and analyze the particles’ shape and size as Ultrasonic frequency:
well as the elements. The results indicate that brush scrub is 130KHz
not sufficient for submicron abrasive particle removal. Scrub Rotational speed:
Megasonic is a better method of cleaning but contaminations 800~1000rpm
like metallic particles and bacteria from the equipment may Detergent
pollute the clean disk. The abrasive particles embedded in the concentration: 0.5%
plating pits are hard to remove by mechanical force. Pollution DI water time
in the dryer is also discussed.
Ultrasonic Frequency: 170KHz 5min
Keywords: Hard disk, post-CMP cleaning, particle contamination Megasonic Frequency: 960KHz 5min
Spin dry Pressure: 40 Psi
INTRODUCTION
For post-CMP cleaning, it is important to understand the The results of particle and micro defect count are shown
particle contaminations, including the shape, component and in Fig.1. The data indicate that: (1) the amount of submicron
source. Particle defects generate from adhesion of various particle is remarkably decreased after megasonic; (2) the
particles during the process of polishing. The basic elements of number of particles of different sizes decreases somewhat after
the CMP process consist of a rotating wafer that is pressed ultrasonic, and the curve is close to that of particle sizes after
faced down against a rotating polish pad soaked with polishing scrub; (3) the standard deviation of data after megasonic is
slurry [9]. After that, the abrasive particles will adhere to the much lower than that of ultrasonic and scrub.
disk surface. Other particle contaminations may be from
sources such as pad material, the Ni-P film, and machine tools.
The traditional way to detect these particles involves optical
methods. The scatter spot method has been exploited to
determine the failure position and feature. Defects can be
counted by Tencor 6420 [1]. The surface submicron topography
can be generated by AFM, and effect of the substrate
morphology has been discussed [18]. S. Eichenlaub [4] modeled
the geometry of the alumina particles through the FESEM
images. Also, many studies are on simulations of particles and
interface and the relationship between them during the polish
and post-cleaning process [12-15]. Other than these, there have
been relatively few studies to give a systematic analysis of
particle contaminations after each cleaning process. Fig.1 Defect count after each cleaning process
In this paper, features and applications of different cleaning
methods are presented. Particle contaminations after each
process are analyzed by SEM and associative experiments.
Thus the cleaning ability and limitation will be evaluated.
Experimental results indicate that different type of particles
will be added to or removed from the disk surface.

EXPERIMENTS AND RESULTS

The procedural details of cleaning which here used in this
experiment are listed in Table1. Samples of three groups are
selected after scrub, ultrasonic, and megasonic. The disks are
first tested by Candela 6100 (Tencor) for particle detection. A
200x-1000x optical microscope picture is taken for further
inspection in SEM. A FEI Sirion 200 Field Emission Scanning
Electron Microscopy (FESEM) is used to take SEMs of the
contamination particles. A correlative EDX is used for element Fig.2 Defect count at different spin dry times

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 Particles Detection and Analysis of Hard Disk Substrate after Post-CMP Cleaning

Fig.2 shows additional drying causes an increase in REFERENCES

defects. The three curves show the increase in defects with
[1] G. Zhang, G. Burdick etc., Assessment of post-CMP cleaning
drying time for different sizes. It can be seen that the increment
mechanisms using statistically-designed experiments, Thin
of small particles is faster than that of big ones. The rate of
Solid Films 332 (1998) 379-384
increase decreases as the drying time increases. This means
[2] Quan Qi and Giles J. Brereton, Mechanisms of Removal of
that a very clean disk is much easier for particle adhesion than
Micron-Sized Particles by High-Frequency Ultrasonic Waves,
a dirty disk.
IEEE transactions on ultrasonics, ferroelectrics, and
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100.00 Pits Science and Engineering R 45(2004) 89-220
80.00 Metallic particles [4] Sean Eichenlaub, Gautam Kumar, Stephen Beaudoin, A
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(special issue paper).
Fig.3 Frequencies of different kinds of particles after each
[6] Weiwei Li, Baimei Tan, Jianwei Zhou, Yuling Liu, Study of
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surface cleaning technology in post CMP, Semiconductor
Technology, Vol.31 No.3 (2006) 186-188
SiO2 abrasive [7] Optical measurement system using polarized light, Gerard H.
Vurens, HDI Instrumentation, US 6307627 (2001)
[8] Single tool defect classification solution, Gabor D. Toth,
David R.Bakker, KLA-Tencor Technologies Corporation, US
6952653 B2 (2005)
[9] A.A. Busnaina, H. Lin, N. Moumen, J.W. Feng, J. Taylor,
Particle adhesion and removal mechanisms in post-CMP
cleaning processes, IEEE transactions on semiconductor
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manufacturing, Vol. 15, No.4, Nov.2002, 374-382
[10] A.A. Busnaina, I.I. Kashkoush, G.W. Gale, An experimental
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Electrochem. Soc. Vol. 142, No.8, Aug. 1995, 2812-2817
[11] A.A. Busnaina, H. Lin, and N. Moumen, Surface cleaning
mechanisms and future cleaning requirements, 2000
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Metallic particles
[12] Ali R. Mazaheri and Goodarz Ahmadi, A model for effect of
colloidal forces on chemical mechanical polishing, Journal of
the electrochemical society, 150(4) G233-G239 (2003)
[13] G.M. Burdick, N.S. Berman, and S.P. Beaudoin, A theoretical
analysis of brush scrubbing following chemical mechanical
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Pits with drop-in SiO2 G140-G147 (2003)
[14] Kevin Cooper, Nicholas Ohler, Anand Gupta and Stephen
Beaudoin, Analysis of contact interactions between a rough
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[15] G.M. Burdick, N.S. Berman and S.P. Beaudoin, Describing
hydrodynamic particle removal from surfaces using the
particle Reynolds number, Journal of Nanoparticle research
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[16] Kaveh Bakhtari, Rasim O. Guldiken, Prashanth Makaram,
From the SEM pictures it can be seen that metallic A.A. Busnaina, and Jin-Goo Park, Experimental and
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adhesion, Global Press (2001)
ACKNOWLEDGEMENTS [18] Kevin Cooper, Anand Gupta, and Stephen Beaudoin,
The authors appreciate the financial support of the National Substrate morphology and particle adhesion in reacting
Key Basic Research Program of China (Grant No. systems, Journal of colloid and interface science 228,
2003CB716201). The authors are also grateful to Kaifa 213-219 (2000)
Magnetic Recording Ltd. for both equipment/facilities support (The whole paper will be supplied by the authors if reader
and technical guidance on this project. needs it.)

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 Technical Sessions — Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Hard Wear-Resistant Coatings: A Review

T. Hoornaert1,2, Z. K. Hua1, J. H . Zhang1*

1
School of Mechatronics Engineering and Automation, Shanghai University,
Yanchang Road, Shanghai 200072, P.R. China
2
University of Technology of Troyes, 12 rue Marie Curie, 10000 Troyes, France
E-mail address: jhzhang@staff.shu.edu.cn

ABSTRACT
Hard coatings have been used for many decades to provide
wear resistance. In this paper, the industrial requirements and
benefits of such hard coatings are introduced. Common hard
coatings (nitrides, carbides, multi-components, etc.) and some
of the new generation coatings (multiple layers, multi-layers,
gradient and nano-scaled) are reviewed and compared.
Furthermore, typical industrial applications and performances
as well as common coating processes characteristics are
summarized. Finally, recent development directions and new
possibilities for coating manufacturers to produce films with
better performances are briefly discussed.
Keywords: hard coating, wear resistant film
1 INTRODUCTION
Coatings have been widely used for many decades in
tribological applications to protect various tools and parts from
wear. The development of wear-resistant coatings started in the
1960’s along with both chemical vapour deposition (CVD) and
physical vapour deposition (PVD) techniques, which are
nowadays a key figure in many industrial fields providing
dramatic improvements in terms of productivity, part lifetimes
and therefore cost reductions [1-3]. However, selections of the
best coating and its deposition process is not often straight
forward, as the number of proper hard coating materials,
their combinations, as well as the different deposition
techniques are constantly increasing.
Materials such as nitrides, carbides, carbon-based, oxides and
borides [4], are widely used in hard coating technology for their
outstanding mechanical and tribological properties. Besides the
high hardness and wear resistance, excellent chemical stability
and oxidation resistance in severe environments are also
regarded as the recurrent features.
In this review, the different coating materials and their
combinations, from common coatings to ‘new generation’ hard
thin films, are introduced. Then, the benefits of the hard
coatings in the industry are demonstrated, providing some
typical coating application examples and related performances.
Finally, the new trends and future developments in coating
technology are also discussed.
2 COATING MATERIALS
2.1. COMMON COATINGS
Whereas some hard coatings have an intrinsic hardness
directly related to the raw material’s properties (diamond, cubic
boron nitride, etc.), extrinsically hard coatings get their superior
hardness from a combination of different materials, layers,
phases and structures (multi-components, multiple layers,
multilayered, solid lubricants and nano-composite films). The
materials applied in hard coating technology consist mainly of
nitrides, carbides, carbon-based, oxides and borides.
2.1.1 .NITRIDES
Recently, the common hard coatings in the industry are
mostly based on nitrides, including Titanium nitride (TiN),
chromium nitride (CrN), zirconium nitride (ZrN), silicon
nitride (SiN) and cubic boron nitride (c-BN).
Titanium nitride, known as one of the most common hard
coatings in use today, combines hardness, toughness, inertness,
and usually shows good adhesion strength on the substrates. It
is therefore called a ‘general purpose’ coating and it has been
widely used, especially on tools [5]. Besides TiN, both
zirconium nitride and chromium nitride [6] coatings exhibit
high hardness and ability to withstand elevated temperatures
(up to 600°C and 700°C respectively) and generally lead to
slightly different properties than TiN.
Cubic boron nitride (c-BN) is the second hardest single phase
material after diamond. Although polycrystalline c-BN is well
established as one of the hardest cutting material, such coatings
just begin to find their use in the industry because of adhesion
and stability issues [7], and mainly their high cost.
As to silicon nitride (SiN), it is widely applied as single
protective layer for its good thermal shock resistance and low
coefficient of thermal expansion. Furthermore, it is found that
SiN can also be deposited on top of other hard layers, (e.g.
metal nitrides) in order to improve thermal stability, or as an
inter layer to improve diamond growth on cemented carbide
tools [8].
Carbon nitride coatings (CNx) have raised an important interest
to the coating community as it is theoretically expected to be
harder than diamond under a specific crystalline structure
(-C3N4) [9].
2.1.2. CARBIDES
Silicon carbide (SiC) is widely used in tool coating
technology due to its high hardness. It is also commonly
applied in conjunction with other elements (e.g. thermal
sprayed Si-C-N coatings [10]) or with a dry-film lubricant
coating to enhance its mechanical properties and tribological
performance.
Tungsten carbide (WC), one of the traditional coating materials,
can be deposited through various processes. Combined with
cobalt, tungsten carbide has particularly shown very good
properties when deposited with high velocity oxyfuel (HVOF)
[11], and it is believed to be one of the most promising
alternatives to hard chromium.
Vanadium carbide (VC), which has good thermal shock
resistance and high thermal conductivity, is suitable for coating
applications under high temperature conditions, such as forging
and forming operations. It exhibits good performances and
properties on carbon-containing substrates especially when
applied as a thermal diffusion coating, which enables to get
high thickness, good adhesion and hardness [12].
Boron carbide (BC) coatings offer smooth and non-porous
surfaces with natural lubricity, which will drastically reduce
friction and heat during machining. However, it should be
mentioned that brittleness and poor adhesion on substrates may
be the disadvantages of such a material.
Titanium carbide can be used in both single layer coatings and

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 Hard Wear-Resistant Coatings: A Review
as a component in multi-layered PVD or CVD configurations.
It has been applied as one of the most successful hard coating
material, and it is typically used on cutting tools as well as
high-load forming tools.
Finally, chromium carbide (CrC) coatings can effectively
replace electroplated hard chromium and TiN coatings utilized
as protective layers against abrasive wear and corrosion. They
are nowadays widely applied to many substrates for a large
variety of applications, such as metal forming and plastic
injection molding [13].
2.1.3. CARBON-BASED
Diamond, the hardest known material, provides an
impressive combination of properties. However, it also has
limitations as the reaction with strong carbide forming metals
and dissolves in Fe, Co, Mn, Ni, Cr and the platinum-group
metals. Polycrystalline diamond (micro-, nano- or ultra-nano
crystalline [14]) leading to properties similar to varying degrees
to single crystal diamond can be deposited on tools and various
parts. Although diamond layers cannot be directly applied to
ferrous substrates, it has been demonstrated that diamond can
be deposited on steels and cemented carbides by using inter
layers (silicon, silicon nitride, chromium nitride, etc.) which
enable their growth with good adhesion [15].
Diamond-like carbon (DLC) coatings show outstanding
tribological properties. One of the recurrent problems of DLC
films is the low adhesion resulting from high internal stresses.
Therefore, in order to improve adherence onto metal substrates,
DLC layers can be applied on top of interface layers such as Si,
Ti, Zr, W, Nb, Cr or WC. In comparison to traditional diamond,
DLC film fabrication requires less processing times, hence
lower costs. In addition, while CVD diamond film fabrication
requires very high temperatures and pressures, DLC can be
deposited from ambient temperature gas phase species, even
rending polymer coating possible. According to these
advantages, the use of DLC films has become economically
feasible for industrial mass production [16].
2.1.4. OXIDES
Alumina (Al2O3) is one of the most widely used
wear-resistant ceramics. The coating structure can be
amorphous or exhibit several crystalline phases, which
generally show higher hardness [17]. The structure obtained
strongly depends upon the process parameters, and thus, the
film properties can vary considerably.
Chromium oxide thin films (Cr2O3) can be applied as single
layers and nucleation inter layers (e.g. allowing alumina growth
on some substrates) and in combination with other layers (CrN
for instance), so as to improve adhesion and tribological
properties.
775
Additionally, zirconium oxide (ZrO2) films have considerably
attracted attention for wear-resistant coating uses, as it also
provides an interesting combination of thermal, chemical and
mechanical properties. Finally, some of the other oxides that
are often utilized in hard coating technology consist mainly of
zinc oxide [18], silicon- and titanium sub oxides (SiOx, TiOx
respectively), although they are mainly used for electronic and
optical applications [19] , [20].
2.1.5. BORIDES
Among the different ceramic coating materials, less
research and development have been carried out on borides for
industrial applications. They show however a unique
combination of properties. Because of their high hardness and
good adhesion on the underlying substrate, crystalline coatings
based on the diborides of transition metals (e.g. Ti, Cr, Mo, V)
offer a good alternative for wear-protective films. Especially
when dry machining non-ferrous materials such as aluminum
and its alloys, diboride coatings offer chemical inertness and
hardness. Moreover, alloying borides with nitrogen enables to
obtain finely grained multiphase hard coatings which show
outstanding wear resistance and anti-corrosion behavior [21,
22].
2.1.6. MULTICOMPONENT COATINGS
One of the very first successful applications of the binary
hard coating materials were titanium nitride and titanium
carbide, of which properties and performances have been
extensively studied. Applying such titanium-based binary hard
coatings on parts and tools shows a significant improvement in
terms of wear and abrasion resistance. From these initial binary
materials, it had been shown that alloying metal and/or
metalloid components leads to a considerable coating
performance enhancement, particularly when adding aluminum
(e.g. (Ti,Al)N) and carbonitrides of various compositions (e.g.
Ti(C,N)). In most cases, the base metal for multi-component
hard coatings is titanium or chromium, and a large variety of
alloying elements has been studied, comprising of W, V, Nb,
Mo, Al, Si, Cr, Zr and B elements with many different chemical
compositions [23].
Furthermore, quaternary or higher components are chosen and
used in coating technology resulting in different properties. For
instance, (Ti,Al,Y)N and (Ti,Al,Cr)N have shown
considerable improvements particularly in terms of high
temperature oxidation resistance [24, 25], while in some recent
studies, it was observed that coatings like (Ti,Si)(C,N),
(Ti,Si,B)N, (Ti,Al,B)N, and (Ti,Al)(C,N) have shown an ideal
combination of high hardness, low friction and good adhesion
strength which makes them good candidates for tribological
and machining applications [26].
 Technical Sessions — Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Fig.1. Alloying elements of ternary Ti- and Cr-based nitride hard coatings [23]

The ideal combination of coating properties required for most
tribological applications has become possible through the use
of multi-components. From this basis, advanced coatings, such
as multiple-films, multi-layers, as well as gradient are realized
and well developed.
2.2. NEW GENERATION COATINGS
2.2.1. MULTIPLE-FILM COATINGS
Multiple-layer coatings consist of two or more stacked
films that achieve complimentary properties, and which are
generally constituted by the basic materials listed in part 2.1.
The use of such coatings leads to a considerable enhancement
in terms of adhesion or tribological performances. Common
two-layer systems consisting of a nitride coating with a metallic
interlayer, such as Ti/TiN, result in an improvement in adhesion
onto the underlying substrate. Other two layer sequences such
as TiN/Al2O3 or TiN/Ti(C,N) resulted in an increase in
performance, and lubricating/hard layer pairs have been applied
exhibiting good tribological properties, especially under dry or
low lubrication machining (e.g. TiC/(WC/C) ; DLC/MoS2 [27]).
Fig.2 shows the simple schematic structure of a three-layer
coated carbide tool.
2.2.2. MULTI-LAYERS
Multi-layer coatings consist of a periodically repeated
arrangement of lamellae that are composed of 2 or more
materials, with thicknesses up to a few tens of a micrometer.
The numerous interfaces between layers result in an increase in
hardness and strength, with structure differing from those
which can be found with individual thicker layers. Again,
materials most frequently investigated are Ti compounds where
a TiN layer is often applied first for its strong adhesion to
various substrates. As examples, among the different multilayer
coating structures which are particularly used in cutting tool
technology are CN/TiCN/TiN; TiN/TiCN/TiC; TiAlN/CrNx;
CrN/CrC/(Mo,W)S2; TiN/TiCN/TiC/Al2O3/TiN ([23], [28- 30]).
2.2.3. GRADED COATINGS
The development of multi-component coatings led to the
appearance of graded coatings. Consequently, desirable
characteristics of each of the constituent phases can be
achieved, such as a combination of a hard and a soft phase, or
an association of a highly and a lower thermally conductive
phase [31]. Layers presenting a continuous variation of
concentration of the different components can be obtained by a
drastic control of the deposition process. Hence, a reduction of
the possible mismatch in chemical or mechanical properties
between two different components is possible. Furthermore,
such coatings can considerably improve adhesion of particular
coatings on substrates such as DLC, mentioned above.

