Materials Horizons: From Nature to Nanomaterials

Riyadh A. Al-Samarai
Yarub Al-Douri

Friction
and Wear
in Metals
Materials Horizons: From Nature
to Nanomaterials

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Cranfield University, Cranfield, UK
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Riyadh A. Al-Samarai · Yarub Al-Douri

Friction and Wear in Metals

Riyadh A. Al-Samarai Yarub Al-Douri
Department of Electromechanical Piri Reis University
Engineering Istanbul, Turkey
University of Samarra
University of Malaya
Samarra, Iraq
Kuala Lumpur, Malaysia

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Preface

Wear is a process that occurs at the interfaces of interacting bodies. However, the
gradual removal of this barrier by scientists has revealed a staggering array of different
types and causes of wear. Since the very first wear tests, we have learned much more
about wear and have made great strides in identifying wear mechanisms. Our under-
standing of wear has changed over the past few decades, and this includes how
we classify different wear mechanisms. Originally intended to classify wear mecha-
nisms, terms such as abrasion, adhesion, and fatigue are inadequate today. Originally
intended to categorize wear mechanisms, terms like abrasion, adhesion, and fatigue
are today inadequate. Surface coatings and new materials wear differently. Under-
standing the mechanisms through which wear occurs, which frequently involves
complex reactions and transitions, is essential to the effective utilization of these
resources. Also, it will be much simpler for us to modify a material if we compre-
hend how it resists wear and friction. It is now obvious that thin layers of material
existing between interacting surfaces influence all known types of friction and wear.
The reduction of friction and wear caused by the presence of fluid or lubricant at the
point of contact has long been known. Wear and friction are typically substantially
higher if such a film is merely created by bodies sliding in dry contact. In general, this
film creation significantly lowers friction and wear, which makes it typically advanta-
geous. Nonetheless, occasionally film formation occurs increasing friction and wear.
This textbook offers current knowledge on materials, wear mechanisms, and wear.
The chapters cover the most recent ideas in the classification of wear mechanisms,
metal wear, polymer and ceramic wear, fretting wear, material wear, friction and
ceramic wear, the third body concept in problems of wear and friction, and tribology
of technical surfaces. The effects of surface chemistry in tribology, wear in boundary
lubrication, the influence of lubricant chemistry on wear, the characterization and
classification of particles and surfaces, as well as machine breakdowns and their
avoidance, are also covered. This book’s advantage is its current understanding of
the subject and the repeated mentions of technical principles.
It has more than just summarized what is currently known about wear, though.
Also, it makes an effort to outline numerous recent issues as well as potential fixes.
This demonstrates that even while we now understand a lot about wear, there are

v
vi Preface

still some areas that need to be fully explored. Demonstrates that novel wear control
strategies are continually being developed and applied. The book also outlines poten-
tial future obstacles humanity might encounter. After all, adding a new task on top
of an existing one is not always easy. A person already has a lot of other obligations
and responsibilities. I’m sure those who are interested in wear and wear control will
find this book to be a useful resource. One of the most challenging challenges for
an engineer, nevertheless, is comprehending methods to wear degradation, antic-
ipating wear, and minimizing wear. Quantitative prediction, even by an order of
magnitude, frequently remains a distant goal, necessitating specialist understanding
in mechanics, physics, chemistry, and the science of matter. Lubrication frequently
causes donning to be lowered, but it is difficult to estimate exactly how much this
discount will be. The subsequent chapters examine how we grasp this significant
subject while delving into each of the components of “friction and wear.” The most
inclusive definition of wear, which has been in use for at least 50 years, incorporates
tissue loss from a surface, tissue transition from one surface to another, and tissue
mobility within a single surface. The vast array of engineering recreational activities
performed by tribologists is more significant, even though a more restrictive defi-
nition of “donning” as “increasing loss of enumeration in the working field of the
body as a result of relative impact on the surface has been offered. wear is defined as
“damage to a stable surface, usually coupled with a slow loss of tissue as a result of
this surface’s relative movement with the contacting substance destruction by tissue
displacement from the surface (which modifies the topography of the surface and
prevents material loss), as well as more frequent tissue removal; Special wear that
is used when a surface is broken by the action of solid particles, liquid drops, or
the crushing of cavitation bubbles in a liquid. Use standard machine techniques in
which one surface glides or rolls over another, with or without purposeful lubrication.
This definition intentionally leaves out any information regarding the mechanisms of
degradation. They can have only mechanical components, such as plastic deforma-
tion or brittle fracture, or they can have significant chemical components, like every
chemical and mechanical technique is used in numerous actual scenarios, such as
steel oxidation or ceramic hydration.
Long before the term “lower back tribology” was first used in 1965, and there are
numerous records of research. Although strong traction or excessive friction had to
be avoided, the design and construction of early machines allowed for large clear-
ances and low working speeds, and therefore, it is formerly frequently advised to
allow sliding components to change size due to the modest performance side. When
the high-speed internal combustion engine is first improved in the early twentieth
century, it is used as a special wear detection tool that has since Today, its signif-
icance has increased. In the past 30 years, experimental microanalysis techniques
and the broad application of electron microscopy have greatly advanced our under-
standing of wear mechanisms. Nowadays, there are numerous examples of excellent
technical items that can only be enhanced and made profitable by comprehending
and successfully limiting processes, some of which are small or function in diffi-
cult settings, while others are high-speed sliding or rolling. Gas turbine engines,
artificial human joints, automobile engines and transmissions, tires, and brakes are
Preface vii

among them. There are also an increasing number of electromechanical appliances

for domestic and commercial use. Nonetheless, wearing shouldn’t be completely
avoided any longer because several manufacturing processes, like abrasion, make
use of it to build and form a surface. It is obvious that there has been a signifi-
cant change in our understanding of many aspects of wearable machines, as well as
materials, coating and lubrication schedules, and how to manage and control the situ-
ation, even though the perfect technique to estimate overhead is still an elusive aim.
Have produced notable advancements in many engineering systems’ performance,
efficiency, and life cycle costs. Nonetheless, there is still much potential for improve-
ment, and tribology issues, particularly in the area of fundamental wear, persist. They
are no longer suitable for classifying wear mechanisms. Surface coatings and new
materials wear differently. Our understanding of the wear mechanisms that occur
is essential to the efficient use of these materials, as wear surfaces often undergo
complex reactions and transitions. It should also be much easier to design a material
if we know how it resists wear and friction.
It is now obvious that thin layers of material that exist between interacting surfaces
affect all known types of friction and wear. The reduction in friction and wear caused
by the presence of a liquid or lubricant at the point of contact has long been known.
Wear and friction are usually much higher if such a film is simply created by bodies
sliding in dry contact. Overall, making this film significantly reduces friction and
wear, which usually makes it more profitable. However, there are times when friction
and wear are exacerbated by film formation. After this study was completed, it became
obvious that many scientists and engineers from all over the world would benefit
from an expanded version published in book form. The chapters cover the most
recent ideas in the classification of wear mechanisms, metal wear, and tribology of
technical surfaces. This book’s advantage is its current understanding of the subject
and its frequent allusions to engineering practice. But this book does more than just
summarize what is currently known about wear. In addition, it attempts to describe
numerous recent issues as well as potential fixes. This shows that while we now
know a lot about wear, there are still some areas that need to be fully explored. This
indicates that new wear control strategies are constantly being developed and applied.
We are sure that those interested in wear and wear control will find this book a useful
resource. Academics, researchers, industrialists, universities, and research institutes
will benefit from this book on friction and wear in minerals for their industrial,
undergraduate, and graduate programs.
Chapter 1 explains factors affecting wear and damage when wear in metal and
polymers by sliding wear. Followed by Chap. 2 that focuses on wear mechanisms,
wear modes, and wear maps, and Chap. 3 concentrates on mild wear and transition to
severe wear and their types in different ways, development of wear studies followed
by characterization and analysis in metals. The main studies of the frictional and wear-
resistant mechanical properties of graphite and carbide friction and wear in Chap. 4
explain modern concepts applied in graphite and carbide friction and wear. While
Chap. 5 explains surface protection from wear through coating, then Chap. 6 explains
on phenomena of friction of metals, polymers, and ceramics, and Chap. 7 discusses
the lubrication and lubricants selection. Chapter 8 focuses on surface topography in
viii Preface

metal technology, followed by Chap. 9 to present surface engineering for tribology

in various applications for selecting wear-resistant materials with regard to their
future aspects. Finally, last Chap. 10 gives on machine failure and its prevention by
tribology and artificial intelligence perspective for tribology.

Samarra, Iraq Riyadh A. Al-Samarai

Istanbul, Turkey/Kuala Lumpur, Yarub Al-Douri
Malaysia
Contents

1 The Wear . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1.1 What Is Wear? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
1.1.2 Development of Wear Studies . . . . . . . . . . . . . . . . . . . . . . 3
1.1.3 Factors Affecting Wear . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
1.2 Sliding Wear . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
1.2.1 Dry Sliding of Metals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
1.2.2 Dry Sliding Wear of Polymers . . . . . . . . . . . . . . . . . . . . . . 16
1.3 Damage When Wear in Metal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
1.4 Microstructural Changes Under the Wear Surface . . . . . . . . . . . . . 22
1.5 Nature of Surface Layers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
1.6 Solid Surfaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
1.6.1 Surface Marking Technology . . . . . . . . . . . . . . . . . . . . . . . 25
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
2 Wear Mechanisms/Models . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
2.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
2.1.1 Plasticity Wear . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
2.2 Wear Mechanisms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
2.3 Wear Modes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
2.3.1 Adhesive Wear . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
2.3.2 Abrasive Wear . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43
2.3.3 Erosive Wear . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
2.3.4 Contact Fatigue Wear . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
2.3.5 Tribocorrosion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
2.4 Experiments on Friction and Wear . . . . . . . . . . . . . . . . . . . . . . . . . . 53
2.5 Metallurgical Expertise . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
2.6 Applying Overlay Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
2.7 Wear Maps . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 57
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59

ix
x Contents

3 Wear in Metals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
3.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
3.2 Mild Wear and Transition to Severe Wear . . . . . . . . . . . . . . . . . . . . 62
3.2.1 Mild Wear . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62
3.2.2 Transition to Severe Wear . . . . . . . . . . . . . . . . . . . . . . . . . . 63
3.3 Steels . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 66
3.3.1 Sliding Wear . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 67
3.3.2 Wear by Fatigue . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71
3.3.3 Wear of Granular Material . . . . . . . . . . . . . . . . . . . . . . . . . 72
3.4 Cast Iron . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74
3.4.1 Sliding Wear . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76
3.4.2 Wear by Fatigue . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 77
3.4.3 Wear of Hard Particles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78
3.5 Copper Alloys . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
3.6 Wear of Aluminum–Silicon Alloys . . . . . . . . . . . . . . . . . . . . . . . . . . 83
3.6.1 Alloys of Aluminum and Titanium . . . . . . . . . . . . . . . . . . 84
3.7 Advanced Ceramics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86
3.7.1 Sliding Wear . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88
3.7.2 Wear by Fatigue . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90
3.7.3 Wear with Granular Material . . . . . . . . . . . . . . . . . . . . . . . 90
3.8 Cemented Carbides . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
3.8.1 Sliding Wear . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92
3.8.2 Wear by Granular Material . . . . . . . . . . . . . . . . . . . . . . . . . 93
3.9 Diamond and Graphite . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94
3.10 Polymers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96
3.10.1 Sliding Wear . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98
3.10.2 Wear by Granular Material . . . . . . . . . . . . . . . . . . . . . . . . . 102
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103
4 Graphite and Carbide Friction and Wear . . . . . . . . . . . . . . . . . . . . . . . . 107
4.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107
4.2 Graphite . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107
4.3 Carbides . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109
4.4 Wear of Brass . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109
4.4.1 Wear Rate and Coefficient of Friction (COF) . . . . . . . . . . 110
4.5 Wear by Particles of Hard . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111
4.5.1 Abrasive Wear of Engineering Materials . . . . . . . . . . . . . 113
4.6 Fretting Wear of Metals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121
4.7 Metal Wear in Lubricated Contacts . . . . . . . . . . . . . . . . . . . . . . . . . 126
4.8 Wear Transitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130
4.9 Chemical Effects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131
4.10 Lubricated Wear . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133
Contents xi

5 Surface Protection from Wear Through Coating . . . . . . . . . . . . . . . . . 135

5.1 General Aspects of Surface Functional Modifications . . . . . . . . . . 135
5.2 Microstructural Modification Treatments . . . . . . . . . . . . . . . . . . . . 138
5.2.1 Treatments of Mechanical . . . . . . . . . . . . . . . . . . . . . . . . . . 138
5.2.2 Heat Treatments of Surface . . . . . . . . . . . . . . . . . . . . . . . . . 138
5.3 Treatments of Thermochemical Diffusion . . . . . . . . . . . . . . . . . . . . 140
5.3.1 Carburizing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140
5.3.2 Nitriding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 142
5.3.3 Other Treatments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146
5.4 Coatings of Conversion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146
5.4.1 Phosphating . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 146
5.4.2 Anodizing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 147
5.5 Coatings of Surface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149
5.5.1 Plating of Metallic . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 149
5.5.2 Coatings of Thin . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 152
5.5.3 Spraying Flames Using Wire or Rod . . . . . . . . . . . . . . . . . 155
5.5.4 Flame Splashing After Detonation . . . . . . . . . . . . . . . . . . . 158
5.6 Utilizing Thermal Spray Technology to Prevent Against
Wear . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 160
5.7 Design of Surface Coating . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 161
5.7.1 General Coating Design Principles . . . . . . . . . . . . . . . . . . 161
5.7.2 Choosing a Surface Plating Technique . . . . . . . . . . . . . . . 162
5.8 Testing of Coating Performance . . . . . . . . . . . . . . . . . . . . . . . . . . . . 162
5.8.1 Structure and Appearance . . . . . . . . . . . . . . . . . . . . . . . . . . 162
5.8.2 Extra Performance Evaluations . . . . . . . . . . . . . . . . . . . . . 170
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 172
6 The Friction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175
6.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 175
6.2 The Basics of Tribology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 176
6.2.1 Contacting Surfaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 176
6.3 Friction of Metals, Polymer, and Ceramics . . . . . . . . . . . . . . . . . . . 181
6.3.1 Metals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 181
6.3.2 Ceramics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 183
6.3.3 Polymers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 186
6.3.4 Final Remarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 188
6.4 Phenomena of Friction and Transfer . . . . . . . . . . . . . . . . . . . . . . . . . 189
6.5 Effect of Sliding Speed and Temperature . . . . . . . . . . . . . . . . . . . . 191
6.6 The Phenomenon of Stick–Slip . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 193
6.7 Wear Abrasion Contribution to Friction . . . . . . . . . . . . . . . . . . . . . . 194
6.8 Initial Roughness Effect . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 195
6.9 Friction of Rolling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 198
6.10 Friction and Heating of Surface . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 202
xii Contents

7 Lubrication and Lubricants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 205

7.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 205
7.2 Solid Lubricants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 207
7.2.1 Graphite . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 207
7.2.2 Diamond-Like Coatings . . . . . . . . . . . . . . . . . . . . . . . . . . . 213
7.2.3 Disulfide of Molybdenum . . . . . . . . . . . . . . . . . . . . . . . . . . 214
7.2.4 PTFE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 214
7.2.5 Soft Metals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215
7.3 Lubricants of Liquid . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 217
7.3.1 Oils of Mineral and Synthetic . . . . . . . . . . . . . . . . . . . . . . . 217
7.3.2 Greases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 220
7.3.3 Lubricating Fluid Film . . . . . . . . . . . . . . . . . . . . . . . . . . . . 221
7.4 Scuffing and Boundary Lubrication . . . . . . . . . . . . . . . . . . . . . . . . . 223
7.5 Mixed Lubrication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 225
7.6 In Case of Large Plastic Deformations, Lubricated Friction . . . . . 228
7.7 Lubricant Selection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 229
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 231
8 Surface Topography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 233
8.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 233
8.2 Properties of the Surface Layers . . . . . . . . . . . . . . . . . . . . . . . . . . . . 235
8.3 Surface Topography Measurement . . . . . . . . . . . . . . . . . . . . . . . . . . 237
8.4 Measurement of Surface Roughness . . . . . . . . . . . . . . . . . . . . . . . . . 239
8.4.1 Measurements Quantitative for Surface
Topography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 239
8.4.2 Engineering Surface Topography . . . . . . . . . . . . . . . . . . . . 241
8.5 Surface Contact . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 244
8.5.1 Surface Wavelength Bandwidth . . . . . . . . . . . . . . . . . . . . . 245
8.6 Numerical Parameters for Topographic Characterization . . . . . . . 246
8.6.1 Sampling Conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 247
8.7 Field Parameters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 248
8.8 S-Parameter Set . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 248
8.8.1 Parameters for Amplitude . . . . . . . . . . . . . . . . . . . . . . . . . . 249
8.9 Solid Surfaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 249
8.10 General Aspects of Surface Functional Modifications . . . . . . . . . . 250
8.11 Microstructural Modification by Treatments . . . . . . . . . . . . . . . . . . 256
8.11.1 Treatments of Mechanical . . . . . . . . . . . . . . . . . . . . . . . . . . 256
8.11.2 Heat Treatments of Surface . . . . . . . . . . . . . . . . . . . . . . . . . 256
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 259
9 Surface Engineering for Tribology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 261
9.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 261
9.2 Surface-Engineered Layer Delamination . . . . . . . . . . . . . . . . . . . . . 262
9.3 Surface Modification of Component Without Changing
Content . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 264
Contents xiii

9.3.1 Transformation Hardening . . . . . . . . . . . . . . . . . . . . . . . . . 264

9.3.2 Surface Melting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 268
9.3.3 Surface Texturing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 269
9.4 Surface Modification of Components Including
Composition Changes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 271
9.4.1 Surface Modification via Diffusion Treatment
of Solid Solution and Sedimentation . . . . . . . . . . . . . . . . . 271
9.5 Materials Selected for Wear Resistance . . . . . . . . . . . . . . . . . . . . . . 274
9.6 Formulas for Different Friction Materials . . . . . . . . . . . . . . . . . . . . 278
9.6.1 Automotive Applications . . . . . . . . . . . . . . . . . . . . . . . . . . 278
9.6.2 Materials with Organic Ties . . . . . . . . . . . . . . . . . . . . . . . . 279
9.6.3 Formulas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 279
9.6.4 Semi-metallic Formulas . . . . . . . . . . . . . . . . . . . . . . . . . . . 280
9.6.5 Truck (CV) Formulas . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 281
9.6.6 Low Metal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 282
9.6.7 Low Steel Compositions . . . . . . . . . . . . . . . . . . . . . . . . . . . 283
9.6.8 Sintered Materials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 285
9.7 Aircraft . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 286
9.8 Coated Surface Tribomechanics . . . . . . . . . . . . . . . . . . . . . . . . . . . . 286
9.8.1 Scales of Tribology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 286
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 288
10 Machine Failure and Its Prevention by Tribology . . . . . . . . . . . . . . . . . 291
10.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 291
10.2 Tribological Principles and Maintenance Procedures . . . . . . . . . . 292
10.2.1 An Overview of Maintenance Practices
Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 292
10.2.2 Principles of Tribological . . . . . . . . . . . . . . . . . . . . . . . . . . 293
10.2.3 Maintenance and Tribology . . . . . . . . . . . . . . . . . . . . . . . . 296
10.3 Diagnoses of Failure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 296
10.3.1 Morphology and Analysis of Failure . . . . . . . . . . . . . . . . . 298
10.3.2 Failure Management: Two Brief Case Studies . . . . . . . . . 299
10.3.3 Bearing for a Sand Dredger . . . . . . . . . . . . . . . . . . . . . . . . 299
10.3.4 Comment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 300
10.4 Condition-Based Upkeep . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 301
10.5 Analysis of Wear and Debris . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 305
10.5.1 Wear Some Experimental Findings and Their
Application: Wear Modes and Related Debris
Attributes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 308
10.5.2 Summary of Test Results . . . . . . . . . . . . . . . . . . . . . . . . . . 308
10.5.3 Classification and Use of Wear Particles . . . . . . . . . . . . . . 310
10.6 Closure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 315
xiv Contents

10.7 Artificial Intelligence Perspective for Tribology . . . . . . . . . . . . . . . 315

10.7.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 315
10.7.2 Application Fields in Tribology . . . . . . . . . . . . . . . . . . . . . 317
10.8 Future Perspectives for Research and Final Thoughts . . . . . . . . . . 323
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 326

Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 329
Subject Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 331
Chapter 1
The Wear

1.1 Introduction

Understanding the approaches to wear degradation, forecasting, and reducing wear

are some of the most challenging tasks for an engineer. Understanding what is super-
imposed often requires specialized knowledge of mechanics, physics, chemistry,
and materials science, while quantitative prediction, even by an order of magnitude,
remains a distant goal in many cases. While donning can often be reduced with lubri-
cant, the size of this discount is nearly impossible to predict with certainty [1]. The
movement of one solid surface is essential for the functioning of many mechanisms,
each synthetic and natural. Animal teeth and joints, engine cams, piston rings, tires,
roads, brakes, dirt seals, liquid seals, gas seals, belts, floors, shoes, fabrics, electrical
contacts, heads, tape and CD readers, tractor tracks, cannon barrels, rolling mills,
sheet goods, forgings, crushers, conveyors, nuclear equipment, home appliances,
plain bearings, rolling bearings, door hinges, zippers, drills, and saws are exam-
ples of the majority of our technical efforts go into wear. Even though it sometimes
seems that the rate of advancement in wear understanding is relatively modest, in
1920, cars could only just maintain a speed of 40 mph over short distances. Without
any upkeep, it may reach 80 mph in around 1000 h. At this point, greater flexibility,
strength, comfort, and efficiency are added. The same is true for practically all other
products, but it can be challenging to observe improvement in some of them. We still
use textiles, TV remote controls, dishwashing timers, and other numerous low-quality
that are easily depreciating products. Undoubtedly, products with short lifespans are
produced at low costs to maximize profits, but if engineers focused and the profit
motive did not take precedence over the engineering goal of increasing durability,
they might be improved. Most modern design work is evolutionary rather than revo-
lutionary; most designers merely need to enhance an already existing product [2].
However, producing durable goods requires extensive experience, not just because
there are too many of them, but not because there are no straightforward principles of