Fig.2 Schematic structure of a three-layer sandwich coating applied on a carbide cutting insert

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 Hard Wear-Resistant Coatings: A Review
2.2.4. NANO-SCALED COATINGS
The development of hard and wear resistant coatings on the
nano-scale has been an exciting field of research in the recent
years. Nano-scaled films consist mainly of nano-crystallized
films, nano-composites and super-lattices. Nano-crystallized
coatings involve single layers which have a grain size in the
nanometer range, whereas nano-composites consist either of
nano-crystalline phases embedded in amorphous ones, or a
stacking sequence of different layers, each of a thickness of a
few nanometers, such as super- and ultra-hard nano-composite
coatings [32,33]. Super-lattices are multilayer coatings with the
thickness of lamellae in the nanometer range which usually
involve the combination of two different compounds with a
close match of lattice parameters.
Fig.3 Desirable properties of coating material in cutting tool technology
The different cutting tools can be classified into five groups,
namely high speed steels, cemented tungsten carbides, ceramics,
cermets and super-hard materials. On the other hand, there is
quite a large variety of hard coatings applied on cutting tools,
including carbides (TiC, WC, ZrC, etc.), nitrides (TiN, CrN,
ZrN, etc.), carbonitrides (TiCN, ZrCN) and oxides (Al2O3,
ZrO2). Furthermore, other coatings comprising of multilayer
(TiC/TiN, TiC/Al2O3, etc.) and multiphase (MoS2/TiN,
Al2O3+ZrO2, etc) systems have also been successfully utilized
for cutting tools in the last twenty years. Finally, high
performance films (diamond, c-BN, hard DLC, WS2, etc.) are
used in applications in which, despite their high costs, their use
is justified.
3.2. AUTOMOTIVE INDUSTRY
The employment of surface treatments and high
performance tribological coatings in the automotive industry
implies many advantages in terms of performance, reliability,
fuel consumption and exhaust gas emissions reduction. By
using traditional or advance coating materials such as DLC-,
MoS2-, carbide- based coatings, opportunities are available for
improving car systems and components, such as coatings for
gears, piston rings, cylinder bores, bearings, valve
seats/springs.
Several approaches are attempted to improve engine efficiency
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3 INDUSTRIAL APPLICATIONS AND PERFORMANCES
3.1 CUTTING TOOL INDUSTRY
High-tech productivity requires high quality cutting tools
that are able to withstand high cutting speeds and feed rates and
resist extreme heat, high pressure, and vibration, together with
abrasion. In order to meet such requirements, protective hard
coatings are applied to a great majority of cutting tools, such as
inserts, blades, saws, broaches, reamers, drills, end mills, and
so on. The use of hard coatings in the cutting tool industry
enables making cost savings and enhancing tools performances
by using tools which have a longer life and are dramatically
more productive. In Fig.3, the most important properties
required for cutting tool coatings are summarized.
as well as drastically reduce emissions. One of them is the
reduction of energy losses through friction and wear, which
amount to approximately 15% of the total energy losses in a
vehicle. In particular, the system cylinder liner/piston
ring-piston is responsible for most of the friction related losses.
Therefore, a typical use of coating technology in the
automotive industry is piston ring films.
Piston rings can be made of a wide variety of materials,
including cast irons, bronze, steels, etc. Traditionally, they have
mostly been coated using chromium electroplating, but in the
recent years, research and developments have been made to
employ other coating materials, due to environmental issues
related to the latter process. Nowadays, a wide variety of
surface treatments and coating materials are available for piston
ring coatings, depending on the type of engine and
manufacturing costs. Thermal spraying, nitriding and PVD
have become common techniques used to apply such films. It is
noteworthy that PVD is the most expensive technique for
piston rings coatings among these processes.
4 CONCLUSION
The hard coatings have an impressive record of innovation
and will have more effect on industrial efficiency and economic
growth. In this paper, the coating materials and their
 Technical Sessions — Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
combinations are introduced in terms of ‘common coatings’ and
‘new generation hard coatings’. Furthermore, typical industrial
applications and performances as well as the coating processes
characteristics are summarized. It is attempted to give a brief
overview of the proper materials together with efficient
fabrication process.
ACKNOWLEDGEMENTS
The corresponding author, Dr. J.H. Zhang, would like to
acknowledge the financial support provided by the Science and
Technology Committee of Shanghai under the grant number of
04 QMX1442 and partially support by Shanghai Leading
Academic Discipline Project, Project Number: Y0102. Mr. T.
Hoornaert and Mr. Z.K. Hua would like to acknowledge the
financial support provided by the Graduate Innovation Fund of
Shanghai University, Project Number: A.16-0109-07-002. All
the authors are grateful to Professor C. Richard at UTC, France,
for her consultation during this work.
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779
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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
The Cavitation Erosion of the Mild Carbon Steels Implanted with Titanium and Nitrogen
Liu Fengbin / State Key Laboratory of Tribology,
Tsinghua University, Beijing, 100084, China
Chen Darong / State Key Laboratory of Tribology,
Tsinghua University, Beijing, 100084, China
Zhao Ming / State Key Laboratory of Tribology, Tsinghua
University, Beijing, 100084, China
(Extended Abstract)
ABSTRACT
The polished 0.45% C steels (45# steels) were implanted
with titanium, nitrogen and titanium+nitrogen at fluence of
2×1017 ions/cm2, 2×1017 ions/cm2 and 4×1017 ions/cm2,
respectively. To evaluate the cavitation erosion resistances of
the ion-implanted 45# steel samples, the cavitation erosion
experiments were carried out by using rotating disk facility.
The surface hardness and the polarization potentials
corresponding to the ion-implanted samples were also
investigated by using nano-indentation tester and
electrochemical techniques. The results showed that relative to
the initial 45# steel, the surface nanohardness and the
polarization potentials corresponding to the ion-implanted 45#
steel samples all improve to varying degrees. The cavitation
erosion resistances corresponding to these ion-implanted
samples enhance with the increase of their polarization
potentials. However, it seemed that it is little affected by the
surface hardness.
To elucidate the cavitation erosion resistance of the
ion-implantde 45# steel samples, the phase structures of the
steel samples implanted with Ti, N and Ti/N were studied by
using X-ray diffraction (XRD). The results indicated that the
ion-implantation alters the structure of the 45# steel and new
phases form. The new phases are the domination factors that
have contributions to the improvements of the surface
properties of the samples.
Keywords: Cavitation; Mild carbon steel; Ion implantation;
Phase structure
INTRODUCTION
Mild carbon steels are extensively applied in the field of
mechanical engineering due to its good mechanical properties
as well as low cost. Improving its cavitation erosion resistance
to reduce damages for high-speed hydraulic machinery
working in liquid d environments is quite significant.
Cavitation erosion is a surface phenomenon and thus, surface
modification is a natural route to improve cavitation erosion
resistance. Surface modification enhances the surface
properties and retains the bulk properties, thus allowing
combinations of desirable surface and bulk properties.
Among various surface modification techniques,
ion-implantation method is more attractive because of its many
advantages [1,2].
In this paper, several ion-implanted 45# steel samples were
prepared. Their cavitation-erosion experiments were performed
by using the rotating disk facility. Their surface hardness and
polarization potential were investigated by using
nano-indentation tester and electrochemical techniques. By
means of X-ray diffraction (XRD), the surface structures of the
ion-implanted 45# steels were studied and the surface
modification mechanisms were discussed.
EXPERIMENT
The initial and ion-implanted 45# steel samples were
prepared in a form of 30mm×40mm coupons with the
780
Wang Jiadao / State Key Laboratory of Tribology,
Tsinghua University, Beijing, 100084, China
Xu Yanji / State Key Laboratory of Tribology, Tsinghua
University, Beijing, 100084, China
thickness of 6mm. The samples were polished and cleaned
ultrasonically in absolute alcohol.
The polished 45# steels were implanted with titanium,
nitrogen and titanium+nitrogen at fluence of 2×1017 ions/cm2,
2×1017 ions/cm2 and 4×1017 ions/cm2, respectively. The plasma
energy was 80keV and the implantation time was 2h. After
implantation, the samples were cooled to room temperature in
vacuum. To evaluate the surface properties of the
ion-implanted samples, the nano-indentation experiment was
carried out at the position of 20nm depth below the surface. In
addition, the polarization potentials corresponding to the
samples were investigated by using a single compartment
electrochemical cell with three electrodes (samples as test
electrode, platinum wire as counter electrode, Hg/Hg2SO4/KCl
(sat) as reference electrode) in deionized water. To investigate
the surface structures of the ion-implanted 45# samples, the
X-ray diffraction were investigated.
The cavitation erosion of the ion-implanted 45# steel
samples was investigated by using a rotating disk facility. The
rotating speed was 45m/s and the test lasts 100min. to weaken
the effects of the high temperature, the cycle cooling system is
applied during the whole cavitation erosion experiment. By
analysis of the cavitation pits observed by the scanning
electron microscopy (SEM) at the same regions for different
samples, the cavitation erosion resistance of the different
ion-implanted 45# steel samples was estimated.
RESULTS AND DISCUSSION
Fig. 1 is the cavitation erosion results of the initial, Ti
ion-implanted, N ion-implanted and Ti/N ion-implanted 45#
steel samples. The results reveal that after 100min cavitation
erosion experiment, many cavitation pits appear on the surface
of the initial 45# steel. Compared with the conventional
corrosion pits, the cavitation pits on the 45# steel sample are
much larger and deeper, which are in the range of several
dozens of micrometers. After ion-implantation processes, the
cavitation erosion resistance of the 45# steels improves
significantly. Among the three ion-implanted 45# steel samples,
the Ti ion-implanted one exhibits the worst cavitation erosion
resistance, which many cavitation pits appear after 100min
experiment. In contrast, the Ti/N ion-implanted samples show
the best cavitaiton erosion resistance, which nearly no obvious
cavitation pits appear on its surface.
The nano-indentation experiment results are listed in
Table 1. The results show that after ion-implantation, the
surface nanohardness of the 45# steels all increase relative to
the initial 45# sample. The 45# steel implanted by Ti/N ions
possesses the highest hardness of 2.523GPa, 0.38GPa and
0.12GPa higher than the N and Ti ion-implanted 45# steel
samples, respectively. The increases of the nanohardness can
be attributed to the changes of the surface components after
different ion-implantations, which would be discussed in detail
in following sections. However, it could not be deduced in this
 The Cavitation Erosion of the Mild Carbon Steels Implanted with Titanium and Nitrogen

work that the surface hardness has great impact on the The XRD results are illuminated in Fig. 3. Fig. 3 reveals
cavitation erosion. that for the initial 45# steel, it is mainly composed of α-Fe and
Fe3C. When the Ti ions were implanted into the 45# steel, no
Table 1 The nanohardness of the different ion-implanted obvious new phases was found. It reflects that the solution of
45# steels (unit: GPa) the Ti atoms does not significantly affect the phase structures
samples 45# 45#+Ti 45#+N 45#+Ti/N of the 45# steel. However, the surface hardness increases after
hardness 2.054 2.402 2.142 2.523 Ti ion-implantation. It follows that some new phase forms
though it is too tiny to be detected, Concerning the N and Ti/N
D E ion-implantations, the ceramic phases like FexN (x=1-4) form
on the surface of the 45# steel. In addition, for the Ti/N
ion-implantation, new phase like TiN also forms. These
ceramic phases not only strengthen the surface of the 45# steel,
but also alter its surface electronic structures [3].

1000
900
800
700 

I/ Count
F G 600
500 7L

400 -Fe
FexN
Fe3C -Fe Fe N
300 Fe3C x

Fig. 1 the cavitation erosion results of (a) the initial 45# steel,
(b) Ti ion-implanted 45# steel, (c) N ion-implanted 45# steel
and (d) Ti/N ion-implanted 45# steel
Fig. 2 presents the polarization potentials for the initial, Ti
ion-implanted, N ion-implanted and Ti/N ion-implanted 45#
steel samples. The results indicate that relative to the initial
45# steel, the polarization potentials all increase after Ti, N and
Ti/N ion-implantations. Among the three ion-implanted 45#
samples, the polarization potential corresponding to the Ti/N
ion-implanted 45# steel is the highest, whereas the polarization
potential corresponding to the Ti ion-implanted sample is the
lowest. This follows that the ion-implantation would improve
the corrosion resistance of the 45# steel, in which the Ti/N
ion-implantation takes the most effective role in strengthening
the surface properties of the 45# steel. Therefore, it can be
concluded that the polarization potential affects the cavitation
erosion resistance significantly. With the increase of the
polarization potential, the cavitation erosion resistance also
increases.
-150
45#
45# + Ti
-200 45# + N
45# + Ti/N
E/mV vs. SCE
7L
200
TiN
100 ˇ7L1
0
30 40 50 60 70 80
o
2θ/
Fig. 3 XRD spectra of initial and ion-implanted 45# steel
samples
From the above analysis, it can be concluded that the new
ceramic phases on the surface of the 45# steel induced by
ion-implantation could give rise to the high cavitation erosion
resistance. On one hand, the surface ceramic phases induced
by Ti, N and Ti/N ion-implantations certainly improve the
surface hardness of the 45# steel; on the other hand, the
implantation of the Ti and N could also increase the electron
affinity of the 45# steel. The surface high electron affinity
would increase the polarization potentials and thus, improve
the cavitation erosion resistance of the 45# steel.
CONCLUSIONS
Ion-implantation could improve the cavitation erosion
resistance of the 45# steel. Among the surface modification
samples, the Ti/N ion-implanted 45# steel exhibits the best
cavitation erosion resistance. This can be attributed to the
increase of the polarization potentials after Ti/N
ion-implantation. The increase of the polarization potentials
arises from the new ceramic phases induced by the Ti/N
ion-implantation.

-250
ACKNOWLEDGEMENTS
-300 This work was supported by the NSFC Project under grant
number 50675112 and National Basic Research Program of
-350 China under grant number 2007CB707702.
-400
REFERENCES
-450 [1] J.V. Mantese, I.G. Brown, N.W. Cheung, G.A. Collins. MRS
1E-9 1E-8 1E-7 1E-6 1E-5 Bull. 1996, 21 pp.52.
Log(j) [2] C. Anandan, V.K. William, V.E. Selvi, K.S. Rajam. Surf.
Fig. 2 the polarization potentials of the different Coat. Tech. 2007, 201 pp. 7873.
ion-implanted 45# steel samples [3] G.L. Zhang, J.L. Wang, Y.F. Liu, C.Z. Liu, S.Z. Yang. Chin.
Phys. 2004, 13 pp.1309.

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 Technical Sessions — Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Research of the Pits Induced by MnS Inclusions

at the Incipient Stage of Cavitation Erosion

Jiang Nana, Liu Shihan, Chen Haosheng, Wang Jiadao, Chen Darong
State Key Laboratory of Tribology, Tsinghua University, Beijing, 100084, China

ABSTRACT
The pits formed at the incipient stage of cavitation erosion
of 45 steel have been investigated by using a standardized
vibration cavitation apparatus with de-ionized water. Scanning
electron microscopy (SEM) was used to characterize the
morphology and composition of the pits. The results show that
there are more than 20 percent of the erosion pits accompanied
with MnS inclusions. It is considered that these pits are induced
by MnS inclusions and formed by a series of actions: first, the
MnS inclusion is attacked and activated, then it dissolves and
accelerates the local corrosion process, finally the dissolution of
both the inclusion and the matrix around it will lead to the
formation of the pit.
Keywords: Cavitation erosion; Pitting; MnS inclusions
EXPERIMENT
The cavitation erosion experiment was carried out by using
a vibrating cavitation apparatus (according to ASTM G32-92,
the schematics of which is showed in Fig.1), which is widely
used in cavitation investigation for its high erosion rate, small
size of the device and low energy consumption [11]. The
experiment was conducted with 20 kHz of frequency and 12
micrometers of double amplitude in de-ionized water at room
temperature (23ć). Scanning electron microscopy (SEM) was
used to observe the morphology and composition change of the
sample (Quanta 200F). The surface profile of the sample was
measured by the Phase shift optical interferometer.
M8

INTRODUCTION

10
The collapse of cavitational bubbles accompanied by the

3
emission of shock waves or micro-jets [1], hot spots, free
Ø15
radicals [2,3] and other products will result in material damage,
which is known as cavitation erosion. It usually occurs on
propellers, hydraulic turbine blades, vanes, ultrasonic devices,
pipelines, etc [1]. A great deal of work related to the cavitation

12.2
phenomena has been published, but the mechanism of material
damage by cavitation attack has not been understood
completely yet.
Because many hydraulic machines work in corrosion condition, 1-Magnetostrictive oscillator;
the effect of environmental corrosion condition on cavitational 2-Amplifying horn; 3-Sample;
weight-loss was considered by using electrochemical methods 4-Test liquid; 5-Water bath
with different electrolytes [4,5], but few literatures have Fig.1 Schematics of the vibrating cavitation apparatus
mentioned simultaneous chemical reaction caused by cavitation
itself. In this experiment, the sample was made of 45 steel with a
On the other hand, the manganese sulphide inclusions (MnS) nominal composition of 0.50̚0.80% Mn, 0.17̚0.37% Si,
are known to be precursor sites for pitting corrosion in corrosion 0.42̚0.50% C and Fe left. It was finally polished with 1嘕m
science [6-8]. Chemical and electrochemical dissolution in and polishing cloth, then cleaned with acetone by ultrasonic
around inclusions will trigger pitting corrosion and help the pits machine before experiment. The inclusions could be found in
expand [8,9]. The different mechanisms proposed in the the original surface of the sample and were mostly in ferrite
literatures for pit initiation on MnS inclusions about carbon zone, which is shown in Fig. 2a. The average size of inclusions
steel and stainless steels are usually attributed to oxidant and was 2̚3 嘕m in diameter and the number of inclusions is 0.8̚
corrosive halogen ion (such as chloride ion) [7, 10]. 1.2 in area of 100 x100 嘕m2 (which was a statistic by a 500 x
In this article, it was found there are more than 20 percent of the SEM images). The energy-dispersive spectroscopy (EDS)
pits caused by cavitation accompanied with MnS inclusions at reveals that almost all inclusions showed a high Mn and S
the incipient stage of the cavitation erosion experiment. These content with atomic ratio of about 1:1 (Fig. 2b).
pits are quite similar to the pits triggered by MnS inclusions in
pitting corrosion, however, they do not occur in corrosive
medium but in deionized water. Through the experiment, the
pits induced by MnS inclusions at the incipient stage of
cavitation erosion are investigated and the effect of the
cavitation on this phenomenon is taken into account. It is
expected that these results will help to understand the
mechanism of the material damage at the incipient stage of
cavitation erosion.

(a) SEM (40000×) (b) EDS result of the inclusion in a

Corresponding Author: Tel: (8610)62782584 Fig. 2 SEM and EDS result of the inclusion in original surface
Email: Jnn98@mails.tsinghua.edu.cn

782
 Research of the Pits Induced by MnS Inclusions at the Incipient Stage of Cavitation Erosion

RESULTS AND DISCUSSION

The surface roughness of the sample increases greatly after
cavitation erosion experiment (Sa=465nm after experiment,
while Sa=9.01nm for the original surface), which arises from
the appearance of the undulations and a small number of
erosion pits on the sample surface. The undulations, formed by
plastic deformation, cover almost all the surface. It means that
the cavitational material damage is mainly caused by
mechanics effect.
The average size of the pits occurred after cavitation erosion a- The sample after 5min test b- The sample after 10min test
experiment is about 5 μm in diameter, and the pits number Fig.5 In-situ SEM observation with different experiment time
increases with the experiment time. Based on approximate 20 (10000×)
observation areas as a random sample (Fig.3 I-a and II-a are
parts of them, in which the pits accompanied with inclusions are Otherwise, MnS inclusion would be broken (Fig.6b is in-situ
marked with circles and the pits marked with arrows are observation of the area in Fig.6a). The EDS results of the
magnified to I-b and II-b separately), it was found there are broken inclusion reveal that the sulphur concentration after
more than 20 percent of the pits accompanied with the trace of experiment is lower than that in the original state (Fig. 6c and
the MnS inclusions. Not all inclusions in original surface could 6d show the atomic ratio of Mn and S increases after 20 min
be the sites for erosion pitting initiation. It is assumed that only experiment). This variation in Mn:S ratio is common at most
the MnS inclusions activated by cavitation could induce pitting, inclusion coexisting with the pits on the sample surface.
which is same as in pitting corrosion [7].

a-before test (15000×) b-after 20min test (15000×)

I-a (100×) II-a(400×)

c-EDS result of inclusion in a d- EDS result of inclusion in b

I-b (15000×) II-b (10000×)
Fig.3 Parts of the random Samples ( b is the pit marked with
arrow in a )
Preferential dissolution of the matrix could happen around the
MnS inclusion. Fig.4a and 4b show matrix dissolution in
different extent, which is quite similar to pitting corrosion with
MnS inclusions in carbon steels [7].
Fig. 6 SEM and EDS results of broken MnS inclusion
Same results could be found through EDS map scan (Fig.7).
Fig.7b show that the black area in the white circle is absence of
Fe, and there is Mn instead in that area (Fig.7c), but the Mn
doesn’t appear accompanied with S as ususal(Fig.7d). It is
presumed that S dissolves prior to Mn, which means there is a
sulphur-depleted region.

a-SEM image of the pits with inclusion

a-after 5min test (26000×) b-after 10min test (10000×) b-Fe content c-Mn content d-S content
Fig. 4 Pit with different extent of matrix dissolution Fig.7 Map scan of the pits
Then, the inclusion drops off from the matrix and a pit forms. From both the experiment results above and the recognized
The pit is bigger than the inclusion itself ( Fig.5b is in-situ models of pit corrosion in corrosion science [7], it is suggested
observation of the area in Fig.5a). that the occurence for pitting erosion in this article can be