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2024 1
R. A. Al-Samarai and Y. Al-Douri, Friction and Wear in Metals, Materials Horizons:
From Nature to Nanomaterials, https://doi.org/10.1007/978-981-97-1168-0_1
2 1 The Wear

friction and wear that may be employed in the design process. Many designers’ brains
and design manuals still provide simpler suggestions for lengthening longevity like
. keep the contact pressure modest,
. continue to slide at a slow pace,
. keep your bearing surfaces level,
. avoid excessive heat,
. employ sturdy materials,
. maintain a low coefficient of friction, and
. apply grease.
These circumstances, however, are not likely to result in the development of a
product that is competitive. More practical design techniques are needed, particularly
computer-based techniques. They frequently rest on these basic presumptions, which
are covered in greater detail in Chap. 2.
This section gives a summary of knowledge that exists regarding the various wears.
Most mechanical devices lend themselves to a combination of causes; however, some
equipment fails over time or becomes uneconomical to operate due to a single cause
(types of wear). The man-machine is directly comparable. The medical texts describe
a variety of illnesses, some of which are fatal in and of themselves, but most of
the time we end up with the effects of multiple illnesses as well as environmental
contamination. The life expectancy of a child may help to better understand machine
wear prediction [2, 3]. Both require taking into account a variety of factors and how
they interact. These factors in children include their family history, their exposure
to illness and accidents, their economic situation, their personal habits, their social
environment, etc. The parallel is broken when calculating the moment at which the
process of decline ends, as it is obvious that the effects of the aforementioned factors
on life expectancy are not linear. There is a lot of jargon used in the wear literature
to define wear types, rates, and patterns, which causes confusion. Some of them are
listed and defined in the following section [3].

1.1.1 What Is Wear?

Surface damage to any or all hard surfaces in contact with relative motion is called
wear. According to different wear mechanisms, wear can take on different forms.
Several wear mechanisms can act on a surface at the same time, such as adhesive and
corrosive wear, abrasive and fatigue wear, or a combination of several of them. The
wear process can constantly change over time or in response to changing operating
conditions [4]. Frictional heating generally accelerates wear through mechanical and
chemical reactions. The broadest definition of wear, which has been identified for at
least 50 years, includes loss of tissue from a surface, transition of tissue from one
surface to another, or movement of tissue within one surface. Simply put, it would
seem that the goal of tribology is to reduce friction and wear, the two fundamental
1.1 Introduction 3

Fig. 1.1 Objectives of tribology in practice [2]

drawbacks of solid-to-solid contact, but this is not always the case. In some circum-
stances, as shown in Fig. 1.1, maximizing wear and minimizing friction is preferable
to maximizing friction while minimizing wear or vice versa. For instance, lubricated
clutches and brakes should have less wear but more friction; pencils should have less
wear but more friction; and erasers should have more wear but less friction [1].

1.1.2 Development of Wear Studies

This includes:
. destruction is due to the displacement of tissue on the surface (which changes the
topography of the surface, preventing loss of material), as well as more frequent
removal of tissue,
. using normal machine procedures in which one surface slides or rolls over another,
with or without intentionally used lubricant, and
. special wear, which occurs when the surface is abraded, is due to the displacement
of stable particles moving along it or is destroyed by the influence of strong
particles, liquid droplets, or crushing of cavitation bubbles in the liquid.
4 1 The Wear

This quite deliberate definition does not tell us anything about the mechanisms of
degradation. They can be simply mechanical, for example, involving plastic deforma-
tion or brittle fracture, or they can consist of important chemical aspects, for example,
oxidation of steel or hydration of ceramics; in many real cases, each chemical and
mechanical method plays a role. There are extensive records of tribological studies
covering the loins several centuries earlier than the phrase itself was coined in 1965.
The earliest searches for friction were conducted with the help of Leonardo da Vinci in
the late sixteenth century, and the first quantification of liquid film lubricants [4]. The
tower at the bus stop of nineteenth-century wear has entered science quite recently.
The design and construction of early machines allowed large clearances and, instead,
low operating speeds, so provided that strong adhesion or excessive friction should
be avoided, it is once regularly recommended to allow sliding components to change
size due to small side effects by performance. It is an improvement to the high-speed
internal combustion engine in the early twentieth century that served as a unique tool
for detecting wear, which has grown in importance to this day. Our understanding
of donning mechanisms has advanced rapidly through the widespread use of elec-
tron microscopy strategies and instrumental microanalysis over the past 30 years [5].
There are many examples of superior technical products today, some with high-speed
sliding or rolling and others with small dimensions or in corrosive environments that
can be improved and cost-effective only by understanding and effectively limiting the
processes. They consist of fuel turbine engines, synthetic human joints, automobile
engines and transmissions, tires and brakes, complex drives, and a growing number
of electromechanical devices for home and industrial use [6]. However, the donning
should no longer be constantly avoided: there are many manufacturing methods that
consist of abrasion, for example, the polishing specimen, abrasive specimen, interfa-
cial medium, and surrounding medium make up the tribological system. Finding new
hard yet resilient materials is thus important to improve wear resistance and extend the
equipment’s useful life. Other tribological developments include polyethylene pipes
for coal slurries, surface-hardened soil engagement tools, surface-treated cutters for
shearing sheep, and titanium alloys with ion implants for orthopedic endoprostheses.
There is potential for tribology to provide some advancements whenever wear and
friction limit the performance or durability of a device or appliance. In general, a
model for the material transfer and plastic deformation of wear detritus is illus-
trated in Fig. 1.2. However, the three most essential wear mechanisms are adhesive,
abrasive, and fatigue wear.

1.1.3 Factors Affecting Wear

The temperature, sliding speed, hardness, elastic modulus, load, and material compo-
sition are key factors in determining wear. The contact temperature affects the wear
resistance. With an increase in temperature, the hardness and yield strength decrease,
which leads to an increase in abrasive wear. Most materials lose their hardness and
1.2 Sliding Wear 5

Fig. 1.2 A model for the material transfer and plastic deformation of wear detritus [2]

yield strength as the temperature rises. Migration of metal dislocations at high temper-
atures leads to a decrease in the yield strength, which facilitates plastic deformation
[6]. The normal load has a significant effect on the wear rate. The shear force and
friction force increase as the applied load increases, increasing the wear rate. The
rate of abrasive wear gradually increases in the range of sliding speeds from 0 to
2.5 m/s. The abrasive wear rate increased slightly. The cause of increased wear may
be frictional heating. Since it also depends on the pressure applied to the surfaces, the
presence of lubrication, and the surface roughness of the contacting bodies, we cannot
conclude an increase in sliding speed necessarily increases the wear. The resistance
of a material to deformation under load is measured by its elastic modulus, with a
higher value indicating a stiffer material. The composition of materials also has a
significant effect on wear characteristics [7]. For example, the concentration of inor-
ganic fillers in composites can affect their mechanical properties. When inorganic
fillers providing low-wear resistance are added to the organic matrix, the effect will
be reduced [8].

1.2 Sliding Wear

Usually, two or more processes wear down surfaces simultaneously. As time passes
and the work cycle alters, the balance of these processes can continuously vary. The
equilibrium between wear rate, particle production, and loss determines wear rate.
The kind and quantity of trapped particles are just two of the many variables that
affect how quickly particles develop. The latter is significantly influenced by the
sliding pair’s shape, fill factor, vibration modes, and a variety of other elements.
Equations for the wear rate in practice are probably very complicated [7]. The rate
of abrasive wear rose just a little. The cause of the rise in some applications such
as bearings, tuning, and friction is of utmost importance, whereas for others, the
system’s tribological characteristics important though they may be are no longer the
most crucial factor in determining how to design it. Because of this, components
made of polymers, ceramics, and various composite materials as well as those with
benefits in cost, performance, or formability are becoming more and more common
6 1 The Wear

in modern mechanical engineering. Additionally, we are witnessing a quick rise in

the use of engineering sciences to create engineering parts that offer a high-quality
combination of near-surface qualities and preferred living spaces [8]. The tribology
must perform certain tasks as a result of all these directives. These issues have a wide
range of causes. The circumstances used to measure standard mechanical properties
like tensile strength, indentation hardness, or fracture toughness are considerably
different from those employed when the surface is totally covered. Oxide or lubricant
layers, special surface heights, or applied particles typically range in size from 10 nm
to 10 mm. The surfaces come into contact with nearby protrusions (irregularities)
of various structures when there isn’t a thick lubricating film. These irregularities
interact with each other and cause excessive stresses (in some cases up to the yield
point) at distances of the order of micrometers along the surface time scale of the
order of microseconds.
The voltage charges in these minuscule sites of mechanical interaction can there-
fore be equal to about 104 –107 s–1 for normal values of relative motion. The inter-
actions between these contacts dissipate the whole friction power in addition to the
short time interval and strong deformation charge, frequently resulting in high, but
transiently near temperatures. The dissipative charge of viscous strength in a thin
hydrodynamic oil film (EHL) has been calculated to be in the order of hundreds,
which is equal to the dissipation of electricity energy in the amount of 5 L. This
indicates that even in contact with the lubricant, the energy density can be extremely
high. Harsh surroundings are no longer a constraint on the complexity of completely
defining and then creating wearing patterns. The issue is significantly more diffi-
cult for at least three reasons. The tissue separating the two sliding surfaces can be
thought of as a separate “third body” with its own unique evolutionary records and
properties, and these habitats frequently change depending on the lifestyle of the
device [9].
First, the superposition procedure itself modifies the composition of both the
house and the overlap and near-surface areas. Second, the topography of the surface
is improved by removing or shifting tissue all around. Third, putting on mechanisms
is frequently complicated and may combine mechanical and chemical processes:
For instance, a robot can remove the cloth under boundary lubrication conditions
when two metal surfaces slide in addition to being lubricated. The chemical reaction
between the metal surface and the lubricant’s components is routinely mechanically
eliminated by the garment supply. Currently, the mechanical and chemical interac-
tions causing sliding wear cannot be adequately described. Although the problem
of fretting wear and the problem of non-stop sliding have some characteristics, they
also differ greatly from one another. In fretting wear, the contacting surfaces are
subjected to minute cyclic relative movements [7–9]. In theory, the coated abrasive
body is particularly ductile due to the fact that chemical consequences are typically
secondary. To get a real fracture, it is still necessary to model tissue deformation to
extremely large plastic deformations. Standards are required (to account for plastic or
brittle failure) to account for any surface topography adjustments applied to account
for tissue heterogeneity (associated with its microstructure both initially and when it
is corrected during wear) on a size scale associated with a system of interaction with
1.2 Sliding Wear 7

abrasives particles and generalization of the results of human interaction with poten-
tially many billions of abrasive particles. The mechanical bodies of abrasive parti-
cles themselves must also be safeguarded throughout the model; they will include
a detailed description of their shape in addition to covering their hefty mechan-
ical bodies’ stiffness and strength, but also a thorough explanation of their shape.
Numerous research is influenced by my inability to clearly describe the fundamental
components of particle form. It is no longer surprising that many discussions about
gliding begin with the simplest viable assumption about the relationship between
donning and regular exercise: even here, it is important to simulate tissue deforma-
tion to very high levels. Given the extremely complex nature of donning techniques
and the situation in which they are becoming more sensible in fashion [10].