783
 Technical Sessions — Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
represented as Fig.8:
Fig.8 Schematic representation of the processes of pits induced
by MnS inclusions
Firstly, at the incipient stage of cavitation erosion, the micro-jets
or shockwaves resulted from collapsing bubble [12] may be not
powerful enough to form big holes on sample surface, they only
attack the surface randomly, lead to material deformation and
slight material loss (Fig. 8a). When the attack occurs on an MnS
inclusion which is either exposed to the interface or embedded
shallowly in the matrix, the inclusion will be broken or be
activated (corresponding to Fig. 3);
Intense heating occurs during cavitational collapse of the
bubbles. The localized hot spots have temperature of about
5000ć in a few microseconds [2] and make formation of free
radicals with high energy (e.g. ·OH, H· and H2O2) [3]. These
products provide an extra chemical environment to accelerate
the release of sulphur which will form sulphur products such as
sulphide, elemental S or H2S by simple chemical dissolution [8]
(as Fig. 8b).
Then the sulphur products, such as S2- and HS- will
contaminates the surroundings and accelerate local corrosion
[13]. Thus the erosion begins from the interface of MnS and
steel matrix, then develops in the direction of steel matrix. At
the same time, MnS inclusion is a good electrical conductor
and its electrode potential is higher than that of the matrix, the
galvanic corrosion forms with the inclusion working as
cathode in micro-area corrosion of the sample surface. So,
many iron ions (Fe2+) dissolve as:
FeƒFe2+ˇ2e (1)
Then Fe2+ hydrolyzes and H+ forms:
Fe2+ˇH2OƒFeOH+ˇH+ (2)
The reaction (2) will lead to reduction of pH value which
induces further dissolution of MnS:
MnSˇ2H+ƒH2SˇMn2+ (3)
Therefor S2- and HS- are formed again after reaction (3).
In addition, the contraction coefficient of MnS is larger than
that of the matrix, so interspaces, whose size is about 1.1% of
MnS, will form around MnS inclusions when cooling during
steelmaking process [14]. Thus a local aggressive solution
environment for reaction will be kept, in which the dissolution
of inclusion and the matrix around that will continue and pits
grow gradually (Fig. 8c). Finally the left inclusion drops off from
the matrix and a pit that is bigger than the inclusion itself forms,
as shown in Fig. 8d or Fig. 8e and 8f (corresponding to Fig. 5).
CONCLUSIONS
Using a vibration cavitation apparatus, the pits created at
the incipient stage of cavitation erosion in de-ionized water
have been investigated. From the experimental results and
analyses discussed above, the following conclusions can be
reached:
1) The MnS inclusions in 45 steel play an important role in
inducing pitting at the incipient stage of cavitation erosion.
784
More than 20 percent of the erosion pits accompanied with MnS
inclusions form after vibrating cavitation experiment.
2) A mechanism is proposed to explain the formation of the pit
accompanied with MnS inclusion, which is descried as follows:
firstly MnS inclusion is activated by mechanics effect of
cavitation; Secondly, heat and the active free radicals created by
bubble collapse provide an extra local chemical environment, in
which a release of sulphur of MnS inclusion forms sulphur
products that take charge of dissolution of the matrix around the
inclusion at first; Then hydrolysis caused by Fe2+ occurs and
makes the corrosion process speed up and continue in a local
aggressive environment which is kept by the interspaces
around MnS inclusions; Finally the inclusion drops off and a pit
that is bigger than the inclusion itself forms.
ACKNOWLEDGEMENTS
Project (No. 50505020) supported by NSFC, and the Project
(2007CB707702) supported by National Basic Research
Program of China are thanked. Also, the authors would like to
thank Liu Bing and Liu Fengbin (Tsinghua University) for
their contributions to this experiment.
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 The Water Wettability of the Hydrogenated and Oxygenated Diamond Films
The Water Wettability of the Hydrogenated and Oxygenated Diamond Films
Wang Jiadao / State Key Laboratory of Tribology,
Tsinghua University, Beijing, 100084, China
Chen Darong / State Key Laboratory of Tribology,
Tsinghua University, Beijing, 100084, China
(Extended Abstract)
ABSTRACT
By using hydrogen-plasma treatment and boiling in strong
acids, the hydrogenated and oxygenated diamond films were
obtained. To investigate their water wettability, the contact
angles of the hydrogenated and oxygenated diamond films
were measured. The results showed that the hydrogenated
diamond film exhibits hydrophobic, whereas, the oxygenated
one exhibits hydrophilic. To further investigate the water
wetting mechanism of the hydrogenated and oxygenated
diamond films, their surface energies were studied based on
density functional theory method. The results indicated that the
hydrogenated diamond film possesses a much lower surface
energy than the oxygenated diamond surface does.
Keywords: Hydrogenation, Oxygenation, Wettability, Surface
energy
INTRODUCTION
Diamond film has many unique physical and chemical
properties. After hydrogenation or oxygenation, the diamond
surface would become hydrogen or oxygen-terminated. The
hydrogenated and oxygenated diamond films exhibit
hydrophobility and hydrophility, respectively. Many potential
devices would be developed according to its different
wettability [1]. However, up to now, the wetting mechanism of
the surface-terminated diamond films is unclear.
In this paper, by means of contact angle measurements, the
wetting properties of the hydrogenated and oxygenated
diamond films were measured. Additionally, the wetting
Liu Fengbin / State Key Laboratory of Tribology,
Tsinghua University, Beijing, 100084, China
high-quality material. The diamond surfaces are modeled with
a finite slab consisting of ten layers, with the top and bottom
carbon layers covered by hydrogen or oxygen atoms. Each
carbon layer has eight C atoms. To avoid the repulsive
interactions, a vacuum layer of 15 Å thickness is adopted.
During the calculations, all the atoms are allowed to relax
freely.
RESULTS AND DISCUSSION
XPS spectra results were presented in Fig. 1. For the
oxygenated diamond film, the O 1s/C 1s atomic concentration
ratio is about 14.2 at. %, as calculated by dividing the relevant
peak areas in the recorded spectra by appropriate bulk atomic
sensitivity factors. This value is comparable to the reports of
the diamond surfaces treated by other oxidization methods,
such as by the O-plasma treatment and the anodic treatment [2].
This indicated that boiling in strong acids modified the
diamond surface into an oxygenated one. In contrast, The O
1s/C 1s ratio is smaller than 2.0 at. %, and the O KLL Auger
peak is undetectable for the hydrogenated diamond film. The
oxygen amount for the hydrogenated sample in our paper is
also comparable to that for the hydrogenated diamond film
after exposure to air (1±0.3 at %) [3]. Taking into account the
XPS detection depth of about 20Å-30Å, the oxygen amount is
very tiny, even though the samples were stored in the air. Apart
from the oxygen and hydrogen, both the diamond surfaces
appear to be very clean and without detectable impurities.
250000
mechanism of the hydrogenated and oxygenated diamond D
films was investigated by using ab initio method. C1s
200000
Intensity(arb. un.)

EXPERIMENT
150000
The diamond films were deposited onto low-resistivity
silicon (p-type) substrates from a hot-filament activated 100000 O1s
methane hydrogen gas mixture. For hydrogenation, the
deposited diamond surface was exposed to microwave 50000

hydrogen plasma at about 800oC for ten minutes after a

preceding annealing step in UHV at 1100oC. In order to obtain 0
0 200 400 600 800 1000

the oxygenated diamond film, the hydrogenated diamond film Binding energy(eV)
was boiled for one hour in a solution of conc. HNO3/H2SO4
(1:3) at 350oC. The as-prepared hydrogenated and oxygenated 80000
C1s
diamond films were characterized by X-ray photoelectron 70000
E
spectroscopy (XPS) and Raman spectroscopy. The surface
Intensity(arb. un.)

60000

wettability of the hydrogenated and oxygenated diamond films 50000

were evaluated by water contact angle measurements. 40000
The surface energy of the diamond films were performed 30000
using the CASTEP code based on periodical density-functional
theory (DFT). The electron-ion interaction is described by
20000 O1s
10000
ultrasoft pseudopotentials in real space. The general gradient
0
approximation (GGA) by Perdew-Wang 91 for the 0 200 400 600 800 1000
exchange-correlation potentials is employed. In all the Binding energy(eV)
calculations, the wave functions are expanded into plane waves
up to a cutoff energy of 300eV. For the Brillouin-zone Fig. 1 the XPS spectra of the (a) oxygenated and (b)
integrations, a 4×4×1 grid ofMonkhorst-Packspecial points is hydrogenated diamond films
used. C(100) orientation is used to represent the diamond
surface, due to the large facets of this orientation in Raman spectra of the two diamond films, as shown in Fig.

785
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
2, indicated that there exists a strong characteristic diamond
peak at 1331 cm-1 for both the hydrogenated and oxygenated
diamond films. At 1540 cm-1, the broad non-diamond sp2 peak
is also obvious, however, it is much lower than the peak at
1331 cm-1. For the two surface-treated diamond films, there is
little variation in the Raman spectra.
90000 Oxygenated diamond film
Hydrogenated diamond film
80000
Intensity (arb.un.)
70000
60000
50000
40000
30000
600 800 1000 1200 1400
Wavenumber (cm )
Fig. 2 Raman spectra of the hydrogenated and oxygenated
diamond films
The contact angle results for oxygenated and hydrogenated
diamond films were illuminated in Fig. 3 (a) and (b),
respectively. It indicated that the hydrogenated diamond film
shows hydrophobic with a water contact angle of 92.5o. A
significant decrease of the water contact angle (33.0o) is
observed for the oxygenated diamond film, which shows
hydrophilic. These values are in keeping with published results
[4,5].
Fig. 3 the water contact angles for (a) hydrogenated and (b)
oxygenated diamond films
The wettability of the diamond films is dominated by
their surface energy. Many literatures demonstrated that the
surface energy of the diamond film can be attributed to its
surface topography and the sp3/sp2 ratio. However, in
this paper, the hydrogenation and oxygenation processes alter
the surface topography little, which are revealed by the SEM
images of the hydrogenated and oxygenated diamond films. In
addition, the sp3/sp2 ratio is hardly affected by the
surface-treated processes for their Raman spectra keep similar
to each other. Thus, the different wettability of the
hydrogenated and oxygenated diamond films mainly depends
on the surface-terminations.
Table 1 The surface energies of the clean, hydrogenated
and oxygenated C(100) surfaces
Surface Clean C(100)-2×1:H C(100)-1×1:O
energy C(100)
This work 2.70 -2.01 1.64
Literature 2.12 -2.42 -
[6]
The surface energy of the clean surfaces can be
calculated relative to bulk diamond. While, the Surface energy
of the hydrogenated and oxygenated surfaces can be calculated
1600 1800 2000 relative to bulk diamond plus two free hydrogen or oxygen
-1
atoms per cell. The calculated surface energies for clean,
mono-hydrogenated and oxygenated C(100) surfaces in this
paper and other literature were listed in Table 1. The results
showed that the surface energy of the mono-hydrogenated
C(100) surface is -2.01eV, which possesses the lowest surface
energy. The surface energy of the oxygenated C(100) surface is
1.64eV, much higher than that of the hydrogenated one. In
contrast, the clean C(100) surface possesses the highest surface
energy because of its uncovered dangling bonds. It is certain
that the higher surface energy favors a lower water contact
angle. Thus, the hydrogenated diamond film shows more
hydrophobic than the oxygenated one. Our results are
consistent with the reports from other literature. The C-H and
(a) C-O structures on diamond films exhibit different surface
energy. Probably, it can be attributed to the different electron
affinity of the two configurations. The surface negative
electron affinity of the hydrogenated diamond film is in favor
of its hydrophobility.
CONCLUSIONS
The hydrogenated and oxygenated diamond films show
hydrophobic and hydrophilic, respectively. The calculated
surface energy of the two diamond films indicated that the
hydrogenated diamond film possesses a lower surface energy
than the oxygenated one. The different surface energy induced
(b) by surface-terminations dominates their wettability.
ACKNOWLEDGEMENTS
This work was supported by the NSFC Project under grant
number 50675112 and National Basic Research Program of
China under grant number 2007CB707702. The authors would
like to thank Material Engineering Department of Tsinghua
University for providing computing server.
REFERENCES
[1] M.I. Jones, I.R. McColl, D.M. Grant, K.G. Parker, T.L.
Parker, J. Biomed. Mater. Res. 2000, 52, pp413.
[2] C.H. Goeting, F. Marken, A.G. Sosa, R.G. Compton, J.S.
Foord. Diamond Relat. Mater. 2000, 9: pp390-396
[3] P.E. Pehrsson, J.P. Long, M.J. Marchywka, J.E. Butler.
Appl. Phys. Lett. 1995, 67, 3414.
[4] L. Ostrovskaya, V. Perevertailo, V. Ralchenko, A.
Dementjev, O. Loginova. Diamond Relat. Mater. 2002, 11,
845.
[5] J.M. Garguilo, B.A. Davis, M. Buddle, F.A.M. Kock, R.J.
Nemanich. Diamond Relat. Mater. 2004, 13, 595.
[6] J. Furthmüller, J. Hafner, G. Kresse. Phys. Rev. B. 1996, 53,
7334.
786
 Investigation on the Effect of Transverse Grooves on Friction Force

Investigation on the Effect of Transverse Grooves on Friction Force

*
Zhou Gang, Wang Jiadao , Chen Haosheng, Chen Darong

State Key Laboratory of Tribology, Tsinghua University, 100084, Beijing, China

ABSTRACT However, both the experimental and theoretical research of

The effect of transverse grooves on friction force was transverse grooves on friction force was less. Meanwhile, the
considered, differing from the longitude riblets. A present experimental speed was much lower, higher speed test
discontinuous traveling wave distribution was developed based is needed. Moreover, by contrast the traditional continuous
on the traditional continuous one. The friction force was
traveling wave, here a discontinuous distribution type was
measured directly in a high-speed water tunnel with flow
velocity varying from 17 to 22m/s. The force increased developed. The present work is a continuation.
quadratic with the increasing of velocity. Compared with
smooth surface, the friction drag reduction was about 12.5%. 2 KÁRMÁN VORTEX STREET AND TRAVELING WAVE
The computational fluid dynamics simulations, using RNG k-† Flow can be classified as laminar and turbulent with the
turbulent model, showed that the vortex was formed in the comparison of inertia force and viscous force. The turbulent
groove. On the upside of the vortex, the revolving direction of flow is unordered and random, which contains coherent
the fluid was in consistent with the main flow, which decreases structure. The coherent structure is derived from the flow
the flow shear stress rate. The vortex increases the height of separation. In 1911, the flow around a column was done by
the turbulent boundary layer, and decreases the turbulent
Kármán, who found that the vortex behind the column were
intensity of main fluid field, thus decreases the slope of
two regular rows, which were separated alternately and
velocity and the friction force. Correspondingly, the transverse
grooves induce pressure drag. When the increase of pressure arranged crossingly with opposite revolving direction. Vortex
drag is less than the decrease of the friction force, the total behind the column was called Kármán Vortex Street. So the
drag is decreased. The function of the vortex in the groove was geometrical shape of streamline in the center of Kármán Vortex
like a rolling bearing. In this wok, the computational Street could be considered as the wavy wall.
simulation explained the experimental results well. Considering its steady condition of h/l=0.281, the wavy
Keywords: Skin friction forces, transverse grooves, drag wall could be simplified as a sine wave[17]
reduction Friction l 2#x
y sin
2# l
1 INTRODUCTION where x and y coordinate are horizontal and vertical of flow
The drag is encountered in submerged vehicles or surface direction respectively, l represents the distance of every
ship and pipeline transformation, which is split into three parts: column of vortex, and h row distance.
pressure drag (or form drag), wave making resistance and skin
friction drag. Pressure drag accounts for the total drag of
blunt-nosed bodies; wave making resistance is the largest part
of the high-speed surface ships. However, skin friction drag
plays an important role in the total drag, even over 60% or
80% of streamlined bodies. The former two kinds of drag are
mainly depending on the body’s shape and the last one (friction
force) on the solid/liquid interfaces.
Early in 1970s it has been found that riblets on the surface
aligned in the streamwise direction could reduce the drag by
(a) Kármán Vortex Street
Walsh et al.[1][2]. Choi et al.[3] indicated that the riblets delayed
the turbulent transition. Bechert et al.[4] measured several kinds
of riblets with different shapes and dimension, a 5%
skin-friction drag reduction was gained (the maximum velocity
was less than 1.3 m/s). Debisschop[5] found a 13% drag
reduction, and Neumann[6] 9% of axial sample (9 m/s). In
China, Wang Jinjun[7] (less than 0.2 m/s) et al also carried out
the riblet research. On the mechanics of drag reduction of
riblets, Gallagher and Thomas[8], Bacher and Smith[9], Choi[10]
and Walsh[11] had done great contributions.
(b) Simplified Kármán Vortex Street
Similarly, the research of transverse grooves (also called
traveling wall or wavy wall) on friction force was also done.
Yiqing Du[12] found a striking 30% drag reduction using
regular transverse rectangular groove. D.N. Riahi[13] researched
the relation between the wall wave and vortex, M. Asai[14]
found the decrease of stability. Yong-Sun Wie[15] pointed the
instability of flow was important to the break of T-S vortex. (c) Geometrical shape of wavy wall
The flow field was also simulated by Pan Guang[16] and Zhang Fig. 1 Kármán Vortex Street and the geometrical shape of
Xiaoci[17] et al. in China. wavy wall[17]

787
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

An elliptical vortex would form in the valley of the wavy

wall. On the top of the elliptical vortex, the flow direction is
consistent with the main flow, which would reduce the velocity
gradient and lower the intensity of shear, and then gain a drag
reduction. The vortex in the valley is just like a ball of rolling
bearing.
Traditional traveling wave was continuous. This kind of
distribution effects the flow conditions of the neighbor waves:
lower the flow energy and vorticity magnitude in the wave and
increase the pressure drag.
U

(c) Static pressure
 1.6
Continous travelling wave
1.5 Discontinous travelling wave

Pressure drag of every wave (N)

(a) Continuous traveling wave
1.4
U L
 1.3

 1.2

1.1
(b) Discontinuous traveling wave
1.0

Fig. 2 The traditional continuous traveling wave and the 0.9

improved discontinuous one 0.8

0 2 4 6 8 10 12 14
Fig. 2 shows the improved discontinuous traveling wave Number of the travelling wave
distribution: between adjacent waves was a straight segment. (d) Pressure drag
From fig. 3, we can see that the dynamic pressure and vorticity
magnitude firstly decreased and then maintained a Fig. 3 Contrast of dynamic pressure, vorticity magnitude, static
constant(seen in Fig. 3 (a) and (b)). The case of the pressure distribution and pressure drag in every wave of the
discontinuous waves was larger than the continuous ones: two kinds of distributions
dynamics pressure twice and vorticity magnitude more than
20%. From the static pressure nephogram (seen in Fig. 3 (c)), 3 EXPERIMENTAL METHOD
though the pressure value of the discontinuous waves was The experiment was done with a high-speed water
large, the pressure drag was less than the continuous (seen in tunnel, which is a closed circulation system. The water
Fig. 3 (d)). In one word, the newly developed wave was driven by the pump, and first flows through the
distribution was better than the traditional one. anti-revolve part, which prevents the revolving of the
0.0025
Continous travelling wave
flow primarily. The disturbances of flow vertical
streamwise were eliminated by the honeycomb. Water
Dynamic Pressure in the wave (Pa)

Discontinous travelling wave

0.0020 was accelerated by the contraction with Five-Power
curves. In the four bends, guide vanes were employed in
0.0015
order to decrease the flow separation and increase the
uniformity. The purpose of all the methods was to
0.0010
improve the flow quality and to prevent the flow
0.0005
separation.
The test section of the water tunnel can measure the
0.0000
friction force of the sample directly[18]. The middle of the
0 2 4 6 8 10 12 14 model was the sample, which was supported on the center axle.
Number of the travelling wave
Via the slipping pins, the friction force was transferred to the
(a) Dynamic pressure
force balance. The head and tail of the model were fixed on the
22000
Continous travelling wave
center supporting. There were two small gaps between the
Vorticity magnitude of every wave (1/s)

Discontinous travelling wave sample and its front and back accessories. So the pressure
20000
force would transfer to the supporting and only the friction
force was measured.
18000
Samples were cylindrical pipes with a length of 325mm
and a diameter of 39mm. Sample 1# was a common pipe, i.e.
16000
slippery one. On the surface of sample 2# was discontinuous wavy
14000
grooves, which was as wavy wall. The morphology of the two
samples was measured by a Talysurf 5P-120 profilometer
12000 (Taly-Hobbson). The roughness of Sample 1# was about
0 2 4 6 8 10 12 14
0.6m. The depth of the traveling wave was about 60m and
Number of the travelling wave
distance between each wave was about 1200m (see Fig. 5).
(b) Vorticity magnitude

788
 Investigation on the Effect of Transverse Grooves on Friction Force

different flow rate. Every point was the average of more than
three measured data. The friction force was increased quadratic
with the velocity. The force of the 2# sample with wavy wall
was lower than 1# sample: a more than 12% drag reduction
was gained under the velocity of 17 to 22 m/s.
4.4
1# Sample (common one)

Original Voltage of friction force (V)

2# Sample (travelling wave)
4.2

4.0

3.8

3.6

3.4
(a) Flow circulation system
3.2
3LSHRIWHVWVHFWLRQ 17 18 19 20 21 22
6OLSULQJ 3LQ
6OLSULQJ Velocity (m/s)
)ORZGLUHFWLRQ
(a) Difference of test voltage
13.33

6HQVRU
+HDG 6DPSOH 6XSSRUWLQJ 3LQ 7DLO 13.28
%DODQFH

Drag reduction (%)

$'FDUG 6WUDLQ*DXJH 6XSSRUWLQJ
13.17
6LJQDOOLQH
&RPSXWHU

12.78

(b) Test section 12.10

Fig. 4 The high-speed water tunnel and its test section

17 18 19 20 21 22
A
Volocity (m/s)
30 (b) Drag reduction
20 Fig. 6 The results of two different samples
10 A simulation was made using computational fluid
Depth (m)

dynamics. The k-turbulent model was used. Fig. 5 shows the

0
vortex formed in the wave and the static pressure distribution
-10 along the wavy wall. An elliptic vortex was formed in the
-20 valley of the wave. A relative low pressure occurred past the
crest and a high pressure before the crest along the flow
-30