1.2.1 Dry Sliding of Metals

Let us think about wear caused by dry metal-on-metal friction. Dry and clean are
defined as without any visible oxide deposit or oily residue, respectively. Clear
denotes that something is visible to the human senses. Remember that all reac-
tive surfaces quickly become coated with oxides, gases that have been absorbed, and
pollutants from the air. One or both mating surfaces deteriorate when they slide over
one another. This article will provide a brief theoretical analysis of this particular
sort of wear, which was first developed by Holm and Archard [8, 9]. The primary
factors that determine sliding wear are highlighted by its simplicity, and it also offers
a useful and popular way to describe the degree of wear using the wear factor K.
The wear volume, V, increases with sliding distance, s, while sliding between two
bodies in contact, as shown schematically in Fig. 1.3a. There are three distinct stages
[11]:

(a) (b)
a

b
l me

Stage 1
Stage 2
Wea

Run-in transition

Sliding distance, s

Fig. 1.3 Sliding wear curves for an aluminum alloy and 304L stainless steel (pin-on-disk test;
average pressure: 1 MPa; sliding speed: 0.8 m/s) are shown in the diagrams: a and b, respectively
(data from [11])
8 1 The Wear

(1) Breaking in or running-in. The wear rate, W, which is determined by V/s, is

often very high during this stage, which is rather brief in dry sliding. In actuality,
the asperity peaks and mating surfaces are being removed as they wear out to
compensate for any potential alignment issues. Additionally, they are partially
or completely cleaned of pollutants.
(2) Stage 1. A steady-state stage is reached after the run-in. Typically, the wear rate
is lower than during run-in. This phase of the tribological process is frequently
the most important one, and it lasts till the end of the component’s life. Usually,
adhesion, tribo-oxidation, or a mixture of the two are in charge of controlling
it.
(3) Stage 2. In some circumstances, a wear transition could happen after a specific
amount of sliding. The wear rate can either rise (Fig. 1.3a’s curve “a”) or decrease
(curve “b”). Such transitions are brought on by a modification of the wear
mechanisms, which frequently involves a modification of the friction coefficient.

Figure 1.3b displays two illustrations of wear curves with sliding distance transi-
tions. The first curve (pin-on-disk test; applied pressure: 1 MPa; sliding speed: 0.8 m/
s) relates to an aluminum alloy that is dry sliding on a heat-treated steel counterface
[3]. Stage 1 begins after the run-in stage, which is very brief and not included in
Fig. 1.3. It has a 103 mm3 /m low-wear rate, which defines it. A transition is seen
with an increase in the wear rate to 2.8 × 103 mm3 /m after 1800 m of sliding. In
Stage 1, wear is caused by tribe oxidation, whereas in Stage 2, it is caused by adhe-
sion, according to the examination of the wear debris and tracks. A criterion based
on the achievement of a crucial threshold can be used to describe the change. Flash
temperature: If T f approaches 0.4–0.5 TM (where TM is the alloy’s melting point in
Kelvin), it could result in a pronounced thermal softening at the contacting asperi-
ties [4]. Wear switches from tribo-oxidation to adhesion as a result of the material’s
inability to maintain the oxide layer. A flash temperature of approximately 130 °C at
the transition is predicted from the record of the contact temperature during sliding.
This is enough to bring about thermal softening [4]. Heat-treated steel and an AISI
304L stainless steel are dry-slidden against one another in Fig. 5.1b second wear
curve, which is tested in a manner highly reminiscent of that of the old aluminum
alloy [5]. But in this instance, stage 1 is typified by a rather high-wear rate, and
the wear rate dropped after the transition, which took place after 3000 m of sliding.
We discovered that wear progresses from adhesion to tribo-oxidation. Due to the
material’s comparatively higher melting point and resulting temperature resistance,
frictional heating is unable to soften it during Stage 1 despite its noticeable subsurface
strain hardening. Therefore, this stage can be seen as an incubation time necessary
for the development of a surface oxide layer and hardening of subsurface material,
which better supports the aforementioned oxide layer [6]. The line separating mild
and severe wear is not clearly defined, and it is possible to find an intermediate zone
with mixed transitional behavior, as shown in Fig. 1.3b. The wear coefficient and
surface temperature for steel containing 0.21% C (H: 180 kg/mm2 ) dry sliding at
room temperature against an AISI 52100 bearing steel (H: 850 kg/mm2 ) are shown
as functions of sliding speed in Fig. 1.4 as an illustration [3]. By performing an XRD
1.2 Sliding Wear 9

Fig. 1.4 A 0.2% C steel’s

dry sling wear against
bearing steel. Against sliding
speed is the wear coefficient
and contact temperature.
Additionally, it indicates the
makeup of the gathered
fragments (data from [11])

analysis and applying the Rietveld method, the composition of the fragments and the
fractions of the various phases are ascertained. In Fig. 1.4, the findings for the exper-
iments conducted at 0.2, 0.6, and 1 m/s are presented. Increased sliding speed results
in higher contact temperatures, which increases the tribo-oxidative wear’s contribu-
tion increases, which explains the drop-in wear rate that approaches the mild wear
regime (the oxides make up 90% of the fragments at 1 m/s). This also explains the
observed trend in friction coefficient, which fell from 0.65 at 0.2 m/s to 0.51 at 1 m/s,
in keeping with the results. The fraction of magnetite in the oxides likewise increases
with sliding velocity.
Numerous studies have been conducted to identify the load and sliding speed
ranges that cause mild wear, which is regarded as a desirable level of wear in many
applications, as opposed to severe wear, which cannot generally be tolerated. A
technique based on the so-called wear maps is quite successful for this purpose [7].
Tests that slide are conducted at various loads and sliding speeds, and the pertinent
wear rates are reported on a graph with the load (or nominal pressure) and speed (or
x- and y-axes, respectively) as its x- and y-axes. Following the definitions provided
above, the areas with light wear are then identified. Additionally, the essential wear
processes are identified and highlighted in the various areas of the map by the study
of wear debris and tracks. The results of experimental investigations are frequently
explained and discussed using a record of the steady-state contact temperatures,
which may be included in the map. Figure 1.5, for instance, displays the wear pattern
for the Al 7010 alloy when it is dry slid against an AISI (in a pin-on-disk testing
rig) 32100 steels [8]. It is evident that at low nominal pressures and sliding speeds,
tribo-oxidation is the dominant form of mild wear. A boundary line dividing the
areas of moderate from severe wear by (adhesion) is displayed. The seizure line is
another border that is displayed. The phrases “cohesion” and “adhesion” describe
the ability of an atomic structure to maintain its internal cohesive bond and create
surface bonds with other atoms or surfaces with which it is in intimate contact.
Figures 1.4 and 1.5 show the wear rate of a 60Cu-40Zn brass pin on a high-
speed steel (HSS) ring over a very broad range of sliding speed and temperature.
It has divided the wear into two categories: light and heavy, with heavy wear at
10 1 The Wear

Fig. 1.5 Wear mechanism

diagram for an AISI 32100
steel counterface and an alloy
7010 during dry sliding [11]

the curves’ peaks and light wear elsewhere. The environment, sliding speed, and
ambient temperature all have an impact on the change from heavy wear to moderate
wear. Figure 1.4 illustrates how slip creates enough surface heating to offset some
of the effects of environmental heating. Pay attention to how the environment is
influencing you. Lancaster proposed that the oxide’s thickness played a role in the
transition between mild and heavy wear. According to Fig. 1.5, the time needed for
the exposed area (on the steel ring) to reoxidize and the rate of oxide production,
respectively, determine the thickness of the oxide. The sliding speed during repetitive
sliding, such as the sliding of a pin on a ring, determines the amount of time available
for oxidation. Both the ambient temperature and the temperature increase brought
on by slip in the exposed area influence the rate of formation [12].
When dealing with lubricated sliding wear, running-in and scuffing (i.e., the loss
of boundary lubrication) are two crucial factors that must be taken into account.
Figure 1.6 depicts the wear development of Ni-Cr-Mo steel that has undergone heat
treatment (H: 420 kg/mm2 ) when tested in a pin-on-disk and like-on-like config-
urations with lubrication [13]. The sliding speed is 2 m/s, and the applied load is
200 N (P0 = 6.3 MPa). A rather lengthy running-in period with rapid wear is seen
(see Fig. 1.3a), which is followed by a steady-state stage. In the steady-state phase,
the calculated Klub is equal to 1.3 × 10. The observed friction coefficient that is
relatively low around 0.025 confirms that this figure is indicative of mixed lubrica-
tion. Klub is between one and two people when he runs in and by an additional two
orders of magnitudes compared to steady state. The elimination of initial misalign-
ments between the mating surfaces and the highest peaks in the roughness profiles
is the main contributor to adhesive wear. A sample of a minor fatigue crack created
by fretting at the point of contact is shown in Fig. 1.7a (0.34% C steel, hardness
135 kg/mm2 [14]). The surface oxide layer is highly uneven, and oxide asperities
and valleys’ impact on local stress concentration substantially aid in fracture nucle-
ation. Figure 1.7b depicts a fretting crack with a similar appearance following surface
etching to remove oxides. Since they speed up the fracture nucleation stage, which
1.2 Sliding Wear 11

frequently accounts for the majority of the fatigue life, such cracks may be quite
harmful in fatigue-loaded parts.
Poor slippage regime. The entire area of nominal contact slides if the oscillation
amplitude exceeds 20 µm. This takes place when FT is near s FN and c a. When the
oscillation amplitude is bigger than, say, 300 m, the wear rate reaches typical steady-
state values for sliding wear (via tribo-oxidation). In addition, the development of a
layer of compacted oxides stops surface fractures from forming, which could lead to
fatigue cracks. The relationship between the coefficient of friction, sliding distance,
and evaluation of average COF in several specimens is finally shown in Fig. 1.8.
There is enough oxide present at higher temperatures to electrically separate the
metals and rise. Company N.C. Welsh 7 used 0.12 and 0.5% carbon steels in its work:
. Steel with a carbon content of 0.12%: As illustrated in Fig. 1.9, increasing the
applied load can minimize the rate of wear. The previous pearlite grains then

Fig. 1.6 During sliding at

2 m/s speed and 200 N
applied load in lubricated
conditions, wear
development in a Ni-Cr-Mo
steel is observed [11]

Fig. 1.7 At the end of the contact, there are some minor surface fretting cracks; after the etching,
fretting cracks occur [11]
12 1 The Wear

Fig. 1.8 Evaluation of COF and sliding distance under various processing circumstances [13]
[Open access]

rapidly cool, change to martensitic, and part of the former ferrite grains undergo
nitrogen hardening.
After numerous localized areas (roughness sizes) have hardened, the overall result
is a decrease in the wear rate partial evidence by Fig. 1.9, which contrasts steels with
high and low hardenability, and illustrates the mechanism of surface hardening.
Generally, the disk-on-disk tribometer (line contact) or the 4-ball tribometer (point
contact), both of which are described are used to measure the rolling-sliding wear
behavior. Different tests are run at various load levels (represented by the Hertzian
pressure, pmax), and the number of cycles, N, required to cause fatigue damage is
noted in order to produce the S–N curves [11]. The interpolating curve is often a
straight line if the experimental data are shown in a log–log graph, as schematized
in Fig. 1.10.
Cracks form at the surface in the mixed and boundary lubrication regime, which
is encouraged by sliding. The oil pumping effect consequently becomes more signif-
icant. The contact fatigue life thus shortens. The S–N curves for a 53MnSi4 steel are
displayed in Fig. 1.11 as an illustration [15]. At various pitch line speeds, tests on
gears (line contact) are conducted. At 32 m/s, the contact conditions are probably
between a fluid film and mixed lubrication. The lubricant exerts less thrust force
when the pitch line speed decreases, which in turn causes the factor to decrease and
1.2 Sliding Wear 13

Fig. 1.9 Evaluation of average COF in several specimens [13] [Open access]

p max1

p max2

p max3

N50
Number of cycles to failure (log scale)

Fig. 1.10 S–N curve for contact fatigue schematic. Examples of repeated test results at three stress
levels are shown [11]

ushers in a mixed lubrication regime. As a result, the resistance to contact fatigue

decreases.
The lubrication conditions can get worse for a number of reasons. One of them
is unquestionably the lubricant being contaminated with foreign particles. Mineral
particles, such as sand particles, or metallic particles, like cutting chips, grinding
dust, or wear debris, can be these pollutants. Such impurities may create grooves
that serve as the starting point for new surface fatigue cracks and may also reduce
the lubricant’s ability to absorb moisture. When contaminants’ dimensions are on
the same scale as the thickness of the lubricant, they can be especially harmful.
Figure 1.12 shows the relative lifespan reduction caused by several impurities in
a ball bearing [16]. Welsh provided a similar explanation to Lancaster, as seen in
14 1 The Wear

Fig. 1.11 Pitch line speed’s

effect on a 53MnSi4 steel’s
behavior during contact
fatigue [11]

Fig. 1.13. It is possible that the 855 VPN load’s explicitly decreased sensitivity on
solid steel is caused by the fact that thin oxide films work more effectively on hard
substrates than they do on soft ones. It’s possible that oxide films act as a “lubricant”
for the components.
The information shown above demonstrates how metal oxides stop metals from
abrading or adhering to one another (scoring, abrasion, etc.). Most likely take place in
a vacuum where oxides form very slowly or not at all. Describe this wear category.
It is initially referred to as abrasive because it is clear that it is not sticky. Since
abrasion is defined in terms of the presence of solids in the interfacial region, it will be
demonstrated below that the definition of “abrasive wear” is similarly unsatisfactory
[17].
While some of the loosening oxide particles eventually leave the system as wear
products when they move into the contact area, in the majority of systems the oxides
do not abrade the substrate. Consequently, wear from loosening and oxide loss
shouldn’t be recognizable by abrasive wear. According to Quinn’s hypothesized
wear process, the rate at which the sliding surface warms up and oxidizes reduces
as the oxide film’s thickness rises. The film eventually reaches a crucial thickness

Fig. 1.12 Reduced relative

lifetime caused by impurities
in angular ball bearings [11]
1.2 Sliding Wear 15

Fig. 1.13 For 1050 steels in

three hardnesses, wear rate
vs load is shown [17]

and starts to tear off. Therefore, the overall development of oxides will occur more
slowly and the rate of wear will be slower the thicker the film gets (higher c) prior
to separation. Although Quinn’s equation has been studied frequently, it does not
adequately capture how an oxide appears and vanishes. His argument is based on
the spontaneous loss of oxide when it reaches a specific thickness rather than on the
function of frictional forces in oxide removal [17]. Quinn also concentrated on very
thick oxides like scale from furnaces, which differ greatly from the oxide on most
friction surfaces (Figs. 1.14 and 1.15). The topic that follows is one that tribologists
are familiar with. Without sliding, he describes how iron oxides originate in the air:
Wuestite (FexO), with an x range of 0.91–0.98, magnetite (Fe3 O4 , opaque, SG 5.20,
Tm 1594 °C), and hematite (Fe2 O3 , transparent, SG 5.25, Tm 1565 °C) are the three
stable oxides that iron can form. In contrast to an excess of O2 , FexO has an excess
of Fe and a cubic structure similar to that of NaCl.
. It is a semiconductor of type “p” (metal deficient), in which electrons can move
around with ease. Fe3 O4 appears to have mild Fe deficiency, although O2 is thought
to be in surplus. Its spine’s structure is cubic. A total of three Fe2 O3 Specifically,
beta is uncommon, gamma has a cubic structure very close to Fe3 O4 and alpha has a
(rhombohedral) hexagonal structure. An n-type semiconductor (metal abundance)
called Fe2 O3 is characterized by a predominant vacancy movement.

Fig. 1.14 Steel wear rate as

a result of heating [17]
16 1 The Wear

Fig. 1.15 Two potential

influences on oxide coating
thickness are represented
schematically as a function
of applied stress [17]

. Temperature and O2 partial pressure affect the kind of oxide that forms on iron.
O2 is first absorbed by the iron solid solution at temperatures above 570 °C,
followed by the formation of FexO, which is then covered with Fe3 O4 and then
with Fe2 O3 as the diffusion channel for Fe+ ions lengthen. Under the Fe3 O4 film,
a thin coating of FeO (TP 1369 °C) simultaneously forms below 570 °C.
. FexO and Fe3 O4 can be reduced by H2 or CO to create O2 richer oxide forms.
The rate of oxidation of iron and steel is virtually logarithmic and can reduce
Fe2 O3 to lower oxide forms and FexO to elemental iron. Iron oxides asymptot-
ically approach 25 in 50 h at room temperature. By alloying, these speeds can
be modified. By incorporating higher valence alloys than the base metal, the “n”
type oxide can be made to develop more slowly, and vice versa.
. In moist air, FeOH (green or white with SG 3.4) or even Fe2 O3 H2 O (red-brown
powder with SG (2.44–3.60) can form.

1.2.2 Dry Sliding Wear of Polymers

With the exception of PTFE (only at slow sliding speeds), plastics have almost the
same friction as metals, although their galling resistance is higher than that of soft
metals. The impact of surface roughness on wear rates is generally unclear, although
some polymers can wear metals without the use of abrasives. According to a common
understanding of polymer wear, friction surfaces go through a burn-in phase followed
by steady wear, which is frequently referred to as linear wear [18]. Most people search
for helpful wear factors in the linear region, which is sometimes misrepresented as a
material attribute. A description of the friction force, at which severe or catastrophic
wear can happen, makes up the second value. A majority The PV limit, where P is the
average contact pressure (psi) and V is the sliding speed, is a well-known description
(fpm). Every polymer has a different PV limit, which is determined via a test, most
frequently a “flush” test. This appears to be a thermal criterion based on the notion
that the energy provided to the sliding surface is equal to PV times the coefficient
of friction. The polymer surface will reach a temperature where it will either melt
or char, causing significant wear, if energy is not evacuated from the system quickly
enough. There are three solid arguments against this theory. The first justification is
1.2 Sliding Wear 17

that there is no longer any sudden appearance of molten particles in the contact area
that would cause such a sharp decrease. The second justification is that the melting
points for a collection of polymers are not listed in the same order as the specified PV
limitations. The ultimate PV, for instance, is 1800 for Teflon and 3000 for unaltered
acetyl (327 °C) at 100 feet per minute. A third factor is that when operating in the
“soft wear” mode, some polymers emit gas from the sliding area, and it is well known
that these gases develop at temperatures considerably over the melting point of the
polymer [18].
The transfer films’ composition has an impact on how they wear. Some films,
like pure PTFE and polyethylene, are smooth, thin, and invisible up to 0.5 m thick
and thus must be taken into account by interference techniques. Various polymers
generate thick, jerky, and spotted films. In multi-pass sliding, the loss of polymer
after the first pass is negligible if a polymer film forms on the metal counterface
and stays securely attached. Mysteriously, the friction is also frequently reduced. A
polymer particle is lost from the system if it slides out of the polymer mass but does
not stay connected to the metal. A transfer film is created under an intermediate wear
situation, but later film fragments are destroyed, most likely as a result of fatigue
or another process. These pieces of wear or fragments can be quite tiny: Fragments
of ultrahigh molecular weight polyethylene (UHMWPE) are exceedingly tiny in
hip prostheses and sufficient (1 m) to reach distant organs of your body [19]. The
discussion will now turn to various parts of the break-in phase, steady wear mode, and
heavy wear mode in turn because the behavior of the system is extremely different
in each of the three modes. The majority of this research is conducted in lab settings.
The actual circumstances are more illuminating, although they are typically poorly
documented [17].
In actual use, the majority of polymers are exposed to lubricants and other elements
that dissolve them and alter their surface characteristics. For instance, silicone fluids
react with silicone solids; paraffinic hydrocarbons react with rubbers and ethylene-
propylene; ethers and esters with polycarbonates, polysulfones, and rubber. There-
fore, when selecting polymeric materials for various purposes, the compatibility of
parts made of polymers with liquid during operation is a crucial consideration. The
initial stages, the rate at which the transfer film forms during sliding is influenced by
the type of soiling or dirt on the sliding surfaces as well as how the surface finish is
oriented in relation to the direction of sliding. Because wear products fill the surface
grooves, the surface finish has little to no impact on the steady-state wear rate [19].
Several polymers are applied to carbon steel with a surface roughness of Rq = 0.1–
3 m, some parallel to the sliding direction and some perpendicular, to investigate
the impact of surface roughness on wear during the early stages of sliding. The
information is in Fig. 1.16 and relates to nylon 6–6 moving at a speed of 0.4 m/s.
The nonlinear nature of alternatively, break-in time can be maintained with parallel
sliding for twice as long as with perpendicular sliding, and weight reduction after
burn-in can vary by a factor of four or more. The polymer film is applied to the metal
during the burn-in stage. For all tests conducted at the same speed and stress on
various surfaces, the equilibrium film thickness is roughly the same. The cleanliness
of the surface is the second component that affects the creation of a transfer film.
18 1 The Wear

Fig. 1.16 Polymer pins slide on flat during wear [22]