0 1000 2000 3000 4000 5000 6000 7000 8000

Length (m)

(a) Six traveling waves

40 Magnification of A
Depth (m)

20
0
-20
-40
750 800 850 900 950 1000 1050
Length (m)
(a) Flow in the traveling wave
(b) Single traveling wave
Fig. 5 The morphology of samples

Each time the test was done from low speed to high speed
gradually. The fluid medium was tap water and the temperature
was about 20ć (with a fluctuation of less than 2ć during test).
In order to avoiding cavitations of the water tunnel, the system
pressure of the inlet of the contraction was maintained 5.3atm.
The signal of the force sensor was magnified by a strain gauge
and the voltage was gained by a computer, which were
proportion to the skin-friction force.
(b) Static pressure along the wavy wall
4 RESULTS AND DISCUSSIONS Fig. 7 Vortex formed in the wave and the pressure distribution
Fig. 6 shows the voltages of the two samples under along the wavy wall (Two periods)

789
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
direction. The flow direction on the upside of the vortex was
the same with the main flow, which would bring the reduction
of the viscous shear force partly. The function of the vortex in
the groove was similar with a rolling bearing. In the outer layer
of fluid field, the vortex increases the height of the turbulent
boundary layer, and decreases the turbulent intensity of main
fluid field, increases the height of the turbulent boundary layer,
decreases the slope of velocity (Seen in Fig. 8) and the friction
force. Considering the pressure distribution, only when the
pressure force, induced from the wavy wall, lower than the loss
of viscous shear force, the total drag would lower. In other
words, only the wavy wall was in proper dimensions, it would
be useful in drag reduction. And at moment, the Kármán vortex
street gives us a good reference.
Considering the complexity of flow, the shape and
dimension of wavy wall would change with the flow
conditions including the fluid medium, velocity, object shape
and so on. More researches will be needed in the future.
0.0020 Common wall
0.0018 Wall with travelling waves
0.0016
Distance from the wall (m)
0.0014
0.0012
0.0010
0.0008
0.0006
0.0004
0.0002
0.0000
4 5 6 7 8 9
Velocity (m/s)
Fig. 8 The velocity distribution contrast in the boundary layer
near the wall
5 ACKNOWLEDGEMENTS
The authors would like to thank Li Yongjian (Tsinghua
University) for his great contributions in this work. This work
was supported by the Major State Basic Research
Development Program of China (973 Program, No.
2007CB707702) and NSFC Project (No. 50721004).
REFERENCES
[1] Walsh M J., 1982, “Turbulent boundary layer drag
reduction using riblets”, AIAA Journal., AIAA-82-0169
[2] Walsh M J., 1983, “Riblets as a viscous drag reduction
technique”, AIAA Journal., 21(4), pp.485-486
[3] Choi K-SˈOrchard D M., 2000, “Turbulence management
using riblets for heat and momentum transfer”, Int. J. Exp.
Thermal Fluid Sci., 15(2), pp.109-124.
[4] D.W. Bechert, M. Bruse, W. Hage, J. G. T. Van Der Hoeven,
G. Hoppe, 1997, “Experiments on drag-reducing surfaces
and their optimization with an adjustable geometry”, J.
Fluid Mech., 338, pp.59-87
[5] Debisschop J R, Nieuwstadt T M., 1996, “Turbulent
boundary layer in an adverse pressure gradient:
Effectiveness of riblets”, AIAA Journal, 34 (5), pp.932̚
937
[6] Neumann D, Dinkelacker A., 1991, “Drag measurements
on V-grooved surfaces on a body of revolution in axial
flow”, Applied Scientific Research, 48 (1), pp.105̚114
[7] Jin-jun Wang, Shi-long Lan, Guang Chen, 2000,
“Experimental study on the turbulent boundary layer over
riblets surface”, Fluid Dynamics Research, 27, pp.217-229
[8] Gallagher J A, Thomas A S W., 1984, “Turbulent boundary
layer characteristics over streamwise grooves”, AIAA
Journal., AIAA-84-2185
[9] Bacher E V, Smith C R., 1985, “A combined
visualization-anemometry study of the turbulent drag
reducing mechanisms of triangular micro-groove surface
modifications”, AIAA Journal., A IAA-85-0548
[10] Starling L, Choi K-S., 1997, “Non-linear laminar-
turbulent transition over riblets”, In Proceedings of the
Laminar Flow Workshop, Queen Mary and Westfield
College, London
[11] M. J. Walsh, D. M. Bushnell, J. N. Hefner, (Eds.), 1990,
“Viscous drag reduction in boundary layers”, Prog.
Astronaut. Aeronaut. 123, pp.203-261
[12] Yiqing Du, V. Symeonidis, G. E. Karniadakis., 2002,
10 11 “Drag reduction in wall-bounded turbulence via a
transverse travelling wave”, J. Fluid Mech. 457, pp. 1-34
[13] D.N. Riahi, 1999, “Boundary wave-vortex interaction in
channel with a wavy wall at high Reynolds numbers”,
Fluid Dynamics Research, 25, pp.129-145
[14] M. Asai, J.M. Floryan., 2006, “Experiments on the linear
instability of flow in a wavy channel”, European Journal
of Mechanics B/Fluids, 25, pp.971–986
[15] Yong-Sun Wie, Mujeeb R. Malik, 1998, “Effect of surface
waviness on boundary-layer transition in two-dimensional
flow”, Computers & Fluids 27(2), pp.157-181
[16] Pan Guang, Guo Xiao-juan, Hu Hai-bao, 2006,
“Numerical Simulation of Semicircular Traveling Wave
Surface and Study on its Drag-Reduction Mechanism”,
Journal of System Simulation, 18(11), pp.3073-3094 (in
Chinese)
[17] Zhang Xiao-ci, 2001, “Traveling Wave Pasted Layer of
High-speed Underwater Vehicles for Reducing Noise and
Drag”, Journal of Ship Mechanics, 5(2), pp1-4 (in Chinese)
[18] Wang Jiadao, Zhou Gang, Shao Tianmin, Li Ang, Chen
Darong, 2007, “A kind of test device of circular skin
friction force”, Publication number: CN101050995
(Chinese patient)
790
 Research for Forming Mechanism of Benard Coating Shaped Bi-Unit Composite Structure

Research for Forming Mechanism of Benard Coating Shaped Bi-Unit Composite Structure

Zhaoliang Dou, Jiadao Wang, Haosheng Chen, Darong Chen*

State Key Laboratory of Tribology (Tsinghua University, Beijing, 100084, China)

a MicroXAM-3D surface profiler. As are shown in figure 1

ABSTRACT and 2, the first rank topography are Benard caves shaped taper
A kind of Benard coating shaped bi-unit composite with their depth of 0~20m and diameter of 500~5000m,
structure was developed, of which the forming mechanism while the second rank topography are impaction caves shaped
was discussed. A 3D Benard convection numerical model with trapezium with their depth generally less than 3m and
evaporation interface was founded to simulate the forming diameter of 0~15m.
process of the first rank topography—Benard cave, whose
result coincided perfectly with experiment phenomena. The
second rank cave was supposed to be shaped by the impaction
of sinking particle, and convictive evidence was found to
support this. By changing type or dosage of coating
component, surface topography parameters of this coating
were controlled effectively.
Keywords: Benard, Coating, Convection, Cave
Fig.1 first rank topography—Benard cave

INTRODUCTION

For a long time, scientists and researchers have been

dedicated to looking for effective methods and technologies to
reduce solid/ liquid interface friction drag, and until now many
drag reduction technologies have been developed, such as
topography (generally riblets and traveling wave), low surface
energy coatings, polymer additives, bionics, etc. In the paper,
a kind of Benard coating with bi-unit composite structure
shaped naturally was developed. The result of an experiment Fig.2 Second rank topography—impaction cave
on a small coated boat showed that the friction drag reduction
rate was more than 10% at a wide speed range from 5m/s to
15m/s. FORMING MECHANISM OF BENARD COATING

COATING PREPARATION AND TOPOGRAPHY FORMING MECHANISM OF FIRST RANK CAVE CAUSED

ANALYSIS BY BENARD CONVECTION

Evaporation of solvent at the surface layer of wet coating
Add micron/nanometer granules and some additives with
resulted in lower temperature, greater density and stronger
special performance to the basic fluorocarbon rosin to make an
surface tension, which means the appearance of temperature
admixture, and then paint sample surface with the admixture
graduation, density graduation and surface energy graduation.
above. Admixture viscosity during painting and environment
The graduations between surface layer and bottom brought
temperature during solidification should be controlled properly.
Rayleigh-Marangoni-Benard convection to the wet coating
Topography of solidified Benard coating was studied by using
system [1,2,3]. The mixture at the bottom with lower surface
energy was driven to the surface layer by the convection and
*Email: chendr@tsinghua.edu.cn
then outspreaded to the edges of the Benard convection cells.

791
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
This process was synchronous with that of the coating
solidification caused by the evaporation of the solvent at the
surface layer and of what was driven to the surface layer by
the convection. Edges of the Benard convection cells
protuberated and centers subsided, which made the convection
cells to be caves, and the topography of these caves became
immovable after the solidification of the coating finished, as is
shown in figure 3. The caves caused by Benard convection
, dimensionless number of the dosage,
were the first rank topography of the coating, which were
shaped taper with depth of 0~20m and diameter of
500~5000m, as is shown in figure 4.
Fig.3 Benard convection
Fig.4 Benard caves
Experimental results showed that, depth of Benard cave can be
controlled by changing dosage of low surface energy additives,
as is shown in figure 5.
792
Low surface energy additives induced surface energy
graduation between surface layer and bottom of the wet
coating, which could brought strong convection. Without them,
Benard convection was driven only by temperature graduation
and density graduation caused by evaporation of solvent at the
surface layer, whose intensity was lower. That’s why the depth
of Benard caves in this condition was just 2m, as is shown in
figure 6. As
increased from 1, 1.5 to 2, the cave depth firstly increased
from 15m to 20m synchronously and then came to be stable
at 20m.As 7 increased to 2.5, the cave depth deceased to
15m, as is shown in figure 7. Overlapping between
convection caves was the main reason of depth downtrend.
Depth of Benard caves
25
20
15
10
5
0
0 1 2 3
alpha
Fig.5 Relationship between depth of Benard caves and dosage
of low surface energy additives
Fig.6 Depth of Benard caves when 7 =0
 Research for Forming Mechanism of Benard Coating Shaped Bi-Unit Composite Structure

Fig.8 Forming process of impaction cave

Fig.7 Depth of Benard caves when 7 =2.5

FORMING MECHANISM OF SECOND RANK CAVE

CAUSED BY IMPACTION OF SINKING GRANULES
In the solidification process of wet Benard coating,
lamellar granules driven to the surface layer of coating system
Fig.9 Impaction caves under CLSM
by Benard convection sunk continuously. Impaction caves
caused by sinking of lamellar granules can not be flatten by
surrounding rosin because the rosin became more viscous in
the evaporation process of solvent, and then second rank caves
formed, as is shown in figure 8. It was found under the
Confocal Laser Scanning Microscope (CLSM) that, at the
bottom of every cave, there was a lamellar granule whose size
and shape were similar with those of the cave, as is shown in
figure 9, which was a convictive evidence for the forming
mechanism of second rank caves. The impaction caves,
second rank topography, were shaped trapezium with their
depth generally less than 3m and diameter of 0~15m.
Experimental results showed that, diameter and depth of
impaction caves could be controlled by changing size of
lamellar granules. Diameter of the impaction caves was about
5m, and the depth was 0.8m when granules whose size was
about 10m were used in Benard coating, as is shown in
figure10. Diameter changed to be 5m, and depth changed to
be 0.8m, when granules size changed to be 20m, as is
shown in figure11. Fig.10 Impaction caves when granule size was 10m

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

a11 a12 a13 a14 a15

b11 b12 b13 b14
a21 a22 a23 a24 a25
b21 b22 b23 b24
a31 a32 a33 a34 a35
b31 b32 b33 b34
a41 a42 a43 a44 a45
b41 b42 b43 b44
a51 a52 a53 a54 a55

Fig.12 Velocity graduation of face Y=0

a11 a12 a13 a14 a15

b11 b12 b13 b14
a21 a22 a23 a24 a25
b21 b22 b23 b24
Fig.11 Impaction caves when granule size was 20m
a31 a32 a33 a34 a35
b31 b32 b33 b34
a41 a42 a43 a44 a45
NUMERICAL SIMULATIONS
b41 b42 b43 b44
Wet coating painted on the sample surface was actually an
a51 a52 a53 a54 a55
admixture of rosin, solvent, additives, granules, etc. During
the coating solidification process, heat consumed by solvent
evaporation of surface layer was compensated by wet coating
Fig.13 Temperature graduation of face Y=0
system in the way of heat convection and conduction [4,5].
Solvent evaporation induced the appearance of temperature
graduation, density graduation and surface tension graduation,
b31 b32 b33 b34
and resulted in Benard convection.
In the paper, Benard convection caused by solvent evaporation Fig.14 Velocity vector graph of B3
in two-layer fluid system was studied numerically by using the
software of FLUENT in three dimensions. The calculations CONCLUSIONS
were carried out under conditions below: Pr=5.93ˈRa=1.675 A kind of Benard coating shaped bi-unit composite
h104, proportion of cuboid module: 10:1:10, discretization of structure was developed, and the forming mechanism was
pressure: PRESTO, Pressure-Velocity coupling: SIMPLEC. discussed. The first rank topography—Benard caves were built
Velocity graduation of face Y=0 was shown in figure 12. In by Benard convection induced by solvent evaporation of wet
this figure, areas corresponding to the elements of matrix coating, and they could be controlled effectively by changing
B=(bij)(i, j=1,Ă,4) were upward convection centers, while dosage of low surface energy additives. The second rank caves
areas to elements of matrix A=(aij)(i, j=1, Ă ,5) were were impacted by sinking lamellar granules, and they could be
downward convection centers. There were totally 16 upward controlled effectively by changing granule size. A 3D Benard
convection centers in the calculation area, which shaped 16 convection numerical model with evaporation interface was
first rank caves after coating solidification finished. founded to simulate the forming process of Benard caves,
Temperature graduation of face Y=0 was shown in figure 13, whose result coincided perfectly with experimental
and velocity vector graph of B3 was shown in figure 14. phenomena.

794
 Research for Forming Mechanism of Benard Coating Shaped Bi-Unit Composite Structure

ACKNOWLEDGEMENTS [3] LIU Rong, LIU Qiu-Sheng,2005, “ANALYSIS ON THE

This work is supported by the NSFC under Project Grant Marangoni-Benard INSTABILITY OF TWO PHASE
No. 50721004, No.50675112, and No.50505020. LAYERS,” JOURNAL OF ENGNIEERING
THERMOPHSICSˈVol.26, No.2, Mar., pp.264-266
[4] LIU Rong, LIU Qiu-Sheng, 2006, “ANALYSIS ON THE
REFERENCES
CONVECTIVE INSTABILITY OF TWO LAYER
[1] ZHOU Binghon, 2004, “RAYLEIGH-MARANGONI-
EVAPROATION SYSTEM,” JOURNAL OF
BENARD INSTABILITY IN TWO—LAYER FLUID
ENGNIEERING THERMOPHSICSˈVol.27, No.3, May.
SYSTEM,” ACTA MECHANICA SINICA, Vo1.20, No.4,
Pp.429-432.
August, pp.366-373 [5] SHA Yong, 2002, “EXPERIMENT STUDY ON
[2] David A, 2000, “Mechanisms of extensive spatiotemporal Rayleigh-Benard-Marangoni EFFECT IN BINARY
chaos in Rayleigh-Benard convection,” NATURE, VOL DIFFSION,” Journal of Chemical Industry and Engineering
404, 13 APRIL, pp.733-736 (China)ˈVol. 53, No.9 September, pp.976~979.

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Microstructure and Mechanical Properties of TiCN Coatings Prepared by MTCVD
Zhengbing Qi1, Peng Sun2, Zhoucheng Wang2,
1
Dept. of Materials Science and Engineering, Xiamen University, Xiamen, China
2
Dept. of Chemical and Biochemical Engineering, Xiamen University, Xiamen, China
ABSTRACT
TiCN coatings deposited on cemented carbide cutting tools
substrates using medium temperature chemical vapor
deposition (MTCVD) have gained prominence in the machine
of stainless steels and other abrasive workpiece materials.
Analysis and characterization techniques have been used to
characterize the microstructure, composition and mechanical
properties of MTCVD-TiCN coatings. The morphologies of
the surface and cross-section, phase and chemical
compositions of TiCN coatings were examined by scanning
electron microscope (SEM), X-ray diffraction (XRD) and
energy dispersive spectrometry (EDS). The hardness and
elastic modulus, adhesion and scratch resistance of TiCN
coatings were determined by CSM nanoindentation and scratch
testers. The results show that the etching reagents and etching
time have an evident influence on the morphology of the
cross-section of TiCN coatings. The surface morphology of
TiCN coating exhibits lenticular (taper-shaped) microstructure.
The cross-section morphology of TiCN coating exhibits
fibrous microstructure with long-needle grains. The hardness
and elastic modulus of TiCN coatings were 21.154 GPa and
601.02 GPa respectively. Furthermore, the results of scratch
show that the TiCN coatings fail by flaking during the scratch
test, exhibiting good adhesion between the coating and
cemented carbide substrate.
Keywords: Microstructure, Mechanical properties, TiCN,
MTCVD, Coating
INTRODUCTION
TiCN coatings due to the properties of high hardness and
elastic modulus, good adhesion, high melting temperature, low
friction coefficient in relation to steel and high wear resistance
are widely deposited on cemented carbide cutting tools to
prolong the tools lifetime [1-3]. The development of
commercial TiCN coatings in the past few years has been
stimulated by an increase wear resistance when compared to
analogous TiN commercial coatings [4]. So these coatings are
well suited to milling and thread-cutting operations [5].
There are many methods used to prepare TiCN coatings
such as cathodic arc plasma deposition (CAPD) [6], magnetron
sputtering [7], medium temperature chemical vapor deposition
(MTCVD) [8], and other vapor deposition methods. Each
method has its relative advantages for certain applications.
Among them, medium temperature chemical vapor deposition
(MTCVD) is a promising and common technique. Compared
with magnetron sputtering and high temperature chemical vapor
deposition (HTCVD), MTCVD has a series of advantages, for
example, the rate of deposition is rapid with low deposition
temperature, the adhesion to substrate is good, the equipment of
MTCVD is simple and suited for coatings prepared in cutting
tool industry. In general, MTCVD coatings have increased
toughness and smoothness, over conventional CVD coatings,
without any degradation in wear and crater resistance [9-10].
Furthermore, the normally observed inherent thermal cracks
present in conventional CVD coatings are mostly absent in
*To whom all correspondence should be addressed.
796
*
MTCVD coatings, resulting in increased toughness.
In this study, we have investigated several TiCN coatings
deposited on cemented carbide cutting tools by MTCVD. The
microstructures of surface and cross-section were investigated
by SEM. The mechanical properties of TiCN coatings were
determined by CSM instruments including hardness, elastic
modulus and adhesion to substrate.
EXPERIMENTAL DETAILS
MTCVD-TiCN and TiN coatings were deposited on
standard tungsten carbide tools using Ionbond Company CVD
reactor. Precursors used were TiCl4, CH3CN, N2 and H2 for
balance. Precursor flow rates were controlled by gas flow and
liquid flow controllers. The deposition temperature ranged
from 800 ć to 900 ć. The reactor pressure ranged from 10.0
to 20.0 KPa. Initial TiN layers approximately 1 m thick were
deposited before the deposition of TiCN coatings in which the
carbon content were gradually increased as the coatings
thickness increased. The top coating layers of TiN were used to
enhance the adhesion between the TiCN coatings and
cemented carbide substrates.
The microstructure of the surface and cross-section of
TiCN coatings were examined by Philips XL30 scanning
electron microscope (SEM). The procedure of preparing
cross-section samples involved four sequential steps. They
were incrustation, diamond rubbing and polishing respectively.
Additionally the cross-section samples were etched using
different etching reagent for diverse time. Table 1 shows the
etching reagent and etching time in details.
Table 1 Etching conditions for the microstructure of TiCN
coatings
Consistency Consistency of
Samples of Etching
of hydrofluoric
cross-section time (s)
nitric acid acid
a 60% 20% 30
b 70% 15% 30
c 60% 20% 40
d 70% 15% 40
The phase composition was investigated using Panalytical
X'pert PRO X-ray diffraction. The diffraction experiments
were performed at normal scanning using Cu K radiation. 2
theta angles ranged from 5 degree to 120 degree. The chemical
composition and chemical formula of coatings were
determined by XRD and EDS.
Nanoindentation test was performed using CSEM
nanoindentation system. The system comprised two distinct
components, a measuring head for performing indentations and
an optical microscope for selecting a specific sample site prior
to indentation and for checking the location of the imprint after
indentation. In the test, linear loading was used to the maximum
load of 200.00 mN. Both of the loading rate and unloading rate
were 400 mN per minute. Three indentations were performed on
TiCN coatings to improve the reliability of the hardness
measurement data obtained. Additionally a Berkovich-type
 Microstructure and Mechanical Properties of TiCN Coatings Prepared by MTCVD

diamond indenter was used. All mechanical parameters were

analyzed with the Oliver and Pharr method.
Applied loading and depth were measured dynamically
during a loading-unloading cycle. The hardness and elastic
modulus were calculated directly from the resultant
loading-displacement curve. The hardness (Hit) was determined
from the maximum applied loading (Fm) and the projected
contact area , Ap:
Fm
H it 
Ap
To obtain the elastic modulus (Eit), the reduced modulus (Er)
was calculated from the contact stiffness (S) which was
obtained from the tangent of the unloading curve:

# S Fig.1 SEM image of the surface morphology of TiCN coating

Er 
2 Ap Fig.2 shows the cross-section morphologies of TiCN
coatings using different etching reagent at diverse time as
The reduced modulus was defined by: shown in Table 1. In Fig.2 (b), the MTCVD monolayer TiCN
1 1  - 2 1  - i2 coating has fibrous structure with long needle-like grains. The
  width of the grain ranges from 0.4 to 0.8m, and the thickness
Er Eit Ei of the TiCN coating is about 8 m. In Fig.2 (a), (b), (c) and (d),
there are evident crannies approximately 1 m wide that are
Where  is the Poisson’s ratio for the sample, i is the
the initial TiN layers, because the TiN layers were first etched
Poisson’s ratio for the diamond indenter , Eit is the elastic
in the etching reagent consisting of HNO3 and HF. Fig.2 (a)
modulus for the sample and Ei is the elastic modulus for the
shows the incomplete morphology of fibrous structure of TiCN
indenter.
coating. Compared with Fig.2 (b), Fig.2 (d) exhibits the
On a coated surface during the nanoindentation testing, the
cross-section morphology of TiCN coating with excessive
maximum indentation penetration should be less than 10% of
etching. The extent of etching rises as the increasing of etching
the total film thickness to avoid substrate influence. Although
time and the consistency of nitric acid observed from Fig.2 (a),
there is no safe depth range at which the elastic response of a
Fig.2 (b) and Fig.2 (d). Nevertheless the etching time should
coated system to indentation is free of substrate influence, the
be less than 50s in order to avoid excessive etching of the
choice of a very low indentation depth and low applied loading
coatings. From Fig.2, it can be concluded that the suitable
minimizes the substrate contribution and provides a reasonable
etching reagent consistency to investigate the morphologies of
estimate of the coating elastic modulus [11].
MTCVD-TiCN coatings is determined as 70% HNO3 + 15%
Scratching testing was performed using CSM Revetest
HF as well as the etching time confirmed as 30 s.
scratch tester. The scratch tester was used to characterize the
Phase and chemical composition
coating-substrate system and to quantify parameters such as
X-ray diffraction was used to determine the phase
friction force and adhesive strength. The technique involves
composition of TiCN coating. Fig.3 shows the XRD patterns
generating a controlled scratch with a diamond tip on the
for TiCN coating. The diffraction peaks of TiCN coating and
sample under test. The Rockwell diamond tip was drawn
WC (substrate) are both exhibited in Fig.3. From Fig.3, TiCN
across the coated surface under either a constant or progressive
coating has an FCC crystal structure (Fm-3m) with lattice
load. At a certain critical load the coating will start to fail. The
parameter a= 4.297Å, as well as WC substrate with hexagonal
critical loads are detected very precisely by means of an
crystal structure. Compared with the other diffraction peaks,
acoustic sensor attached to the load arm together with
the intensity of first peak for TiCN coating is considerably
observations from a built in optical microscope. The critical
higher due to the (111) preferred orientation. The chemical
load data are used to quantify the adhesive properties of
composition of TiCN coating was determined by EDS. The
different coating-substrate combinations. In addition to
mass fractions of Ti, C and N elements were 81.2%, 12.3%,
acoustic emission the scratch testers measure the load normal
6.5% respectively. The chemical formula of coatings was
to the coating, friction force, and also the penetration depth.
TiC0.7N0.3 determined by EDS combined with XRD.
These parameters, together with the acoustic emission,
Nanoindentation test
constitute a unique signature of the coating system under test.
Fig.4 illustrates the load-unloading curves for three
In this paper, the radius of scratch tester tip was 100 m, and
indentations that are obtained from a Berkovich diamond
the length of scratch tester’s track was 1 mm. Linear scratch
indenter at a load of 200 mN. A summary performed for TiCN
was used to the maximum of 100 N and the loading rate was
coating is shown in Table 2. The indentation data shows scatter
200 N per minute.
due to the high surface roughness of the inserts which can be
seen from the SEM image of the surface morphology of TiCN
EXPERIMENTAL RESULTS AND DISCUSSION coating in Fig.1. The mean values of hardness and elastic
Microstructure of surface and cross-section modulus for TiCN coating are 21.154 GPa and 601.02 GPa
Fig.1 shows the surface morphology of TiCN coating, respectively. In addition, the hardness for TiC, TiN and TiCN
exhibiting lenticular (taper-shaped) morphology. The grains of coatings deposited by plasma enhanced chemical vapor
surface exhibits dense packing structure. The size of the grain deposition (PECVD) that were investigated by nano
was approximate 1 m with high surface roughness. indentation technique (Hysitron Triboscope, USA) ranged
from 20.56 to 23.64 GPa, 11.84 to 14.09 GPa and 8.24 to 11.02

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

(a) (b)

(c) (d)

Fig.2 SEM images of the cross-section morphology of TiCN coatings after etched at different etching conditions as shown in Table 1

Fig.3 X-ray diffraction patterns of MTCVD-TiCN coating

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 Microstructure and Mechanical Properties of TiCN Coatings Prepared by MTCVD

GPa, respectively. And the elastic modulus for TiC, TiN and
TiCN coatings ranged from 264.81 to 272.06 GPa, 182.83 to
199.28 GPa and 170.34 to 180.25 GPa, respectively [12].
Compared with TiC, TiN and TiCN coatings deposited by
PECVD, MTCVD-TiCN coating exhibits a higher hardness
and elastic modulus.
substrate observed by optical microscope. Lc2 is determined
by the time the friction coefficient has an evident
transformation due to the complete failure of TiCN coating. In
Fig.6 (b), the bright area was cemented carbide substrate while
the dark region was TiCN coating, showing the TiCN coating
completely flaked away from the substrate. The value of Lc2
was also identified as the adhesion parameter between coating
and substrate. From Fig.5, the scratching loads corresponding
to Lc1 and Lc2 can be obtained as 53±0.5 N and 64±0.5 N
respectively. Additionally the CPRs value for TiCN coating
was calculated as 583 N2. From Fig.6, it could be concluded
that the TiCN coating failed by flaking rather than by cracking
or delaminating due to its long needle-like grains during
scratch testing.

Fig.4 Load-displacement curve of TiCN coating at an

indentation load of 200 mN for three indentations

Table 2 Nanoindentation test results of TiCN coating

Penetration
Test number Hit (GPa) Eit (GPa)
depth (nm)
1 21.750 616.56 679.46
2 20.920 597.84 748.13 (a)
3 20.792 588.65 749.70

Scratch test
During the scratch test, Lc1 has been identified as the
critical load that corresponds to the first crack or the primary
flaking of coating in optical microscopy. The higher crucial
load Lc2 corresponds to a dramatic failure of the coating. The
parameter CPRs=Lc1×(Lc2 Lc1) is calculated based on the
data obtained from the scratch test. This characteristic is
suggested as a “scratch crack propagation resistance” and
could be a measure of the fracture toughness of the coating
[13]. Flaking (adhesive failure) is the most common
phenomena for MTCVD-TiCN coatings. Fig.5 shows the
scratch test curve of TiCN coating. (b)
Fig.6 Micrographs of scratch test tracks corresponding to (a)
lower critical load Lc1 and (b) higher critical load Lc2

Fig.5 Scratch test curve of TiCN coating at a scratching load of
100 N
Lc1 is determined by the time when the acoustic emission
changes rapidly because of local coating flaking away from the
SUMMARY
In this study, the SEM with EDS, CSM nanoindentation and
scratch testers were carried out for TiCN coatings deposited on
cemented carbide cutting tools by MTCVD to investigate the
microstructure and mechanical properties. The results shows
that the surface and cross section morphologies of TiCN coating
exhibit lenticular (taper-shaped) and fibrous structure with long
needle-like grains. Additionally the TiCN coating has an FCC
crystal structure (Fm-3m) with lattice parameter a= 4.297Å. The
chemical formula of the coating is TiC0.7N0.3 determined by
EDS combined with XRD. The hardness and elastic modulus of
TiCN coating are 21.154 GPa and 601.02 GPa respectively. Lc1,
Lc2 and CPRs values for TiCN coating are obtained as 53±0.5
N, 64±0.5 N and 583 N2 respectively. The TiCN coating fails by
flaking rather than by cracking or delaminating due to its long
needle-like grains during scratch testing.

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
ACKNOWLEDGEMENTS
Prof Zhou-Cheng Wang thanks for the financial support
from National Key Technology R&D Program of China
(No.2007BAE05B04).
REFERENCES
[1] Klocke, F., Krieg, T., 1999, “Coated tools for metal cutting
- features and applications”, Ann. CIRP, 48, pp.515.
[2] Pancielejko, M., Precht, W., Czyzniewski, A., 1999,
“Tribological properties of PVD titanium carbides”,
Vacuum, 53, pp.57-60.
[3] Kwasny, W., Brytan, Z., Pancielejko, M., 2002,
Proceedings of the Sixth International Research/Expert
Conference on Trends in the Development of Machinery
and Associated Technology (TMT 2002) .
[4] Randhawa, H., 1987, “Cathodic arc plasma deposition of
TiC and TiCxN1
x films”, Thin Solid Films, 153, of monolayer, bilayer and trilayer coatings on cemented
pp.209-218.
[5] Knotek, O., Loffler, F., Kramer, G., 1993, “Deposition,
properties and performance behaviour of carbide and
carbonitride PVD coatings”, Surface and Coatings
Technology, 61, pp.320-325.
[6] Arrando, F., Polo, M.C., Molera, P., Esteve, J., 1994,
“Comparative study of high corrosion resistant TiCxN1
x pp.365–372.
and TiN hard coatings”, Surface and Coatings Technology,
68/69, pp.536-540.
[7] Deng, T., Braun, M., 1994, “Tribological behavior of TiN,
TiCxNy and TiC coatings prepared by unbalanced magnetron
sputtering techniques”, Surface and Coatings Technology,
70, pp.49-56.
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[8] Kudapa, S., Narasimhan, K., Boppana, P., Russell, W.C.,
1999, “Characterization and properties of MTCVD TiCN
and MTCVD ZrCN coatings”, Surface and Coatings
Technology, 120-121, pp.259-264.
[9] Bonetti-Lang, M., Bonetti, R., Hintermann, H.E., 1981,
“Carbon Nitride coatings at moderate temperatures
obtained from organic C/N compounds”, in: M.B. John Jr.,
G.E. Vuillard, G. Wahl (Eds.), Proc. 8th Int. Conf. on
chemical Vapor Deposition, The Electro-chemical Society,
Pennington, NJ, pp.606-616.
[10] Bonetti, R.S., Wiprachtiger, H., Mohn, E., 1989, “CVD of
titanium carbonitride at moderate temperatures”, in: T.S.
Sudarshan, D.G. Bhat (Eds.), Surface Modification
Technologies ċ, The Minerals metals˂Materials Society,
Warrendale, PA, pp.291-308.
[11] B.D. Beake, N. Ranganathan, 2006, “An investigation of
the nanoindentation and nano/micro-tribological behaviour
carbide”, Material Science and Engineering , A423,
pp.46-51.
[12] T.-H. Fang, Sheng-Rui Jian, Der-San Chuu, 2004,
“Nanomechanical properties of TiC, TiN and TiCN thin
films using scanning probe microscopy and
nanoindentation”, Applied Surface Science, 228,
[13] G.S. Fox-Rabinovich et al, 2006, “Effect of mechanical
properties measured at room and elevated temperatures on
the wear resistance of cutting tools with TiAlN and AlCrN
coatings”, Surface and Coatings Technology, 200, pp.
5738-5742.
 Erosion-Wear Behavior and Mechanism of HVAS Coatings

Erosion-Wear Behavior and Mechanism of HVAS Coatings

*
Y.H. Han1, 2, L. Li1,
1
Center for Biomedical Materials and Engineering, Harbin Engineering University, Harbin 150001, China
2
Jilin Institute of Chemical Technology, Jilin 132022, China

(Extended Abstract)

ABSTRACT were flying ashes of the power plant. The mass loss was
Erosion-wear properties of 45PS, SL30 and FeAl/Cr3C2 determined by weighing the samples before and after the test
coatings sprayed by high velocity arc spraying (HVAS) at using an electronic analytical precision balance (TG328B) with
different temperature and impact angle were investigated using an accuracy of ±0.1 mg.
an air solid particle erosion rig. Erosion-wear mechanisms were The patterns, compositions of the eroded surface were
also investigated by means of scanning electronic microscopy investigated by SEM, EDAX and XRD.
(SEM), energy-dispersive analysis X-ray spectroscopy (EDAX)
and X-Ray diffraction (XRD), respectively. Results show that RESULTS
the erosion-wear rate decreases with the increase of temperature The erosion rates of HVAS coatings with the environment
for all of the three coatings. The variation of the erosion-wear temperature are described in Fig. 1. It can be seen that the three
rate with the impact angle is different for different coating. The coatings have good erosion-wear resistance and the erosion
erosion-wear mechanisms under different conditions are rates decrease with the temperature increasing. And it
different also. decreases less from 550 ć to 650 ć, while it decreases more
Keywords: HVAS, coatings, erosion, mechanism from 650 ć to 800 ć. The EDAX and XRD results of eroded
coatings show that the coatings are oxidized, especially at 800
INTRODUCTION ć. The mass gain by oxidation influences the results of the
Turbines, engines and fluidized bed combustion boilers are mass loss by erosion.
normally exposed to erosive environments and the erosion has
led to many accidents [1-3]. The coatings are considered as
powerful barriers against deterioration of machine parts
exposed to particulate flow at high temperatures [4-9]. The
erosion resistance of the coatings is influenced by the impact
angle and environment temperature, but strongly dependent on
the coating material’s property and the coating prepared
process [10-12]. Ni-Cr matrix alloy and Fe-Al matrix
composite have attracted lots of attentions in recent years due
to their excellent high-temperature strength, low density, good
erosion resistance, high-temperature oxidation and sulfuration
resistance. High velocity arc spraying (HVAS) technique is a
widely used traditional spraying technology [13, 14], which Fig. 1 Erosion rates of HVAS coatings with the environment
utilizes an electric arc as the heat source to melt wires into
temperature at 90` impact angle
droplets. The droplets are then sprayed onto substrates by the
high velocity compressed air. Because of the higher velocity Figs. 2 show the SEM morphologies of eroded HVAS 45PS,
and better atomizing of melted droplets in the spraying process, FeAl/Cr3C2 and SL30 coatings with 90` impact angle at
the HVAS coatings have low porosity, dense structure and high different environment temperature. The eroded pits and the
bond strength [15]. loose scale can be seen obviously on the eroded coatings
In the present study, the Ni-Cr matrix alloy (45PS and surfaces. The brittle erosion characters are found on the eroded
SL30) and Fe-Al matrix composite (FeAl/Cr3C2) coatings were scar at 550 ćand 600 ć, but it is not evident on the eroded
prepared by HVAS. The erosion-wear properties of the scar at 800 ć.
coatings were investigated.
The changing of erosion rates of HVAS coatings with
EXPERIMENTAL DETAILS the impingement angle are shown in Fig. 3. It can be seen
that the influence of the impact angle on the erosion rate
Before it was sprayed, the non-sprayed surface of AISI
of different coatings is different. For HVAS 45PS and
1020 steel substrate (25×16×4 mm3) has been treated by power
FeAl/Cr3C2 coatings, the erosion rates decrease firstly
calorizing (power: 15% Al, 84 % Al2O3, 0.5% NH4Cl and
and then increase. While for HVAS SL30 coating, the
0.5% KHF2; process condition: 900 ć×4 h) to reduce the erosion rates increases at all times.
influence of oxidation at high temperature on the erosion test.
The spayed materials were 45PS, SL30 and FeAl/Cr3C2, a b
respectively. The coatings were sprayed by high velocity arc
spraying.
The erosion tests were carried out using a gas-sand
elevated temperature erosion apparatus at the temperature of
550 ć, 650 ć and 800 ć, respectively. The samples were
preheated about 15 min prior to erosion. The erosion particles

*Tel.: +86-451-82518173.
E-mail address: lili_heu@hrbeu.edu.cn (L. Li)

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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

c d Al2O3, which can protect the coating from further oxidation.

Fig. 5 shows the X-ray diffraction patterns of eroded HVAS
45PS coating at 550 ć. The protective oxides phases, such as
NiO, Cr2O3 and NiCr2O4, can all be detected.

5000
† J FeAl
J
Q Cr2O3
4000 3 FeCr O
2 4
‹ Cr7C3
† Fe3Al

Intensity (Cps)
3000
# Fe2O3
L Al2O3
e f 2000
‹ ‹
3 †
1000 † J
Q# J
3
Q Q L Q #
L
0
20 30 40 50 60 70 80 90
0
Diffraction Angle ( )

Fig. 4 XRD spectra of eroded HVAS FeAl/Cr3C2 coating at

550 ć

18000
g h 3
Q J NiO
16000
‹ Q  (Ni-Cr)
J
14000 3 CrO
† Cr2O3
12000

Intensity (Cps)
‹ NiCr2O4
10000
L TiO2
8000
3
6000 Q

4000 ‹
L
J
2000 ‹L L
‹
† ††J † J
0
20 30 40 50 60 70 80 90
0
Diffraction Angle ( )
i
Fig. 5 XRD spectra of eroded HVAS 45PS coating at 550 ć

Figs. 6 show the SEM morphologies of oxided (not eroded)

HVAS coatings. It can be seen that the FeAl/Cr3C2 coating
oxide seriously while the 45PS coating oxide slightly.
Combined with the XRD analysis, it can be known that the
oxides on the surface of FeAl/Cr3C2 coating are Fe2O3, Al2O3,
Cr2O3 and those on the surface of 45PS coating are NiO,
Cr2O3.
Fig. 2 SEM morphologies of eroded HVAS 45PS (a, b, c),
FeAl/Cr3C2 (d, e, f) and SL30 (g, h, i) coatings with 90` a b
impact angle at different environment temperature: 550 ć
(a, d, g), 650 ć (b, e, h), 800 ć (c, f, i)
The various phases identified from the X-ray diffraction
patterns of eroded HVAS FeAl/Cr3C2 coatings at 550 ć are A
shown in Fig. 4. The surface oxides are Cr2O3, FeCr2O4 and

c d

Fig. 6 SEM morphologies of oxided (not eroded) HVAS

coatings (a) FeAl/Cr3C2, low magnification, (b) FeAl/Cr3C2,
high magnification, corresponding to area A in (a),
Fig. 3 Erosion rates of HVAS coatings with the impingement (c) 45PS, low magnification, (d) 45PS, high magnification,
angle at 550 ć corresponding to area A in (c)