Three states of metal surfaces are used in the tests: laboratory grade (absorbed water
film), a thin coating of inert hydrocarbon, and (vacuum pump) as well as engine oil.
Every time, transfer films start to build and may eventually become continuous. The
formation of the transfer film happens more quickly the higher the countersurface
temperature. The rate of polymer loss is considerable during the development of the
transfer film, but after film formation, the rate of wear is much reduced, occasionally
less than 1% of the beginning rate. Therefore, it is not recommended to merely base
a prediction of a bearing’s overall wear rate over time on a steady-state wear rate. A
polymer bearing’s break-in period may cause significantly more wear than what is
anticipated from steady-state wear data in short-term use [20].
Aside from that temperature variations, changes in fouling, changes in speed, start-
stop or back-and-forth cycles, and other factors make it difficult to forecast wear rates.
The validity of the temperature requirement for the start of intensive wear is investi-
gated. 440 C stainless steel and a number of polymer posts (PE, POM, Nylon 6–6, and
Delrin AF) are vacuum-rubbed against one another. A vacuum chamber contained a
magnetic sector gas analyzer and a thermocouple embedded in steel. The latter gave
data on the ratio of the gases (atomic units of mass/electron charge) released by the
sliding border. Small bits of polymer are heated at different temperatures to calibrate
the latter, and profiles of the evolved gases are acquired. Observing the same profiles
in slip studies, the interface’s surface temperature is known. The thermocouple and
the gas analyzer recorded different temperatures. Following these experiments, it is
discovered that no wear is apparent until the transfer layer is completely dissolved,
despite the temperature of the sliding surface being far greater than the melting point
of the crystals and the softening point of the polymer.
It is eliminated when the temperature of the steel surface rises by more than 50
C above the softening point of the tested polymer [14]. There is a lot of damage
at this time. The following series of events take place as the transition to intensive
wear happens. The transfer film is flat while sliding under low-wear circumstances.
A lubricating film is provided (or turns into) behind the slider and is passed over
by the slider in subsequent runs. If the polymer film has a low viscosity due to
the high temperature of the transfer film and does not wet the metal surface. The
polymer congeals into spheres, which the following slider that passes by removes. In
1.2 Sliding Wear 19

Fig. 1.17 Wear rate for two

different surface types [22]

Fig. 1.15, this sequence is depicted. As a result, the lubricating coating on the sliders
is lost, and instead, a portion of the material is exchanged for a fresh film, which once
again easily peels off. The wear rate, which differs by more than 2000 times between
tenacious and ephemeral transfer film, is the key distinction. The temperature, the
thermal characteristics (mass, thermal diffusivity, etc.) of the contact surface, and
the area of contact between the sliding parts should all be pertinent factors during
this process. Wear rates, which can be plotted as illustrated in Fig. 1.16, are a way of
expressing the overall impact of these transport and material loss mechanisms. The
rate of wear rises uses the sliding intensity, which is a mixture of PV, and additional
variables [21]. This rate of wear is most likely caused by a combination of the transfer
film’s insufficient adhesion to the substrate and its removal owing to wear and other
sorts of failure.
The transfer film does not fatigue soon under vigorous sliding and wear is minimal
if the surfaces are clean and the fastening strength is good. No matter how tightly or
loosely the transfer film is mounted, and at high stiffness, it aggregates and is lost
as wear residue. Plastic-to-metal wear Fe and Cr are discovered to be linked when
sliding some tougher plastics on 440 °C stainless steel that had been hardened to 50
Rc at all speeds and weights at the conclusion of the soft wear test to the polymer
(Fig. 1.17).
These findings demonstrate, firstly, that polymer sliding does not cause sequential
and simple shear to result in the formation of the lamellar transfer film. At least in
the early stages of the transfer film’s life, there is rather significant turbulence or
heaving polymer [23]. A second sign of metal wear is the transfer of Fe and Cr
into the polymer. This is verified by sliding for 50 h, after which the sliding track’s
profilometry could be used to gauge the degree of wear. Several polymers have been
created without the use of vanadium as a catalyst in the polymer manufacturing
procedures to guarantee that the polymers are devoid of abrasives. Vanadium oxide
that is stiff is not present in the polymer. The metal is also corroded by these polymers
[24]. Steel alloy 440C with a hardness of 50 Rc (TS = 1.25 GPa) is not damaged by
soft polymers. The list of polymers utilized in these studies is provided below for a
pin with a diameter of and a sliding speed of 1.47 m/s of 13 mm: Although rubber is a
polymer, its molecules are crosslinked, unlike those of plastics. As a result, molecular
movement or flow is severely constrained. As a result of the new substance’s ability
to erase pencil lines in his hands, the English chemist Joseph Priestley gave rubber
20 1 The Wear

its English name in 1770. (In other languages, rubber is referred to as an elastomer.)
Each year, enough rubber is created to provide a 19 mm layer of protection for the
entire city of Ann Arbor, Michigan (or the area covered by London’s Circle metro
line). About 1010 kg, to be precise, this output is made up of around eight different
types of synthetic rubber for the remaining 60%. Approximately 20% of this rubber
volume is worn out, and another 43% is discarded owing to wear volume generally
in tires. Rupture and fatigue are the two ways rubber ages (Table 1.1).
Because failure occurs during one-fourth of the fatigue cycle, rupture and failure
are not very dissimilar mechanisms. According to the rubber’s strength, both types of
failure typically result from intense local friction on the opposing surface (rough or
smooth). Although the reported friction is modest, it is stated that the friction is local
(measured on the roughness scale) and not macroscopically large (or at least not high).
The rate of wear rises by orders of magnitude for particular varieties of rubber. For
instance, 10 when rises from 1.0 to 1.2. Abrasion is the term describing the majority
of causes of rubber wear and tear, while the inverse is also true [25]. The surface might
not seem rough. Wear seems to be caused by the elimination of chemically unchanged
molecular chains rather than the progressive removal of chemically altered surface
material. The size range for wear fragments is fractions of a micron to mm; the former
generates surfaces that appear matte, while the latter gives surfaces that appear shiny
[25]. The rupture mechanism is clearly discernible right away and happens when
sliding over rough surfaces, especially if the surfaces are made of sandpaper or sharp
stones (for tires). This observation that the ranking of various rubbers when tested
on abrasive surfaces is the same as when evaluating rubber in tension lends credence
to the notion. Even the sensitivity to both temperature and speed is identical. When
rubber slides over a surface, the fatigue mechanism happens. Surface with waves but
no protrusions. The link between the slip distance (number of deformation cycles
as a result of impacts) before surface failure and the number of deformation cycles
before tensile failure lends support to this mechanism. The parabolic relationship
between applied stress and fatigue life in both experiments serves as confirmation of
this. The fact that oxygen in the air increases wear rate while an antioxidant in rubber
decreases wear rate further supports this relationship. In the rubber wear literature,
the phrase “patterned abrasion” is frequently employed. This phrase describes the
appearance of worn surfaces. Specifically, the rubber splits at regular intervals during
fatigue wear, with the fracture continuing downward at an angle of roughly 15° from

Table 1.1 Rupture and fatigue are the two ways rubber ages [17]
Polymer Shear strength µ
Nylon 6–6 70.5 MPa 0.66 These wear
Delrin (POM) 65.5 MPa (9500 psi) 0.65 Steel away
HDPE 63.4 MPa (9200 psi)
Delrin AF (POM + PTFE) 55.2 MPa (composite) 0.20 These do not
Nylon 11 41.4 MPa 0.50 Wear the steel
UHMWPE 24.1 MPa 0.55
1.2 Sliding Wear 21

the surface and the motion of sliding. A transverse fracture, which also occurs at
fairly regular intervals, connects these fracture planes [26, 27].
In dry sliding, the majority of the pattern markings are parallel to the sliding direc-
tion, but when abrasives are present, particularly in lubricated sliding, there may also
be some marks in the sliding direction. In addition, UHMWPE polymeric materials
used in orthopedic implants frequently exhibit similar patterns and anisotropic wear
behavior. Tire rubber is one example of rubber that has been filled with carbon black
to make it significantly stronger and lower friction than unfilled rubber. The activa-
tion energy required to move dislocations is so high compared to metals that it far
exceeds the tensile strength. Since the crystal structures of ceramics have a lower
symmetry than the structures of metals, even an increase in temperature, which brings
the material closer to melting, does not lead to the activation of more than two or
three dislocation glide systems.
As a result, the plastic’s deformability remains low, meaning that its extreme hard-
ness and brittleness are maintained at high temperatures. When discussing stress–
strain relationships, an immediate catastrophic fracture terminates the linear elastic
range of the stress–strain curve, releasing all of the stored elastic strain energy
(Fig. 1.18). The deformation field that the rubber experiences is variable. In contrast,
rubber blocks that glide across their full surface at once are frequently used in research
on rubber wear. The sliding block’s rubber is constantly under macroscopic tension
[28].

Fig. 1.18 Influence of metals and ceramics’ stress–strain [22]

22 1 The Wear

1.3 Damage When Wear in Metal

. When applying sliding metal, harm can appear in a variety of ways, including
a layer of fabric that is chemically different from the majority of the pattern
is frequently formed on the surface for wearing; microstructural changes in the
tissue beneath the applied surface associated with each mechanical deformation;
and thermal records associated with friction dissipation.
. Solids (commonly referred to as deposits) separate from touch; optical
microscopy, SEM, and TEM are frequently used to analyze subsurface microstruc-
tures, worn surfaces, and particles.
. A variety of analytical methods, including nanoindentation. Additional compo-
sition and structure statistics can be obtained using X-ray diffractometry, elec-
tron backscattering diffraction (EBSD) in a scanning electron microscope, X-
ray microanalysis with power and wavelength dispersion, and electron Auger
spectroscopy.

Although it is not practical to precisely discriminate between potential mecha-

nisms that may also work in a particular situation, a vital inspection of each worn
surface and applied residue can provide important records of worn mechanisms. It
can be difficult to see a noticeable change after application because worn surfaces
are expected to have particles throughout their lifespan. Similar to this, it’s crucial
to consider if the particles that gathered during the test remain in the same location
as when they first rose from the surface or if their appearance (and possibly even
character) has altered as a result. Examples of workable modifications include the
rolling and deformation of particles between sliding surfaces and the oxidation of
steel particles upon separation [26–28].

1.4 Microstructural Changes Under the Wear Surface

What is sometimes referred to as the tribologically changed block frequently exhibits

considerable microstructure changes underneath surface layers. Strong deformation
can sometimes be contained to a very shallow depth, whereas in other circumstances
it might happen at a large distance from the surface. Figure 1.19 uses widely accepted
nomenclature that is created with the assistance of countless researchers to suggest
schematically unusual areas of microstructure change. The primary tissue is still
intact in zone 1. The material in the second zone has undergone plastic deforma-
tion, and as it approaches the surface, plastic shear deformation will become more
pronounced. Grain reorientation and crumbling can be seen closer to the boundary
between zones 2 and 3. Because of the alignment of movable dislocation walls and
subgrain boundaries parallel to the sliding surface, the tissue in the upper portion of
region two frequently exhibits a plate-like appearance. The microstructure is similar
to that of metals that go through enormous plastic shear deformations using different
techniques, like torsion testing [15, 28].
1.5 Nature of Surface Layers 23

Fig. 1.19 Schematic plan

showing TTZ regions
(adapted from Rice [22])

Pre-deposited particles may form with large deformations due to the propensity
for localized shear and fracture brought on by this concentrated deformation. If the
mold is no longer annealed, subsurface deformations typically occur very close to
the surface and eventually lead to significant stress hardening, which is facilitated by
an increase in temperature as a result of the loss of frictional strength. If annealing
takes place, the microstructure typically recrystallizes as a result.

1.5 Nature of Surface Layers

There are two different types of surface layers on bodies that are prone to sliding
wear (zone 3). In the first type, metal oxides make up the majority of the material in
zone 3, and both members of the pair typically contribute to these oxides (sample and
counterbody). The wear surface’s very smooth wear layer can be made up of weakly
agglomerated particles or it can create a dense coherent layer that is sometimes
referred to as a glaze. The second type of material in zone 3 is different from the
first in that it is primarily metallic in nature. Typically, it is very fine-grained (with
submicron grains, sometimes up to 10 nm in size), contains small amounts of metal,
and is composed of are depicted in Fig. 1.19.
Components like metal are transported from the surface and oxides that are
missing from the original bulk material. This mixed composition material resem-
bles the material produced by the mechanical alloying process greatly because it has
closely mingled oxide and surface material particles.
24 1 The Wear

1.6 Solid Surfaces

Surfaces are extremely challenging to accurately depict in tribological models. Our

research resources are too little, our tools are too rudimentary, and our math is too
basic to be accurately classified. Our understanding of surfaces is still woefully
poor, notwithstanding recent advancements. Individual contact points with diame-
ters ranging from 0.1 to 30 microns experience surface friction (depending on the
irregularities formed during the sliding) [22]. Contact points develop as a result of
irregularities’ deformation (penetration or crushing), deformation, and erosion and
are plastic or bendable. On the wave crests, imperfections’ points of contact are
concentrated but dispersed throughout the surface. In Fig. 1.19, these waves (light
patches) are evidently present and clearly cylindrical waves. Broken adhesive bridges
that result from instantaneous contact are depicted. Two rubber surfaces are made.
When two bodies move relative to one another, the adhesive “bridges” that are previ-
ously present are destroyed, and the tangential forces operating in the vicinity of the
contact sites cause the formerly symmetrical deformation artwork to be warped. The
outcomes of the interactions between them depict an indenter with an elastic surface
replicating the individual roughness. Before the indenter, the material is squeezed,
and it expands behind it. Due to the recurrent action of the elastic material, the
compressive and tensile stresses will recur. The effects of using a hard indenter in
the production of plastics are depicted in Fig. 1.19 distortion of a single zinc crystal.
Friction forces may be observed to have caused damage along the margins of the
scratch. If stresses are greater than the tensile strength stress as penetration depth
increases, bumps will cut through the material or pile it up in front of them, or a
fracture will happen [16]. At the point of interaction, high temperatures and high
pressures. The processes of “heat treatment” occur in tiny elements and create large
thermal stresses, which significantly alter the surface layer’s properties. Additionally,
oxidation, the synthesis of different chemical compounds, and mutual diffusion all
occur quickly. A “third phase” is created when gases and liquids interact with solid
surfaces while sliding, significantly altering the molecular component. The study of
friction and wear can be viewed as a new section in the study of solids’ strength,
or more specifically, the rupture of solid bodies’ surface layers. Reminder and his
school’s studies from the past ten years have demonstrated that it is important to
consider the interaction between solids and the environment, which can significantly
alter the properties of surfaces while thinking about these processes. As this field is
still in its infancy, there are currently just a few general notions that can be used to
evaluate these intricate processes. It is projected that the science of the contact inter-
action between solids, and the environment will continue to advance [15]. The two
primary mechanisms for surface friction, namely contact points formed by mutual
penetration (or flattening) and high local pressure, result in the lapping of imperfec-
tions and the building of “welding bridges” on them. Because the total area of the
contact points is so small, these pressures are always sufficient despite the low overall
load on the sliding pair. Due to the irregularities’ varying levels and rising load, they
engage in series contact. In this instance, rather than their size, the increase in the true
1.6 Solid Surfaces 25

contact area is mostly caused by an increase in the number of contact points [22].
The average size of the contact points is a topic of discussion. Based on calculations
using the elastic contact equations and various machine running-in components. The
surface’s microgeometric properties. The provided data demonstrate that the real
pressure is very high for surfaces that have not been run-in, particularly for rough
surfaces. These pressures tend to pressures correspond to elastic contact and decrease
after running-in due to the increased radius curvature of irregularities.

1.6.1 Surface Marking Technology

There are many different ways to generate component surfaces, and each method
produces a unique combination of residual stress, subsurface damage, and roughness.
There will be several procedure descriptions. Cutting: Using a hard tool on metals
that are typically softer than 40 Rc on lathes, milling machines, and drills is one of
the most popular surface finishing methods. (Extremely hard tools, such as cubic
boron nitride, can be used to cut 60 Rc steels.)A tool that moves (typically) from
right to left as the horizontal bar rotates is used to remove material from a lathe.
Depending on the tool’s speed and shape, the finished surface resembles a very fine
thread in some ways. In certain circumstances, the A bar’s surface can be accurately
described by its roughness as measured along its length, i.e., across threads or feed
marks [16]. The cutting direction’s roughness, however, is more significant for many
applications. The mechanics of cutting are typically pictured as involving a razor-
sharp tool blade. The difficulty in obtaining exceedingly sharp tips for use in scanning
tunneling microscopes or field ion microscopes is proof that such instruments are
difficult to make. Instead, it is better to think of the “edges” of practical instruments as
rounded, with radius R falling between 2 and 40 nm. These dimensions correspond to
3000–60,000 atoms. The simplest way to visualize the cutting motion of traditional
tools is to watch them cut a somewhat brittle metal, such as molybdenum A picture
of the cutting procedure. The tool presses down on the material in front of it as it
gets closer to the workpiece being removed [22]. A crack in a brittle material starts
at the point where the material first reaches its strength and spreads along the “a”
path. When crack “a” has enough tensile stress to advance further, the tool can move
farther by creating a changing stress field in the material in front of it. As the tool
continues to rotate, the chip bends and generates tensile stress, which causes a crack
“b” to start and spread downward. Additionally, this crack comes to an end in the
region of decreasing stresses. The stress field shifts in a manner that a further crack,
“c,” starts and spreads as seen in Fig. 1.20.
Depicts a stationary tool with an evolving crack pattern. The surface shape that the
crack sequences left behind is visible behind the cracks, and the tool’s heel has further
altered it. This statement assumes that cutting is a sporadic activity. The machine’s
sound and vibrations can be used to verify this on freshly formed metal, and tool
heel slip is a particularly severe type of slide that produces extremely high friction.
The tool evens out the surface by pushing up-high portions downward, which causes
26 1 The Wear

Fig. 1.20 An illustration of the cutting process for fragile materials [22]

troughs to rise as a result of plastic flow. It removes the high portions so that the metal
tongues cover and fold over the lower portions. As a result, the surface area is severely
distorted and extremely corrosive. This significant deformation extends 5–10 R to the
surface. Although the surface is rough, folds and overlaps are rather simple to undo
during successive sliding. This is just one of the causes why surfaces need to be lapped
before use and why new surfaces wear out more quickly the first time assumes plastic
behavior below the tool heel while initially using brittle material attributes to describe
how cracks spread in front of the tool. Due to the fact that the material beneath the
tool contains significant compressive stress components, the latter is advantageous
for brittle materials. Instead of breaking down as illustrated in Fig. 1.20 at first, the
plastic material first displays a meandering shear pattern, which is then followed by
a more refined pattern of ductile fracture planes. The ensuing surface topography
will be determined by grain sizes and phase regions since fracture will probably
follow the interfaces between the two phases [16]. The same effect is produced by
bluing with the instrument’s heel as mentioned earlier. The surface layer hardens as
a result of the vigorous smoothing. Hardness measurements can be used to calculate
deformations of 3 (and up to 10). (The value = 2 can be produced by stretching the
tensile specimen’s millimeter length to 7.4 mm; = 10 can be obtained by stretching
it up to 22 mm.) Rolling: You can process sheets, plates, bars, and other items either
hot or cold. Rolling hot hen metals are processed at temperatures considerably above
the temperature of recrystallization, the surface typically becomes coated with oxide
and develops pitting where the oxides are pushed into the metal and then peeled off.
After acid pickling of thick oxide coatings, cold rolling is typically done. The surface
becomes smoother as a result. There is a little movement between the rollers and the
sheet can cause the surface to be rough; however, lubrication can lessen this effect
[29].
Extrusion and stretching can both be done in a hot or cold environment. Oxides
have the same impact as in rolling, despite the fact that blanks for extrusion and
drawing are frequently heated in an environment that does not oxidize to lessen their
impact. In either scenario, if wrought metal, polymer, and green ceramic materials
are slid over hard dies (often steel), the resulting surfaces will be extremely rough.
The surface of the workpiece is typically subjected to greater shear strain than the
substrate during most cold-forming techniques. The surface becomes harder as a
1.6 Solid Surfaces 27

result, but more crucially, the surface’s tensile set surface develops compressive
residual stresses and tensile forces at a deeper base. Electric spark erosion: This
method (used primarily with metals) melts a small portion of the some of the molten
metal and is washed off the surface. If the electrode is moving, the size and spacing of
the “sparks” will determine how rough the surface is in the end. The metal undergoes
a cycle of heating and cooling just below the melt area, leaving this region with
residual tensile stress abrasive processes like grinding. The physics of cutting with a
hard instrument and removing material by abrasive processes are identical [23–26].
The magnitude of the damage and plastic processing are where the primary differ-
ences reside. Grinding wheels, honing tools, and sandpaper all use fine, primarily
rounded abrasive particles (grit) to create grooves on surfaces. Very little is sliced
(removed) by abrasive particles. Abrasive operations need 5–10 times more energy
to remove a unit of material than operations employing a hard tool, indicating that
they strongly plastically deform the surface. Surfaces from abrasive procedures have
residual tensions and are moderately rough and hard-worked. While severe grinding
might produce tensile residual stresses, cold processes produce compressive residual
tensions. Every surface treatment procedure leaves behind flaws that are ready to
come off at the start of the use of the hybrid production method. Hybrid manufac-
turing techniques have been developed recently to increase production effectiveness.
To achieve significant increases in process throughput, these include the simulta-
neous control of process mechanisms and/or the interaction of energy sources/tools.
Two-laser turning is one type of hybrid surface procedure that softens the surface
with a laser beam. It is simpler to mill particularly challenging materials, like high
alloy steels and structural ceramics, because the material to be machined is ahead of
the cutting tool [30].
Another illustration is the mesh hardening procedure, which combines the hard-
ening effects of the heat generated by the grinding process with the removal of mate-
rial during grinding. Hybrid manufacturing processes are constantly being developed.
The introduction of new materials in a variety of demanding applications, improved
manufacturing efficiency, and cost and energy savings are the driving forces behind
this progress. Plastic materials are highly plastically deformed throughout the demo-
lition, cutting, grinding, and polishing processes. Numerous deep fissures may also
be created in the solid body [31]. Deformation during cutting and grinding happens
as a result of abrasive particles and tool-cutting edges are not absolutely sharp but
rather rounded. Compressive stresses are generated by localized plastic flow. Tensile
strains may be produced by localized heating and cooling, such as during grinding.
The severity of these stresses under the various grinding parameters is indicated
in Table 1.2. When polished for metallographic examination, the level of surface
distortion is obvious.
A layer of severely deformed metal obscures the crystallographic structure of
the metal. George investigated the composition of polished surfaces by using X-ray
diffraction and found that polished surfaces lack any evidence of crystal structure.
In light of his hypothesis that this layer might be amorphous, it is dubbed the layer.
Recent research has demonstrated that this layer is not at all amorphous and is
made up of very small crystallites, likely with embedded polishing compounds and
28 1 The Wear