802
 Erosion-Wear Behavior and Mechanism of HVAS Coatings
CONCLUSIONS
The HVAS SL30, 45PS and FeAl/Cr3C2 coatings have
good erosion-wear resistance and the erosion-wear rates
decrease with the temperature increasing. The erosion-wear
mechanisms of the HVAS coatings are influenced by the
environment temperature. The wear of the coating is
concomitant with the oxidation of the coating, especially at
800 ć. And the influence of the impact angle on the erosion
rate for different coatings is different.
REFERENCES
[1] Habib, M.A., Badr, H.M., Ben-Mansour, R. M., Kabir, E.,
2007, “Erosion rate correlations of a pipe protruded in an
abrupt pipe contraction,” International Journal of Impact
Engineering, 34, pp.1350-1369.
[2] Kulu, P., Hussainova, I., Veinthal, R., 2005, “Solid particle
erosion of thermal sprayed coatings,” Wear, 258,
pp.488-496.
[3] Huttunen-Saarivirta, E., Stott, F.H., Rohr, V., Schütze M.,
2007, “Erosion–oxidation behaviour of pack-aluminized 9%
chromium steel under fluidized-bed conditions at elevated
temperature,” Corrosion Science, 49, pp.2844- 2865.
[4] Hocking, M.G., Vasantasree, V., Sidky, P.S., 1989,
Metallic and Ceramic Coatings: Production, High
Temperature Properties and Applications, Longman
Scientific and Technical Press, UK.
[5] Matthews S., Hyland M., James B., 2003, “Microhardness
variation in relation to carbide development in heat treated
Cr3C2–NiCr thermal spray coatings,” Acta Materialia, 51
(14), pp.4267-4277.
[6] Takeuchi J., Murata Y., Harada Y., et al., 1998, in: C.
Coddet (Ed.), Thermal Spray: Meeting the Challenges of
the 21st Century, ASM International, Materials Park, OH,
USA, 1998, pp.1425-1430.
803
[7] Kim D.Y., Han M.S., Youn J. G., 1996, in: C.C. Berndt
(Ed.), Thermal Spray: Practical Solutions for Engineering
Problems, ASM International, Materials Park, OH, USA,
1996, pp.123-128.
[8] Seong B.G., Hwang S.Y., Kim K.Y., 2000, “High-
temperature corrosion of recuperators used in steel mills,”
Surface and Coatings Technology, 126 (2-3), pp.256-265.
[9] Mann B.S., Prakash B., 2000, “High temperature friction
and wear characteristics of various coating materials for
steam valve spindle application,” Wear, 240 (1-2),
pp.223-230.
[10] Qureshi, J., Tabakoff, W., 1988, “The influence of coating
processes and process parameters on surface erosion
resistance and substrate fatigue strength,” Surface and
Coatings Technology, 36, pp.433-444.
[11] Lin, F., Shao, H., 1991, “The effect of impingement angle
on slurry erosion,” Wear, 141, pp.279-289.
[12] Franco, A., Roberts, S.G., 1998, “The effect of impact
angle on the erosion rate of polycrystalline -Al2O3,”
Journal of European Ceramic Society, 18, pp.269-274.
[13] Newbery, A.P., Rayment, T., Grant, P.S., 2004, “A
particle image velocimetry investigation of in-flight and
deposition behaviour of steel droplets during electric arc
sprayforming,” Materials Science and Engineering A, 383,
pp.137-145.
[14] Planche, M.P., Liao, H., Coddet, C., 2004, “Relationships
between in-flight particle characteristics and coating
microstructure with a twin wire arc spray process and
different working conditions,” Surface and Coatings
Technology, 182, pp.215-226.
[15] Liu, G.M., Rozniatowski, K., Kurzydlowski, K.J., 2001,
“Quantitative characteristics of FeCrAl films deposited by
arc and high-velocity arc spraying,” Materials
Characterization, 46, pp.99-104.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Tribological Properties of Textured Ti Coating Prepared by Masked Deposition

Yuanyue Zhang, Tianmin Shao

State Key Lab. of Tribology ,Tsinghua University, Beijing 100084 China

(Extended Abstract)

ABSTRACT
Current studies have shown that surface texturing and
coating technology are two different effective ways to improve
the tribological properties of material surfaces. In this paper, we
try to combine these two methods in order to obtain better
tribological performances.
Masks were machined by wire cutting. By covering the
surface of the substrate with mask, Ti textured coatings were
prepared on the substrate of Si.
Friction and wear tests were carried out under dry
condition. The effects of test conditions, such as load, sliding Fig. 1 Mask machined by wire cutting
speed, mask space ratio were also studied. The results showed
that by producing textured coating on the surfaces, tribological The textured coating prepared by the masked-deposition
properties could be evidently improved. was characterized by the DM400 microscope and the 3D
Keywords: Ti coating, Surface texture, Masked deposition, morphology visualizer MicroXAM.
Tribological property An UMT ball on disk friction and wear test machine was
used to study the friction behavior of the textured coating. WC
INTRODUCTION ball was used as the counterpart to the specimen. Friction test
Surface texturing[1] is an effective way in improving perpendicular to the texture direction was performed. The
tribological performances of materials. It changes surface sliding speed was 6mm/s, the load was 20g, 35g and 50g
morphology by various techniques such as laser ablation, respectively.
mechanical machining, and so on. Micro-dimples[2], parallel
channels, crossed channels are usually obtained in the surface RESULTS AND DISCUSSION
texturing process. Textured Ti coatings with different ratio of coating width
Film-deposition technique is another effective way to to gap width were prepared. Fig.2 was the morphology of the
improve the mechanical and chemical properties of materials. textured coating with the ratio of 1:1. Table 1 gives the data of
By depositing a thin film on the substrate, different properties the different texture density.
are brought in by the new kind of the material, and at the same
time, the thickness and the volume of the film are very small,
so the properties are also different from the bulk materials.
Film-deposition technique and surface texturing both have
pros and cons. During the deposition process, in order to
achieve better quality of the film and increase the binding force,
the energy of the plasma and the temperature in the vacuum
chamber are usually high, which may result in higher internal
stress within the films. On the other hand, surface texturing can
only change the morphology, while there is no substantial
improvement in chemical properties. So in order to obtain
better tribological performances, these two methods were
combined by masked deposition in this paper. Fig. 2 Morphology of the textured coating
EXPERIMENTAL Table 1 Data of the textured coatings
Mask was specially designed and fabricated. Substrate of
Ratio of Density of the Width of the Thickness of the
Si (100) was covered by the mask and was put into the vacuum
coating width coating coating˄m˅ coating
chamber. Multi-arc ion plating was used to prepare Ti film on
to gap width (nm˅
the substrate. During the deposition process, the film was
deposited on the vacancy of the substrate where it was not
covered by the mask. As a result, the film on the substrate 1˖1 50% 280 705
prepared in this way could have the morphology of the texture 1˖2 33% 285 710
and the surface properties of the material might be totally 1˖3 25% 290 720
changed. 1˖4 20% 280 670
In this paper, the mask was machined by wire-cutting, the
minimum gap width was 0.2mm, The sketch of the mask was Fig. 3 gives the friction coefficient under the sliding speed
shown in Fig. 1. 6mm/s, in dry friction and the load was 20g. The density of the

804
 Tribological Properties of Textured Ti Coating Prepared by Masked Deposition

texture was 33%. CONCLUSIONS

The friction coefficient of Si was about 0.1, the friction In this paper, the surface texturing and film deposition
coefficient of full Ti film was 0.7, and the value of the textured methods were combined into masked deposition, and we
film was about 0.45. prepared the textured Ti coating in this way. Test results
1.0 showed that by producing textured coating on the surfaces,
0.9 tribological properties could be evidently improved.
0.8
ACKNOWLEDGMENTS
0.7 The work presented in this paper was financially
Friction coefficient

0.6
supported by the National Key Basic Research program
full Ti film 973(2007CB607605) and the National Natural Science
0.5
Foundation of China [Project No. 50721004].
0.4
textured Ti film REFERENCES
0.3
[1] Etsion, 2004, “Improving tribology performance of
0.2 mechanical components by laser surface texturing”,
0.1 Tribology letters, 17, pp.733-737
Si [2] S.Schreck, K-H.Zum Gahr, 2005, “Laser-assisted
0.0
0 200 400 600 800 1000 1200 1400 structuring of ceramic and steel surfaces for improving
Time/s tribology properties”, Applied surface science, 247, pp.
612-622
Fig.3 Friction coefficient vs. time

Fig.4 gives the results of friction coefficient under

different experiment conditions in dry friction, the load was
20g, 35g and 50g respectively, and the density of the texture
was 50%, 33%, 25%, 20%.
It could be seen that under relative small load , the friction
coefficient decreased with the density. But under relative large
load, friction coefficient remained unchanged between the
un-textured film and the textured film. So the texture was
effective in reducing friction only under low load.

Fig.4 Friction coefficient under different loads and texture

densities

805
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

A Method of Micro Laser Surface Texturing Based on Optical Fiber Focusing

Yiqian Zhou, Tianmin Shao*, Liang Yin

State Key Laboratory of Tribology, Tsinghua University, Beijing, China

shaotm@tsinghua.edu.cn

(Extended Abstract)

ABSTRACT
Surface texturing is a technique used to produce Laser
desirable patterns on material surfaces. Recent researches
showed that properly selected surface textures could
significantly improve tribological performance of materials. Optical fiber
According to applications, the characteristic size of surface
Substrate
textures could be in the scale of millimeter, micrometer or
nanometer. At present, various machining techniques are Fig. 1 Schematic diagram of optical fiber focusing
available to produce surface textures, among them, laser
surface texturing is widely used due to its advantages such Micro-textures were produced on silicon Si(100)
surface. Optical fibers with different diameters were chosen
as non-contact, non-pollution, high machining precision
as the focusing unit and different pulse laser energies were
and etc..
applied. Influence of processing parameters like laser
A conventional laser surface texturing technique energy, focusing distance, ambient medium and etc. on the
generally uses pulsed laser to irradiate material surface etching quality was studied. Results of extensive
obtaining desirable surface patterns. Nowadays, the laser experiments proved that parallel grooves and meshed
machining technique for fabricating surface textures in the textures with the width of 2̚3m could be produced when
scale from tens micrometers to millimeters is quite mature the optical fiber with the diameter of 200m and pulsed
and commercially available. However, laser surface laser energy of 400mJ were selected.
texturing in micrometer scale or in sub-micron scale is still
not widely used due to either high-cost or requirement of
sophisticated equipment.
In this presentation, a new method of laser surface
texturing based on optical fiber focusing was introduced. A
device was developed and described. A Nd: YAG solid
laser beam was focused by an optical fiber, whose axis was
perpendicular to the laser beam, and irradiates onto the
surface of the substrate as shown in Fig.1. Under a certain
energy density, surface material in the laser irradiated area
could be etched. A 2D plateform with an accuracy of 2 m
was used for producing parallel grooves with different pitch
spacing between them. In order to get desirable focusing
effect, a focusing distance adjusting system was built,
which consists of a lifting platform, a digital depth ruler
and a ring. Optical fiber was fixed on the bottom of the ring.
The distance between the fiber and the substrate surface
was controlled by the lifting platform and the value could
be read accurately on the digital depth ruler. Different Fig. 2 A typical meshed texture produced on the surface of
groove width and depth could be obtained by adjusting the Si(100) with the pitching spacing of 20m
focusing distance.
Key words: laser surface texturing, optical fiber, focusing

806
 Application of Laser in Surface Technology—An Overview of the Research Work Performed in SKLT

Application of Laser in Surface Technology

üAn Overview of the Research Work Performed in SKLT

Tianmin Shao
State Key Laboratory of Tribology, Tsinghua University, Beijing, China
shaotm@tsinghua.edu.cn

(Extended Abstract)

ABSTRACT by laser induced chemical reactions, suraface textures could

Since its discovery in 1960, laser has been widely used
in many fields due to its advantages like directivity,
monochromaticity, coherence and etc.. When a laser beam
interacts with material surfaces, various effects could be
obtained depending on the types and the working
parameters of the laser used. Geometric property and
micro-structure of surfaces could be changed, material
ablation and other surface effects could be caused.
In this presentation, an overview of the research work
on laser surface modification recently performed in the
State Key Laboratory of Tribology at Tsinghua University
was given.
Microstructure of laser treated steel was investigated.
A soft band between the melted zone and the
transformation hardened zone was detected, and the
formation mechanism was analyzed.
Aiming at obtaining a smoother surface, experimental
investigation on laser polishing was carried out and
influence of laser processing parameters on surface
morphology of tool steel was studied. Taking into account
the original surface morphology, a model of laser polishing
of metallic materials was developed based on the theory of
heat transfer and experimental results.
Progress in laser assisted thin film deposition
technique (laser induced arc deposition) was introduced.
With the improved technique, film thickness could be
controlled very precisely. Multi-layer films used as film
sensor were deposited.
A method of laser surface modification was presented,
be formed and meanwhile, desirable new substances could
also be produced in the laser irradiated zone. Textures were
produced on the surface of Ti in the environment of
nitrogen gas and ammonia gas, respectively. Results of
experiment and analysis showed that TiN was formed in
the textured area due to the laser induced chemical reaction,
which significantly improved the anti wear property of Ti
surface.
A method newly developed for laser surface texturing
based on optical fiber focusing was also introduced. Using
the mehod, surface textures of micrometer scale were
produced.
Research work on laser cladding of quasi-crystalline
coatings and laser re-melting of plasma sprayed ceramic
coatings was presented. Examples of development of
industrial products based on the application of laser were
also introduced.
Prospect of laser application in surface technology
was made. Laser is an important and effective tool in
surface modification. Being combined with other methods,
laser could find its role in developing new techniques of
surface modifications.
Key words: overview, laser, surface modification
Acknowledgement
The author would like to thank M Zhou, M Hua, YJ Jin,
WD Yuan, Sedao, XC Lin and YQ Zhou for their
contribution to the presented work.

807
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Influence of Heat Treatment on Hardness, Elastic Modulus and Bonding Strength of Ti/Ta/TiN/TaN
Nanomultilayer Coatings

H. F. Gong, T. M. Shao *

State Key Laboratory of TribologyˈTsinghua UniversityˈBeijing 100084ˈChina

ABSTRACT sublayers (TiN or TaN) with identical thickness. The top layer
was nitride layer and a transition metal layer was deposited
Pulsed laser arc deposition system with precise control of before multilayers were prepared. All the nanomultilayers had
film thickness was applied to prepare the group of multilayers 40 periods(80 sublayers). On design, the total thickness was
Ti/Ta/TiN/TaN. Heat treatment at 593K in vacuum and in air 200nm and the modulation period (bilayers period) was 5nm
was carried out for the coatings. Hardness, elastic modulus and for all the multilayers (Table 1).
bonding strength were assessed by nano-indentation and Pulsed laser arc deposition (LAD) system was applied to
scratch test, respectively. The results showed that, heat prepare the multilayers with different sublayer materials. This
treatment in vacuum caused decrease of hardness and increase system ionizes target by laser-induced arc to yield ion plasma,
of elastic modulus for all the coatings, which reduced the H/E which was intensified by the electrical field in the system
ratios of the coatings. Heat treatment in air at 593K improved and deposited on the surface of substrate. This method
the hardness, but weakened the bondings strength of the
coatings. Comparing to the monolayers, multilayers had Table 1 Design parameters and sublayer materials of the group
relatively higher H/E ratios and better bonding strength for the of Ti/Ta/ TiN/TaN nanomultilayers
as deposited coatings and for the heat-treated coatings in
vacuum and in air. Sample Material of Period, Total
Keywords: Nanomultilayer coatings; Ti/Ta/TiN/TaN; number sublayer nm thickness,
Heat treatment; Hardness; Bonding strength nm
1 TiN -- 200
1 INTRODUCTION
2 TaN -- 200
In recent years, TiN based nanomultilayer coatings had
proved to exhibit superior mechanical and tribological 3 TiN/Ti 5 200
properties in enhancing the wear and corrosion resistance of 4 TaN/Ta 5 200
cutting tools[1-3], punched dies[4], gear and bearings[5],turbine
blades[6]and magnetic disc[7] and so on. For the multilayers 5 TaN/Ti 5 200
with a stacked structure of layers, the introduction of interior
interfaces parallel to the substrate could work as deflect cracks 6 TiN/Ta 5 200
or provide barriers to dislocation motion and improved the
toughness, strength and hardness of the coatings[8-10].
7 TiN/TaN 5 200
Moreover, the multilayers could combine the advantages of
two or more film materials to satisfy the need of various has little pollution, high ionization rate of target and precise
applications. Further studies showed that, hardness, elastic control of film thickness. The material purity of Ti and Ta
modulus, the ratios of hardness and elastic modulus (H/E targets was above 99.99% and the purity of N2 used in the film
ratios) and bonding strength, were the important factors deposition was above 99.999%. One side polished Si(100)
influencing the tribological properties of coatings[11-14]. wafer was used as the substrate. Before preparation, the Si
Temperature was one of the exterior parameters affecting wafer was soaked in the acetone and ethanol and rinsed by
the service life of coatings. In some applications, such as ultrasonic cleaning for 15min, respectively. The substrate was
cutting tools, bearings and turbine blades etc., the parts worked then bombarded by Ar+ ions for 10min(Ar pressure was 2.0 Pa)
in high temperature environment, which increased the and a metal layer about 5nm was deposited as transition layer
necessity of finding multilayers coatings that could function in to enhance the bonding with substrate. Then the
the high temperature environment. Ti/Ta/TiN/TaN multilayers were prepared by turning on and
This work focused on the hardness, elastic modulus and off N2 periodically and moving the Ti and Ta targets alternately.
bondings strength of the group of Ti/Ta/TiN/TaN The TiN and TaN monolayers with identical thickness were
nanomultilayers and the relevant TiN and TaN monolayers. also prepared (Table 1). The main deposition parameters were
The objective had been to analyze the influence of heat listed in Table 2:
treatment on hardness, elastic modulus, H/E ratios and
bonding strength of Ti/Ta/TiN/TaN nanomultilayer coatings. 2.2 Characterization

In order to map the influence of heat treatment on hardness,

2 EXPERIMENTAL DETAILS elastic modulus and bonding strength of the multilayers, the
2.1 Sample preparation
coated samples were heat treated for 60min in vacuum of
A group of Ti/Ta/TiN/TaN nanomultilayers was prepared
3.4x10-3Pa and in air atmosphere at 593K, respectively.
by alternately depositing soft sublayers (Ti or Ta) and hard
*Corresponding Author: T.M.Shao (email: shaotm@tsinghua.edu.cn,

808
 Influence of Heat Treatment on Hardness, Elastic Modulus and Bonding Strength of Ti/Ta/TiN/TaN Nanomultilayer Coatings

Table 2 Main deposition parameters

Parameters Base N2 Bias Arc voltage Laser

Vacuum pressure (Pa) voltage (V) energy
(10-4Pa) (V) (mJ)
Range or value 4.0-4.5 0.60-0.61 -200 1000-1200 259-305

Hardness and elastic modulus were measured by a

17 (a)
nanoindenter. The load was 0.5mN and the maximal Heat treatment in air
16
penetration depth was in the range of 19nm-25nm, which was

Nanohardness (GPa)
about 1/10 of the total thickness of the coatings. Average of 15
test results in six equispaced indentation points represented the 14
hardness and elastic modulus. 13 As deposited
Bonding strength of the coatings was measured using a 12
scratch tester, having a triangle diamond indenter and the tip 11
radius was 5  m. With a continuously increasing load, the 10
diamond tip underwent three steps, including contacting with 9 Heat treatment in vacuum
the surface of sample, scratching the sample and unloading, to 8
result in failure of the coatings. The critical load (bonding 7
strength) for coating detachment was determined by observing 6
the saltation in the scratch curves and examining the scratch TiN TaN TiN/Ti TaN/Ta TaN/Ti TiN/TaTiN/TaN
scars using an optical microscope. An average of the results of
two scratches was taken to represent the coating failure loads. 300
The total length of the scratch was 300  m, which included (b)
the length of contacting (20  m) and unloading (20  m) and
Elastic modulus (GPa)

270
the actual scratching length was 260  m. The length of Heat treatment in vacuum
240
scratching was kept identical. But different feed rates As deposited
of load, such as 0.4mN/  m,0.5mN/  m and 0.6mN/  m 210
were used for different samples.
180

3 RESULTS AND DISCUSSION 150

Heat treatment in air
3.1 Hardness and elastic modulus 120
As shown in Fig.1, there was significant difference on TiN TaN TiN/Ti TaN/Ta TaN/Ti TiN/TaTiN/TaN
hardness and elastic modulus between as deposited and
heat-treated coatings. For all the coatings after heat treatment Fig.1 Nanohardness and elastic modulus of the Ti/Ta/TiN/TaN
in vacuum at 593K, the hardness decreased and the elastic multilayer coatings as deposited and heat treatment at 593K in
modulus increased. However, heat treatment in air at same vacuum and in air
temperature made evident difference on the hardness between (a) Nanohardness (b) Elastic modulus
monolayers and multilayers. The former decreased while the
latter increased. 0.12

The ratio of hardness and elastic modulus (H/E ratio) was 0.11 Heat treatment in air
one of important factors characterizing the tribological 0.10
properties of the coatings. The comparison of the H/E ratios in 0.09
the three cases between the monolayers and the multilayers As deposited
0.08
was presented in Fig.2. There was evident influence of the
H/E

heat treatment on the H/E ratios of all the coatings. However, 0.07
it was found that, the H/E ratios of the multilayers exceeded to 0.06
that of monolayers in the three cases of as deposited, heat 0.05
treatment in vacuum and heat treatment in air. Moreover, all
the H/E ratios of the multilayers increased remarkably after 0.04
heat treatment in air. Comparing to monolayers, multilayers 0.03
Heat treatment in vacuum
might indicate better mechanical characters and tribological 0.02
properties in the temperature service environment. TiN TaN TiN/Ti TaN/Ta TaN/Ti TiN/TaTiN/TaN

Fig.2 Contrast on H/E ratios among the Ti/Ta/TiN/TaN

3.2 Bonding strength multilayer coatings as deposited and heat treatment at 593K in
vacuum and in air

Fig.3(a),(b) showed the typical scratching curves of the

TiN monolayer and TiN/Ta multilayers respectively. And

809
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Fig.4(a),(b) presented the relevant surface topography of the
scratching scars. Fig.5 gave the results of bonding strength of
the monolayers and multilayers.
I II
III
Saltation
position
ķ
ĸ
(a) TiN thin film
I II III
6DOWDWLRQ
SRVLWLRQ
ķ
ĸ 90
(b) TiN/Ta multilayer coatings
Fig.3 The scratching curve of TiN monolayer and TiN/Ta
multilayer coatings heat treated in vacuum at 593k
I: Contact area; II: Scratch area; III: Unload area
ķCurve of scratch depth ĸSurface topography
TiN—Maximal load: 104mN; Load feed rate: 0.4mN/  m
TiN/Ta—Maximal load: 156mN; Load feed rate:
0.6mN/  m
Multilayers had relatively higher bondings than TiN, TaN
monolyers. And among the multilayers, the bonding strength
of TiN/TaN was remarkably smaller comparing to that of
others. This suggested that soft metallic sublayer in the
multilayers could improve bonding strength with the substrate.
The soft sublayer partly absorbed the shear deformation
energy during the scratch tesing [16]. From the surface
topography of the scratching scars(Fig.4), we could observe
evident difference between the TiN monolayer and TiN/Ta
multiplayer. The monolayer appeared cracks and partial
peeling off around the scar (Fig.4(a)), whereas the failure was
much better and had no evident cracks near the scratch track in
TiN/Ta multilayer coatings (Figs.4(b)). Besides, the bonding
strength of TiN/TaN multilayers was relatively lager than that
810
of TiN, TaN monolayer. The modulation of the TiN and TaN
monolayers into TiN/TaN multilayers enhanced the bonding
strength with substrate in the three case of as-deposited, heat
treated in vacuum and in air. It was deduced that the inner
interfaces in multilayers released the growing stress and
decreased interior stress concentration of multilayers[10], which
greatly help to elevate the bonding strength.
(a) TiN monolayer
(b) TiN/Ta multilayers
Fig.4 Surface topography(400x) of the scratching scars of
TiN monolayer and TiN/Ta multilayers under heat treatment
in vacuum at 593K
120
As deposited
110
100
Force (mN)
Heat treatment in vacuum
80
Heat treatment in air
70
60
50
TiN TaN TiN/Ti TaN/Ta TaN/Ti TiN/TaTiN/TaN
Fig.5 Bonding force of the Ti/Ta/TiN/TaN multilayer
coatings as deposited and heat treatment at 593K in
vacuum and in air
4 CONCLUSIONS
Heat treatment in vacuum caused the hardness decreased
and elastic modulus increased for all the coatings, which led to
the reduction in H/E ratios of the TiN, TaN monolayers and
Ti/Ta/TiN/TaN multilayers. Heat treatment in air caused
increase of hardness of multilayers. For all the coatings, the
bondings strength decreased after heat treatment in vacuum
and in air. The multilayers presented relatively higher H/E
ratios and better bonding strength than the monolayers for both
as deposited and heat-treated coatings.
ACKNOWLEDGMENTS
This work is supported by the State Key Basic Research and
Development Program 973 (2007CB607605) and by the
 Influence of Heat Treatment on Hardness, Elastic Modulus and Bonding Strength of Ti/Ta/TiN/TaN Nanomultilayer Coatings
National Natural Science Foundation of China (Grant No.
50721004).
REFERENCES
[1] Kazuki Kawata, Hiroyuki Sugimuraa, Osamu Takai,
2001,Characterization of multilayer films of Ti-Al-O-C-N
system prepared by pulsed dc. plasma-enhanced chemical
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 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
Mechanical and Tribological Properties of Titanium Reinforced Polybenzimidazole
Yanhua Lu1,2, Jianmin Chen1,*, Haixia Cui1, Huidi Zhou1
1
State Key Laboratory of Solid Lubrication, Lanzhou Institute of Chemical Physics,
Chinese Academy of Sciences, Lanzhou, China
2
Graduate university of Chinese Academy of Sciences, Beijing, China
ABSTRACT
Polybenzimidazole (PBI) was synthesized by liquid
condensation and its molecular weight was measured by gel
permeation chromatography (GPC). The resulting PBI product
was used as the polymer matrix to prepare composites
reinforced with titanium (abridged as Ti/PBI) using hot-press
sintering in vacuum. A scanning electron microscope (SEM)
was used to observe the morphology of the composite samples,
while a pin-on-disk friction and wear tester were performed to
evaluate tribological properties of the bulk PBI composites.
The introduction of Ti as the reinforcing agent contributed to
improving the mechanical properties of the PBI composites.
Moreover, the Ti/PBI composites had small friction
coefficients as slid against AISI-1045 steel in a ball-on-disk
configuration, and the friction coefficients decreased with
increasing temperature. The wear resistance of PBI, however,
was reduced slightly by the incorporation of the Ti powders,
and increased wear rates were recorded for the Ti/PBI
composites at elevated temperatures.
Keywords: Polybenzimidazole, Mechanical properties,
Tribological properties, Wear
INTRODUCTION
Polybenzimidazoles (PBIs) have been of interest with
applications in fibers [1-4], composites [5, 6], adhesives [7, 8],
foams [9], and membrane [10-14] materials. PBIs have
remarkable high temperature properties such as high glass
transition temperatures, good thermal stability, and excellent
chemical resistance and mechanical properties, which is
attributed to the stable aromatic molecular structure. Besides,
bulk PBI has promising applications in the high-tech fields of
aviation and aerospace industries, owing to the low density and
desired tribological properties at elevated temperature.
However, aromatic polybenzimidazole was substantially
infusible below their thermal decomposition temperature [15],
which makes it difficult to produce polybenzimidazole
products using conventional techniques such as injection
molding and compression molding.
Suffredini said that a prepolymer of PBI could be used as a
kind of sintering additive to enhance the sintering of
substantially infusible polybenzimidazole [15]. In his patented
processes, the mold with polybenzimidazole was sealed to
prevent oxidation caused by O2 at elevated temperature. But
the volatile gases generated at elevated temperature
polybenzimidazole would evolve from within the sintered
polybenzimidazole products and remain voids instead, leading
to deterioration to the mechanical properties of the final
products.
With those perspectives in mind, we have been trying to
Corresponding author: Jianmin Chen
812
establish a more simple and effective method for the
preparation of bulk polybenzimidazole materials in the present
research, making use of hot-press sintering in vacuum. The
mechanical and tribological properties of the PBI-based
composites were evaluated, with the effects of the metallic
fillers on the mechanical and tribological properties of the
composites to be focused on. It is expected that the present
research would help to obtain more insights into the
preparation, mechanical and tribological properties of PBI
composites and to promote their application as structural
materials for reduction of friction and wear at elevated
temperature.
EXPREMENTAL
Materials and reagents
Phosphorous pentoxide powder, polyphosphoric acid
(P2O5  85%), isophthalic acid (IPA), Ti powders (75 mesh)
were obtained from commercial sources and used as received.
3,3’-diamino-benzidine tetrahydrochloride (DAB) was
prepared from benzidine using the method described by Vogel
and Marvel [16]. The other solvents and chemicals were
purchased from Shanghai Chemical Reagent Co. Ltd.
(Shanghai, China) and used as received.
Instrumentation
The morphologies of the wear tracks of PBI composite disk
and wear debris were observed using a JSM-5600LV scanning
electron microscope (Jeol, Japan). The specific wear volume
were obtained using an Micro-XAM 3D non-contact surface
mapping profiler (ADE Corporation, Massauchusetts, USA).
Gel permeation chromatograph (GPC) was recorded using a
PE200 apparatus (a mixed 10  PS column with a length of
750 mm, refractive index detector), using dimethyl formanide
(DMF) containing 0.01 mol/l of LiBr, at a flow rate of 1.0
ml/min at 70°C, as the eluant. The polymer solutions were
filtered through a 0.45 m polytetrafluoroethylene (PTFE)
filter, prior to injecting into the column. The molecular weight
was calibrated with respect to polystyrene standard.
The compressive, tensile and flexural strength of the
sintered composite specimens were determined using a
universal materials testing machine (DY35, France) in
accordance with ISO 604-1973, Chinese standard GB/T
16421-1996 and GB/T 16419-1996, respectively. Five repeat
tests were carried out for the measurement of the mechanical
strengths, and the averaged values of the repeat tests are cited
in this article.
The friction and wear tests were conducted using a
ball-on-disk high-temperature tribometer (THT07-135, CSEM
Instrument Ltd., Swiss). Thus the PBI disks with a diameter of
25 mm and thickness of 8 mm was driven by a motor to slide
against the fixed steel (AISI-1045 steel) balls with a diameter
of 3.00 mm, at a sliding speed of 0.20 m/s, a normal load of 10
N, and for a sliding distance of 1000 m. The friction
 Mechanical and Tribological Properties of Titanium Reinforced Polybenzimidazole

coefficients were automatically recorded by the tester, while 600 0.5

the wear volume (Q) of the PBI or Ti/PBI composites was Temperature
500 Vacuum
measured using a Micro-XAM 3D non-contact surface 0.4

mapping profiler. 400

Temperature ( C)
0.3

Vacuum (Pa)
o
300
Synthesis of poly-2,2’-(m-phenylene)-5,5’-bibenzimidazole
0.2
[17] 200

A 2000 ml three-necked flask equipped with a stirrer and 0.1

100
nitrogen inlet was charged with 1000 ml of polyphosphoric
acid (P2O5 85%). Into the flask was gradually added 40.804 g 0 0.0
0 50 100 150 200 250
(0.1030 mol) of DAB and 16.613 g (0.1000 mol) of IPA and Time (min)
10.00 g of P2O5. Under a thin stream of nitrogen, the solution
was heated at 200 °C and kept at that temperature for 12 h. The Fig. 1 Variation of vacuum during vacuum hot-press sintering
resulting PBI was isolated by pouring the hot solution into
300
water, washed with water, dilute sodium bicarbonate solution,
PBI
methanol and dried in a vacuum oven at 50 °C. The resulting 5% Ti /PBI
PBI was to be purified as follows. 10% Ti/PBI

A 1000 ml three-necked flask equipped with a stirrer was 200

charged with 500 ml of H2SO4. Into this flask, 20 g of the PBI

Strength (MPa)
(100 mesh) was added gradually and dissolved. The solution
was isolated by pouring into water, washed thoroughly with
water, and dried in a vacuum oven at 50 °C. 100

Molecular weight (GPC): Mn=12850, Mw=14241, Mw/

Mn=1.11.
Preparation of PBI molded specimens via hot-press
sintering in vacuum
After fully mechanically mixed, the mixtures of PBI
powders (100 mesh) with a load of 0, 5, and 10 wt.% Ti (75
mesh) were placed in a steel mould and arranged in the mode.
They were then hot-pressed in a ZT-63-20Y vacuum
hot-pressing furnace (Chenhua Electrical Furnace Co.,
Shanghai, China) by two steps sintering. Namely, the mold was
first preheated at a heating rate of 10 °C /min to 165-175 °C and
held there for 90 min, then a pressure of 20.0 MPa was applied
to the mold and the temperature was increased at a heating rate
of 15 °C /min to 450-460 °C and held there for 60 min. The
vacuum in the hot-pressing furnace was kept at
1.0×10-2-1.0×10-1 Pa. The molded specimens were then cooled
with the furnace to room temperature.
RESULTS AND DISCUSSION
Vacuum variation during hot-pressing and density of
sintered Ti/PBI specimens
Figure 1 shows the variation of vacuum during hot-press
sintering in vacuum. Since PBI powders are hygroscopic at
room temperature, they generally contains about 14%-17wt%
of water, air, phosphoric acid and other impurities. When PBI
and PBI composites were heated at a range of 70-160 °C, the
volatiles were exhausted by vacuum and hence caused
decrease in the vacuum. During the sequent sintering process,
the water produced by the polymerization of PBI led to the
0
Tensile strength Flexural strength Compression strength
Fig. 2 Mechanical properties of Ti/PBI composites at room
temperature
fillers. It could be rationally anticipated that the Ti powders as
the filler with good mechanical properties would help to
improve the tensile and compressive strength of PBI
composites, if they had homogeneous dispersion in and formed
strong interfacial adhesion with the PBI matrix. However, the
interfacial adhesion between Ti powder and PBI molecules
might be weaker than the intermolecular forces of PBI, and the
micro-porosities of Ti/PBI composites tended to increase with
increasing Ti content, thus the flexural strength of PBI
composites was decreased as compared with that of the
unfilled PBI.
Friction and wear properties
Figure 3 shows the influence of temperature on the
frictional coefficients () at different Ti content. Both PBI and
its composite filled with Ti recorded friction coefficients of
0.14-0.35 as they slid against the steel counterpart. The friction
coefficients tended to decrease with increasing temperature,
and the Ti content showed little effect on the friction
coefficients of the Ti/PBI composites.
0.5

decrease of vacuum again (see Figure 1). PBI

5% Ti/PBI
0.4
10% Ti/PBI
Friction coefficient ()

Mechanical properties at room temperature 0.3

Figure 2 gives the mechanical properties of Ti/PBI
composites. It can be seen that the incorporation of Ti led to a 0.2

significant increase in the tensile and compressive strength of

sintered PBI, and in particular, the PBI-Ti composite 0.1

containing 5wt% Ti had the highest tensile and compressive

strength. After the strength reach a max values, the tensile and 0.0
0 50 100 150 200 250 300 350

compressive strength tend to decrease with the increasing Ti o

Temperature ( C)

content. Besides, the PBI composites showed slightly smaller

flexural strength than neat PBI, which could be related, more Fig. 3 Frictional coefficient of PBI composites as a function of
or less, to the decrease in the ductility by the addition of the temperature (sliding velocity 0.20 m/s; load 10 N)

813
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
The low frictional coefficient of PBI composites at high
temperature could be attributed the transfer film of the PBI on
the surface of steel ball (see Figure 4). Under low temperature,
PBI was hard and a lot PBI granular was produced during
friction. However, the surface of PBI was softened and transfer
film was produced under high temperature. So the frictional
coefficients decrease with increasing temperature.
Fig. 4 SEM images of wear scars on the balls subjected to wear
test at: (a) 22 °C; (b) 100 °C; (c) 200 °C; (d) 300 °C
On the other hand, only signs of slight scuffing and plastic
deformation were observed on the worn surfaces of the
PBI/5wt% Ti sliding against the steel balls at elevated
temperature of 300 °C (Figure 5c and 5d), and the worn
surfaces in this cases seemed to have been polished to some
extent, which might well correspond to the decrease of the
friction coefficient thereat, since at elevated temperature PBI
would be more easy to experience plastic deformation and
form transfer film on the counterpart steel sliding surface
under repeated sliding stress.
Fig. 5 SEM images of worn surfaces of 5 wt.% Ti/PBI
composites disks subjected to wear test at: (a) 22 °C; (b) 100
°C; (c) 200 °C; (d) 300 °C
The specific wear rate increased sharply with increasing
temperature. The PBI was softened and more easily abraded.
The inclusion of the Ti powders led to deterioration to the wear
resistance of sintered PBI, which was more prominent at
elevated temperatures (see Figure 6). In the presence of Ti
814
powders as the filler, the PBI matrix would experience more
severe friction-induced damages such as adhesion, scuffing,
and spalling.
-5 PBI
1.4x10
5% Ti/PBI
-5
10% Ti/PBI
1.2x10
Specific wear rate (mm /N.m)
-5
3
1.0x10
-6
8.0x10
-6
6.0x10
-6
4.0x10
-6
2.0x10
0.0
0 100 200 300
o
Temperature ( C)
Fig. 6 Specific wear rate of PBI composites as a function of
temperature (sliding velocity 0.20 m/s; load 10 N)
CONCLUSIONS
Bulk Ti/PBI composites were prepared using hot-press
sintering in vacuum, at a medium load of 20 MPa and
moderate temperature of 160-450 °C. The prepared Ti/PBI
composites had much larger tensile and compressive strength
than PBI, though the inclusion of the Ti filler at a relatively
high mass fraction (10 wt%) was harmful to the tensile and
compressive strength of the composites. Besides, the
incorporation of the Ti filler had almost no effect on the
friction behavior of the Ti/PBI composites at ambient and
elevated temperatures, but it led to deterioration to some extent
in the wear resistance of the composites. Thus further work is
need for improving the wear resistance of the PBI-Ti
composites prepared via hot-press sintering in vacuum.
ACKNOWLEDGEMENTS
The authors are grateful to the National Natural Science
Foundation of China (Grant No.50575217), the 973 project
(Grant no. 20070B607601) and the Innovation Group Fund
from NSFC (Grant No.50421502) for financial support.
REFERENCES
[1] Chung T, Xu Z and Huan C., “Halo formation in asymmetric
polyetherimide and polybenzimidazole blend hollow fiber
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[3] Kim J and Reneker D., “Mechanical properties of
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[4] Kim J and Wneker D., “Polybenzimidazole nanofiber
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[5] Choe S, Karasz F and MacKnight W., “Phase behaviour in
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[6] Natarajan K, Kumar R, Reddy P, Gowda N and Rao R.,
“Thermal and toughness property studies on a
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 Mechanical and Tribological Properties of Titanium Reinforced Polybenzimidazole
[7] Chung T, Schlask A and Kurschus D., “Stable solution of
polybenzimidazole and polysulfons blends,” US Patent,
5,208,298, 1993.
[8] Xue G, Guo S and Qian Y., “Interfacial modification of
polymer/metal joints by a two-component coupling system
of polybenzimidazole and 2-mercaptobenzimidazole,”
Appl. Surf. Sci., 1995, 84, pp.351-356.
[9] Sun H, Venkatasubramanian N, Houtz M, Mark J and
Arnold F., “Microcellular foams from aminated
polysulfone/polybenzimidazole molecular composites,”
Polym. Prepr., 2003, 44, pp.1118-1119.
[10] Wainright J, Wang J, Weng D, Savinell R and Litt M.,
“Acid-doped polybenzimidazoles: A new polymer
electrolyte,” J. Electrochem. Soc. 2006, 142, pp.121-123.
[11] Bouchet R and Miller S., “A thermodynamic approach to
proton conductivity in acid-doped polybenzimidazole,”
Solid State Ionics, 2001, 145, pp.69-78.
[12] Asensio JA and Borros S., “Proton-conducting membranes
based on poly(2,5-benzimidazole) (ABPBI) and
phosphoric acid prepared by direct acid casting,” J. Membr.
Sci., 2004, 241, pp.89-93.
815
[13] Asensio JA and Borros S., “Sulfonated
poly(2,5-benzimidazole) (SABPBI) impregnated with
phosphoric acid as proton conducting membranes for
polymer electrolyte fuel cells,” Electrochim. Acta, 2004, 49,
pp.4461-4466.
[14] Mecerreyes D, Grande H, Miguel O, Ochoteco E, Marcilla
R and Cantero I., “Porous polybenzimidazole membranes
doped with phosphoric acid: highly proton-conducting
solid electrolytes,” Chem. Mater., 2004, 16, pp.604-607.
[15] Suffredini L., “Sintered polymers,” US Patent, 3,340,325,
1967.
[16] Vogel H and Marvel C., “Polybenzimidazoles, new
thermally stable polymers,” J. Polym. Sci., 1964, 50,
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[17] Iwakura Y and Uno K., “Polyphenylenebenzimidazoles,” J.
Polym. Sci. Part A, 1964, 2, pp.2605-2615.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

Diamond-Like Carbon Thin Films Deposition on Glass Using an Electron Cyclotron Resonance (ECR)
Microwave Chemical Vapor Deposition (CVD) System

Guangan Zhang1,2, Liping Wang1, Pengxun Yan1,2, Junyan Zhang1

1. State Key Laboratory of Solid Lubrication, Lanzhou Institute of Chemical Physics, Chinese Academy of Sciences,
Lanzhou 730000, China
2. Institute for Plasma and Metal Materials, Lanzhou University, Lanzhou 73000, China

Corresponding author: State Key Laboratory of Solid Lubrication, Lanzhou Institute of Chemical Physics, Chinese Academy of
Sciences, Lanzhou 730000, China
Tel: +86931 4968335; Fax: +86931 4968335
E-mail address: gazhang@lzb.ac.cn (Guangan Zhang)

ABSTRACT steady-state growth of DLC coatings [14]. In addition to its

The present study is dealing with the structure and
tribological behavior of the diamond-like carbon thin films
deposited by the ECR microwave CVD technique on glass.
The XPS spectra, friction coefficient and wear life of DLC
films provided obviously changes with the bias changes. The
highest surface oxidation state and friction coefficient values
were measured for the films prepared at -400 V substrate
bias voltages. However, the wear life of the DLC films
increase dramatically (for about 100 times from -300 V to
-700 V bias voltages) with the substrate bias voltage increase
monotonously. This improvement of film properties usually
is normally accompanied with the energy of impinging ions
to the growing film that helps improve the film-substrate
interface diffusion and enhance the film-substrate adhesive.
Key word: Diamand-like carbon; ECR microwave CVD;
Glass substrate; Wear test
unique plasma activation, it combines the advantages of high
plasma density, low working gas pressure, low substrate
temperature and independent control of ion energy during
deposition process. As such, increases in ion energy within
the plasma have been found to result in the deposition of
highly constrained, high density, high hardness and high
adhesive films.
The main factor to raise adhesion is the energy of ions
that strike on the surface of nucleating and growing DLC
film. And the energy of ions can be controlled by varying the
substrate bias voltage. In this study, we take substrate bias to
control the ion energy, and observe the relation of the
structure and mechanical properties of the DLC films on the
glass substrate and finally acquire high quality DLC films on
glass.

1. Introduction 2. Experimental process

Since high mechanical hardness, high wear resistance,
low friction coefficient, chemical inertness, optical
transparency and, diamond-like carbon (DLC) film have
been widely used in areas such as precision mechanisms,
microelectromechanical devices (MEMs), magnetic storage
disks, car parts, space navigation, optical parts, etc. [1–6].
However, for application in optical part, such as on glass
device [7], there are some problems such as poor adhesion to
glass substrate, and finally leads to a limitation of their
application. Therefore, the improvement of adhesion on
glass substrate is a necessary problem to be solved [8].
It is well known that the special features of the method
of production define the properties and characterization of
DLC films. Among the methods of DLC film preparation,
plasma physical vapor deposition (PVD) and chemical
vapour deposition (CVD) are often used [9-13]. In order to
improve DLC film quality and develop large area thin film
deposition, recently a novel method, namely electron
cyclotron resonance (ECR) microwave chemical vapour
deposition (CVD) has been employed [14, 15]. As compared
with other deposition techniques, the CVD process using
ECR microwave plasma is a rather new technology for
The DLC films were deposited by the ECR microwave
CVD method with various DC bias voltages. The microwave
power at 2.45 GHz is guided through a rectangular
wave-guide and introduced into the ECR magnetron
excitation chamber through a quartz window. Prior to the
deposition, the glass substrate was cleaned using the acetone,
followed by de-ionised water and blown dried using flowing
air. Subsequently, the substrates were then loaded inside the
deposition chamber. The chamber was pumped down to a
base pressure below 4.0 ×10-3 Pa. Once the desired vacuum
was reached, a dynamic flow of Ar gas was introduced into
the chamber to bring the pressure up to 3.5 ×10-1 Pa. The
substrates were subsequently cleaned under the high energy
of ion bombardment by ECR and sputtering for 10 min,
operating at a bias of -750 V, to remove undesirable
contamination on the substrate surfaces. Finally, to deposit
the DLC layer, the flow rate of CH4 was kept in Ar/CH4
ratio equaled 1/4 and the reactant pressure maintained at
3.5×10-1 Pa in the deposition process. DLC films used for
investigation were all prepared at a thickness of about 40-50
nm.

816
 Diamond-Like Carbon Thin Films Deposition on Glass Using an Electron Cyclotron Resonance (ECR) Microwave Chemical
Vapor Deposition (CVD) System
In this study, the XPS measurements of the films were
performed on a Perkin-Elmer PHI-5702 multi-functional
X-ray photoelectron spectroscope, using Al-Ka radiation
(photon energy 1476.6 eV) as the excitation source. The
XPS spectra were collected in a constant analyzer energy
mode, at a chamber pressure of 10-8 Pa and pass energy of
29.4 eV, with 0.125 eV/ step. To prevent charging, Au thin
films about 0.5 nm thick were deposited on the tested
surfaces of all the samples by thermal evaporation, and the
binding energy of Au (Au 4f7/2 84.00 eV) used as the
charge-up correction. Sliding friction and wear life test were
performed in ambient atmosphere (18 ć,40% RH), using a
UMT-2MT micro-tribometer (CETR Co., USA). A steel ball
of 3 mm in diameter, with a hardness of 6.1 GPa, was used
as a counterbody. The samples were tested under 20 g for
friction coefficient test and 50 g load for wear life test with a
reciprocative frequency of 2 Hz.
3. Results
Fig. 1 XPS survey spectra taken from the DLC films
deposited on glass at various negative substrate bias
The XPS has been a preferred tool to investigate
chemical bonding and structural properties of the DLC films.
Although there are still some controversies about the
assignments of the individual components of the C 1s core
level spectra, XPS analysis always provide useful
information on the chemical environment around C and O of
DLC phases. The XPS survey spectra of as-deposited
samples over the full energy range of 0-1000 eV of the DLC
thin films are shown in Fig 1. No argon cleaning was applied
at the examination since we need the composition state of
the film surface, and therefore strong signals from O should
be due to surface contamination and adsorption and strong
Au peaks because of a 0.5 nm thin Au film for the charge-up
correction. The most noticeable difference in the spectra is
the intensity of O 1s peak. The strong O 1s peak of samples
817
prepared at -400 V bias convince us that the large content of
oxygen in the film surface.
For further investigation of the relationship of the
binding energy of C 1s in the DLC films with negative
substrate bias, the C 1s region was also investigated in the
high-resolution mode and the normalized C 1s spectra for
the films are shown in Fig. 2. The energy scale of the spectra
was calibrated using the Au 4f7/2 signal (84 eV). Although
the absolute values of the peaks positions and areas need to
be corrected using standards and surface cleaning, the state
of the surface is convinced that the wear process was just a
surface contact process and the result is convictive. Three
dashed lines in Fig. 2 showed the binding energy position of
sp3 carbon, sp2 carbon and C-O carbon, respectively. The
binding energy of the C 1s is various for the DLC film
prepared under various bias, while the binding energy of the
sample prepared at -400 V appears at a highest binding
energy is probably due to the presence of the strong
oxidation of film surface and is in agreement with the survey
XPS spectra analysis. Further increase of the substrate
negative bias to -500 V, the binding energy keeps at a
relative lower energy compared to -300 V and -400 V. This
may show that the DLC film possess low content of
oxidation contamination. Further increase of bias voltage
leads to increase of the binding energy corresponding to
large content sp3 bond in the DLC films.
Fig. 2 C 1s core spectra of the DLC films deposited at
various negative substrate bias
The micro-tribometer is a convenient test for the
determination of the friction coefficient and the wear life of
the thin films. To investigate the friction characteristic of the
DLC films, the changes in friction coefficient values were
measured by subjecting both DLC films to a sliding motion
against the steel ball under 20 g applied load. The glass
without DLC film, the friction coefficient curve was as high
as 0.62 with unstable fluctuation. Furthermore, unstable
fluctuation of friction coefficient was also appeared in the
friction curves of DLC films prepared at -300V and -400V
substrate negative bias. Increasing the substrate negative bias,
friction curves keep in a more stable values range from 0.2
to 0.3.
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China
0.7
Glass
0.6
Friction coefficient
0.5
0.4
0.3
0.2
0.1
-700 -600 -500 -400
Bias Voltage (V)
Fig. 3 The friction coefficient of the DLC films deposited on
glass as a function of the applied negative substrate bias
Fig. 3 shows the average friction coefficients obtained by
averaging the frictional coefficient at 10 min measurement.
The friction coefficient are higher for the DLC film prepared
at -300 V to -400 V bias. From the previously results, the
DLC films show a relatively higher friction coefficient in
oxygen or high oxidation state environment [16]. The film
surface suffered strong oxidation condition in the sample
deposited at -300V and -400V in accordance with the C1s
XPS results [Fig 1 and Fig 2]. Further increase bias, the
friction coefficient show a relatively lower value in the range
of 0.2-0.3. However, this value was higher than that of DLC
on Si substrate, because the roughness of the glass was larger
than the Si substrates. A relatively larger roughness may
cause a relatively higher friction coefficient.
Fig. 4 Evolution of the friction coefficient of DLC film
deposited on glass at various negative substrate bias
Fig. 4 shows the typical friction traces of the DLC films
deposited under various negative bias. The applied normal
load was selected to be 50 g and reciprocated frequency of 2
Hz. As shown in Fig. 4, the friction coefficient presented
three distinct stages. At the first short-time stage, the friction
coefficient fluctuated in a relatively larger range due to the
initial roughness of the two surfaces in contact. And during
the following stage, the friction coefficient remained
constant and without obvious fluctuation, which is typical of
DLC/steel contact. During the last stage, a progressive
increase of the friction coefficient from the constant value of
the previously stage, to an approximately 0.5-0.7, which is a
characteristic value for steel/glass contact, was observed.
The inverted peak corresponding to the wear of the
DLC-glass mixed layer. The total duration of the first two
stages was indicative of the wear life of the films and
depended on the applied substrate negative bias. By plotting
these data, Fig. 5 is generated. In this study, the effect of bias
in the DLC films deposited process on the wear life is found
to be significant. DLC films prepared at -300V presented
lowest wear life in the as-deposited DLC films. The wear life
-300
shows a monotonous increase with the negative bias, which
also shows an increase substrate-film adhesion. The wear life
shows a tremendous improvement (for about 100 times
increase from -300V to -700V bias) with the bias increase.
This increasing tendency of wear life with increasing the
negative bias voltage might be related with the energy of
impinging ions to the growing film that helps improve the
film-substrate interface diffusion and enhance the
film-substrate adhesive. This can avoid the film flaking away
from the glass surface. The lower friction coefficient also
causes an improvement of wear life of the DLC film.
3000
2500
2000
Wear life (s)
1500
1000
500
0
-700 -600 -500 -400 -300
Bias Voltage (V)
Fig. 5 Wear life of the DLC films deposited on glass at
various substrate bias, measured by UMT test under 50N
load, 2Hz
4. Conclusion
The present study is dealing with the structure and
tribological behaviours of about 40nm thick diamond-like
carbon thin films deposited by the ECR microwave CVD
technique on glass substrates. The XPS spectra, friction
coefficient and wear life of DLC films provided obviously
changes with the negative substrate bias changes. The
highest oxidation state and friction coefficient values were
measured for the films prepared at -400 V substrate bias. The
higher friction coefficient of film is accompanied with
surface condition such as oxidation. However, the wear life
of the DLC films was increase dramatically (for about 100
818
 Diamond-Like Carbon Thin Films Deposition on Glass Using an Electron Cyclotron Resonance (ECR) Microwave Chemical
Vapor Deposition (CVD) System
times from -330V to -700V bias) with the substrate bias.
This improvement of film properties usually is normally
accompanied with related with the energy of impinging ions
to the growing film that helps improve the film-substrate
interface diffusion and enhance the film-substrate adhesive.
From these results, we conclude that the substrate bias can
effective adjust the ion energy and improve the mechanical
properties of DLC thin films on glass substrate. And ECR
microwave CVD was an effectively method to deposition
DLC thin films on glass.
Acknowledgement
The authors are grateful to the National Natural Science
Foundation of China (Granted No: 50772115)ˈthe National
Key Basic Research Program (No. 2007CB607601) and the
prearranged project of General Armament Department
(maintenance techniques subject) for financial support.
References
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 The Biotribological Behavior Researches on the α -Tocopherol Doped and Gamma-Irradiated UHMWPE
The Biotribological Behavior Researches on the >-Tocopherol Doped and Gamma-Irradiated
UHMWPE
Ni Zifeng, Ge Shirong
Institute of Tribology and Reliability Engineering, China University of Mining & Technology, Xuzhou,
Jiangsu, 221116, China
Extended Abstract
UHMWPE resin powder was blended with α-tocopherol
and these blends were consolidated to prepare the UHMWPE
samples by compression molding method. Then these samples
were irradiated by gamma-irradiation. Accelerated aging was
performed on some of the samples. The effects of α-tocopherol
on the wear behavior and mechanical properties of the
gamma-irradiated and α-tocopherol doped UHMWPE
specimen were investigated. The hardness, scratch coefficients
and ultimate tensile strength (UTS) of α-tocopherol doped,
irradiated UHMWPE specimen were higher than irradiated
UHMWPE specimen; the α-tocopherol doped, irradiated
UHMWPE specimen showed lower wear rate than irradiated
UHMWPE specimen. Accelerated aging decreased the
ultimate tensile strength and increased the wear rate of
irradiated UHMWPE samples significantly, while affected the
α-tocopherol doped, irradiated UHMWPE specimen slightly.
Keywords: ultra-high molecular weight polyethylene
(UHMWPE), Biotribology, Irradiation, α -Tocopherol
INTRODUCTION
Ultra-high molecular weight polyethylene (UHMWPE)
is a kind of well-known biomaterial that has been used as
artificial acetabular cup in total hip replacement (THR) since
the early 1960s [1], because of its superior mechanical qualities,
resistance to wear and low frictional coefficient. But the wear
and fatigue damage have been major damage limiting the
longevity of implanted UHMWPE acetabular cups in total hip
replacement [2,3].
Although Radiation crosslinking can increase the wear
resistance of UHMWPE, post-irradiative oxidation results in
the oxidative embrittlement and reduction in the mechanical
properties of UHMWPE [4]. Post-irradiation melting increases
oxidation resistance of UHMWPE, but it compromises the
fatigue strength of UHMWPE, thereby limiting the use of
highly crosslinked UHMWPE [5].
α-Tocopherol is known to react with oxygen and
oxidized lipids, stabilizing them against further oxidative
Corresponding author: GE Shi-rong, Email-address:
nizf@cumt.edu.cn Tel: +86-516-83591916
823
degradation reactions [6]. In this paper, we blended UHMWPE
resin powder with α-tocopherol and consolidated these blends
to prepare the UHMWPE samples by compression molding
method. Then these samples were irradiated by
gamma-irradiation. Accelerated aging was performed on some
of the samples. The effects of α-tocopherol on the wear
behavior and mechanical properties of the gamma-irradiated
and α-tocopherol doped UHMWPE were investigated.
MATERIALS AND METHODS
The molecular weight of the UHMWPE resin powder is
5,000,000 g/mol. Firstly, the UHMWE powder was blended
with α-Tocopherol; then the blends was consolidated by
compression molding method. These molded blocks were
irradiated by gamma-irradiation in air. Some of the samples
were accordance aged at 80 oC for 3 weeks in air. The flat
surface on UHMWPE disc samples were polished to the
roughness of Ra = 0.2-0.4 μm.
Hardness testing
The hardness of UHMWPE samples (n=10) was
measured according to ISO 2039/1 by using of the UMT
tribometer.
Scratch testing
The scratch tests (n=3) were performed on the UMT
tribometer using a cutting blade with a spherical tip of 400 μm
diameter. The applied normal load was 1 N, and the sliding
speed was 0.2 mm/s.
Mechanical testing
Tensile specimens (n=5) were machined and tested using
an MTS machine at a crosshead speed of 5 mm/min in
accordance with ASTM D-638.
Wear testing
The ball-on-disc wear tests (n=3) of UHMWPE samples
were performed on the UMT tribometer. The wear tests were
operated in human plasma lubricant for 50,000 reciprocation
cycles at frequency of 1 Hz with the reciprocation distance of
12mm and load of 20 N. Wear mass loss of the UHMWPE disc
was evaluated by using MicroXAM surface mapping
 Technical Sessions—Proceedings of CIST2008 & ITS-IFToMM2008 Beijing, China

microscope. Scanning electric microcopy was used to observe

the worn surface of UHMWPE samples.
RESULTS AND DISCUSSION
The hardness and scratch coefficients of α-tocopherol
doped, irradiated UHMWPE specimen were higher than
irradiated UHMWPE specimen (Table 1).
Fig. 1 SEM images of the worn surface of UHMWPE samples
Table 1 Hardness and scratch coefficients of unaged
(a) irradiated, (b)accelerated aged irradiated, (c) α-tocopherol
UHMWPE specimen
doped, irradiated, (d)accelerated aged α-tocopherol doped,
Hardness Scratch
irradiated
(MPa) coefficients
CONCLUSIONS
Irradiated UHMWPE 25.96f0.25 2.63f0.03
α-Tocopherol had a beneficial effect on the wear
α-tocopherol doped, irradiated 26.77f0.25 2.88f0.03
behavior and mechanical properties of irradiation UHMWPE
UHMWPE
specimen, resulting in higher hardness, scratch coefficients,
The ultimate tensile strength (UTS) of the α-tocopherol ultimate tensile strength and lower wear rate, and reducing the
doped, irradiated UHMWPE specimen were high than adversely effect of accelerated aging.
irradiated UHMWPE specimen. Accelerated aging decreased ACKNOWLEDGEMENTS
the UTS of irradiated UHMWPE specimen significantly. This study was supported by Key Program of the Natural
The α-tocopherol doped, irradiated UHMWPE specimen Science Foundation of China (Grant No. 50535050) and Major
showed lower wear rate than irradiated UHMWPE specimen Stated Basic Research Development Program (973 Program,
(Table 2). The wear rate of the accelerated aged irradiated 2007CB607605)
UHMWPE specimen increased significantly than unaged REFERENCES
irradiated UHMWPE specimen. The wear rate of α-tocopherol [1] Li S, Burstein A. H., 1994, “Ultra-high molecular weight
doped, irradiated UHMWPE specimen did not show polyethylene. The material and its use in total joint
significantly difference before and after accelerated aging duo implants,” J Bone Joint Surg Am, 76(7), pp.1080-1090.
to the anti-oxidation effect of α-tocopherol. [2] Wang, A., Sun, D.C., Stark, C., Dumbleton, J.H., 1995,
SEM images of the worn surface of UHMWPE samples “Wear mechanisms of UHMWPE in total joint
were shown in Fig. 1. replacements,” Wear, 181-183, pp.241-249.

Table 2 Tensile properties and wear loss of UHMWPE [3] Xiong, D., Ge, S., 2001, “Friction and wear properties of

samples UHMWPE/Al2O3 ceramic under different lubrication

conditions,” Wear, 250, pp.242-245.
UTS Wear loss
[4] Kurtz, S.M., Villarraga, M.L., et al. 2002,
(MPa) (mm3)
“Thermomechanical behavior of virgin and highly
Irradiated UHMWPE 29f2 0.361f0.011
crosslinked ultra-high molecular weight polyethylene
Aged irradiated UHMWPE 20f2 4.264f0.024
used in total joint replacements,” Biomaterials, 23(17),
α-Tocopherol doped, irradiated 32f1 0.169f0.006
pp. 3681-3697.
UHMWPE
[5] Oral, E., Wannomae, K.K., et al. 2004,
Aged α-tocopherol doped, 31f2 0.174f0.007
“Alpha-tocopherol-doped irradiated UHMWPE for high
irradiated UHMWPE
fatigue resistance and low wear,” Biomaterials, 25(24),
pp.5515-5522.
[6] Kamal-Eldin, A., Appelqvist, L. 1996, “The chemistry
and antioxidant properties of tocopherols and
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(The whole paper will be supplied by the authors if reader
needs it.)

824
 The Effects of Protein and pH on the Tribo-Corrosion Performance of Cast CoCrMo
– A Combined Electrochemical and Tribological Study

The Effects of Protein and pH on the Tribo-Corrosion Performance of Cast CoCrMo

– A Combined Electrochemical and Tribological Study
D. Sun*, J.A. Wharton, R.J.K. Wood
National Centre for Advanced Tribology at Southampton (nCATS), University of Southampton, UK

Extended Abstract
In this study, the wear-corrosion of cast CoCrMo, more
specifically, sliding wear-corrosion and abrasive wear-
corrosion (using ~ 4 μm SiC abrasive particles) have been
investigated using a modified ball-cratering rig with a three-
electrode electrochemical cell. The concentration effects of
proteinaceous material (25% and 50% bovine serum) and pH
levels, i.e., pH 4.0 (the possible pH for an infected joint area)
and pH 7.4 (the normal pH for a healthy joint) on the tribo-
corrosion performance of the alloy are explored. Results show
that protein adsorption was dependent on pH and protein
concentration. The protein adsorption in turn influenced the
overall tribo-corrosion performance of the CoCrMo alloy,
including the in situ electrochemical noise, the specific wear
rates, as well as the wear scar morphologies. The proteins and
higher under pH 4.0 than for pH 7.4 under SC conditions. The
CoCrMo surface is more prone to corrosion attack in more
acidic environments [3], which resulted in corrosion-enhanced
wear. For the BS containing solutions, however, the lower pH
solution resulted in a slight decrease of the SWR, this could be
due to pH 4.0 being close to the isoelectric points of the
proteins within the serum [4] and therefore there is a greater
tendency for protein adsorption (less repulsions between
adsorbed proteins) [5]. The fact that the majority of the
proteins are positively charged at pH 4.0 could possibly
influence their entrainment kinetics into the bearing contact. It
has been reported in animal studies that positively charged
proteins enter the joint more rapidly than negatively charged
proteins, and they also are retained for a longer time within the
joint [6]. In this study, the positively charged proteins under