Table 1.2 Operations for

Grinding conditions Gentle Conventional Abusive
grinding 4130 Steel [22]
Wheel type A46HY A46KY A46MY
Wheel speed m/s 10.2 30.5 30.5
Downfeed, mm/pass < 0.03 0.03 Soluble oil 0.05
Grinding fluid Sulfurized oil Dry

Fig. 1.21 shows the residual stresses on 4130 steel following various grinding procedures [22].

reaction products. Its thickness depends on the method used to create it. Grada-
tions of less distorted material can be seen beneath the severely deformed section.
Figure 1.21 illustrates these deformational states. Another phenomenon, termed
oxidation and adsorption, takes place above a hard surface. The height of minor
flaws or abnormalities on surfaces serves as a measure of surface roughness.
The practical roughness range for commercial surfaces is clear that all of the
above-mentioned roughnesses are substantial in comparison with units of nm (the
atoms are located at a distance of about 0.3 nm). Atomic models become useless in
the presence of such significant jagged edges. We shall, however, work mostly with
surfaces that touch each other because they typically have a relatively rough surface
[32].
The functional properties of the surface are the main consideration for the compo-
nent or product designer, regardless of the production process. The idea of surface
integrity is one way to link the condition and attributes of manufactured surfaces to
their functional features [33]. Poor performance is indicated by low surface integrity.
The overall impact of multiple modifications made to the surface and near-surface
regions throughout the manufacturing process can be calculated using the concept of
surface integrity. Hardness, residual stresses, metallurgical (such as grain refining,
phase transition), chemical (such as oxidation), topographic, and other changes are
examples of mechanical changes. A proper characterization of these surface and
subsurface changes in the material is necessary for the evaluation of surface integrity.
1.6 Solid Surfaces 29

Measurements of the chemical composition, surface roughness, phase components,

residual stress profile, hardness, and methodologies used to evaluate the surface
integrity of different manufacturing processes. Fatigue, friction, wear, and corro-
sion are functional traits that mechanical engineering components are interested
in. If necessary, there are workable ways to enhance surface integrity for a certain
functional feature. For instance, the residual stress profile can be changed by shot
peening to enhance fatigue performance. The surfaces are very intricate. We can infer
the thickness of the different layers on an instrumented surface that has been in the
environment for a day or two from a variety of sources. (At a pressure of 80 × 10–5
or 0.1 Pa, iron oxide becomes 25 times thicker in 10 min.
This shows that oxides are growing quickly. In contrast, Fig. 1.22 depicts the
oxide’s thickness in the range of 3–15 nm, which can take several hours to several
days. Highly stressed hard layers can be up to ten times thinner after fine polishing
than the layers in Fig. 1.22 when they are ground [34].
Problems
1. Describe why the abrasive rate of brittle brittle materials by hard angle particles
is expected to be much higher than the wear rate of ductile materials.
2. List a few surfaces and interfaces that are tribologically important to the human
body. Provide possible outcomes in the event of a tribofailure at these locations,
such as wear damage or lubrication failure?

Fig. 1.22 Sketch of the state of surfaces cut with hard tools in air [22]
30 1 The Wear

3. If the pin is to move periodically along a circular track rather than a spiral track,
and if the abrasive particles are garnet rather than silicon carbide, how might the
relative wear rates of these two materials differ?
4. Why does pressing two metal bodies together in a terrestrial environment not
result in significant adhesion?
5. What causes the transfer of an adhesive film when two contacting bodies have
different mechanical strengths?

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Chapter 2
Wear Mechanisms/Models

2.1 Introduction

The surfaces are continuously damaged by wear. Friction always leads to wear.
According to statistics, wear, fatigue, and corrosion are the three main causes of
mechanical part failure. Wear is the main cause among them, impacting 60–80%.
Studying wear mechanisms and ways to increase wear resistance are required. Effec-
tively lower maintenance costs, raise output and equipment longevity and conserve
resources and energy [1]. This is quite significant. As science and technology advance
quickly, we discover new ways to reduce equipment wear. Equipment became crucial,
particularly in high-speed, heavy-duty, precise, and unique applications. The inves-
tigation of wear has become important in work settings. The research of wear mech-
anisms has been made easier since the 1960s due to advances in materials science,
surface physics, chemistry, and surface testing equipment [2]. Establishing patterns,
contributing factors, and wear characteristics are the goals of studying wear through
understanding phenomena, wear can be reduced and wear resistance improved. The
primary objectives of wear studies typically involve the following:
. a model for physical wear and a wear calculation,
. ways to strengthen wear resistance, and
. utilize test equipment analysis by experimentation,
. circumstances, characteristics, and changes in the patterns of wear,
. variables affect wear such as lubrication conditions, surface tomograms, materials
of friction pairs, sliding speed, load, temperature, and other operational state
parameters.
Wear is damage to a rigid surface that is typically accompanied by the slow loss
of tissue as a result of the surface’s relative movement with the contacting material or
tissue, which is defined as the eventual loss of hard surfaces through the transfer of
contact. Despite the significance of wearing in terms of technology, it is challenging

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2024 33
R. A. Al-Samarai and Y. Al-Douri, Friction and Wear in Metals, Materials Horizons:
From Nature to Nanomaterials, https://doi.org/10.1007/978-981-97-1168-0_2
34 2 Wear Mechanisms/Models

to develop a straightforward and adaptable tool to depict due to the numerous physical
systems that make wearing possible [3].
The coefficients of friction and wearing are now tribosystem responses rather
than being characteristics of the cloth. If the essential components of the tribosystem
are clearly stated, they are always connected. The following factors can be used to
compare friction and overlap impact on the surface’s trilayers, switching processes,
oxide coatings, plasticity, hardness, and roughness. In dry conditions, one or more
of the following strategies should be used for metals that glide on metals: Increased
oxide layer thickness, moisture adsorption and surface covering destruction, plastic
deformation, and changes in the microstructure of surface coverings, glue switch
and switch for switching the web between analogs, detachment, agglomeration,
compaction and mechanical grinding of precipitated particles, exchange of sex
morphology, and rudeness in contact are a few examples of these phenomena [4].
Temporarily dividing wear mechanisms into mechanical, chemical, and thermal wear
and further dividing their operating modes into seven subclasses. Many of them still
lack attractive clothing and posture equations for accurate forecasts, but some of
them wore fashionable and mathematical expressions for a positive rate. The present
understanding of mechanisms and patterns is covered in this chapter.

2.1.1 Plasticity Wear

Numerous diverse metal mechanisms with a focus on plasticity have been hypothe-
sized; nevertheless, they vary in the unique tissue removal techniques they employ.
Early superimposed slip theories proposed that tissue is removed from roughness
peaks in the form of lumps or pieces by adhesion processes, and it is true that some
particles have irregular shapes in block sizes conducive to such processes [2]. The
production of superimposed particles can be caused by a number of causes, including
contact abnormalities. Figure 2.1 shows sliding wear. It is clear from both images
that in addition to mechanical interaction, chemical interactions play a role in wear
behavior. The precise wear mechanisms are covered in the paragraphs that follow.
A process that solely depends on the mechanical contact between two irregularities
no longer requires adhesive forces to remove tissue, but they are still necessary to
account for any subsequent particle adherence to one of the sliding surfaces. Another
set of wears indicates that the rupture of the protrusions caused the formation of a
fragment of particles, which is now accompanied by the transfer of its adhesive to the
counterbody and the development of a new unevenness on this surface. Unnecessary
fragments appear as the sliding continues [5].
A process that solely depends on the mechanical contact between two irregularities
no longer requires adhesive forces to remove tissue, but they are still necessary to
account for any subsequent particle adherence to one of the sliding surfaces. Another
set of wears indicates that the rupture of the protrusions caused the formation of a
fragment of particles that is now accompanied by the transfer of its adhesive to the
2.2 Wear Mechanisms 35

Fig. 2.1 According to Zuma Gara, sliding wear affects the surface. Materials: chipping and removal
of adhesive bridges (a–b); the formation of cracks as a result of delamination (slip and shift of grain
boundaries); d development of cracks as a result of the opening of grain boundaries [6]

counterbody and the development of a new unevenness on this surface unnecessary

fragments appear as the sliding continues [6].

2.2 Wear Mechanisms

Mechanical, chemical, and thermal wear are the three broad categories that make up
the seven subclasses of wear mechanisms. Many of them still lack adequate wear
models and wear equations for accurate predictions, while some of them do have wear
models and mathematical expressions for the wear rate. The understanding of wear
mechanisms and patterns as it stands today is reviewed in this chapter. A repeating
contact operation with a fixed load and speed alters the wear rate. In the early non-
stationary stage, it is typically high, while in the later stable state, it is substantially
lower [5]. When the rate of wear changes as a result of wear from recurrent contact,
the words initial wear and steady wear are used to characterize the variations. Models
for predicting “abrasive,” “fluid,” and “fatigue,” and an explanation of “corrosive”
wear rates are provided. The function of wearable maps is also covered. When metals
move at low speed, plastic deformation predominates [7]. The stresses produced by
the forces of adhesion, loading, and friction must always be greater than the yield
strength of one or more of the sliding materials in order for plastic deformation to
occur. Surface damage caused by plastic deformation can take many different forms:
36 2 Wear Mechanisms/Models

. Adhesion: The deposited particles are pushed away from the ends of projections
by adhesion forces and plastic flow combined.
. Layering: A lamellar structure is deposited on the particles as a result of the plastic
float initiating and enforcing subsurface cracks that spread parallel to the surface
and eventually to the free surface craquelures. Tensile contact in the contact zone
produces high tensile stresses that cause surface breakage and fissures in brittle
materials.
. Fatigue: The continual sliding or rolling contact results in cyclic stress variations
that cause fatigue failure in the subsurface area.
. Nanostructuring and mechanical milling. Typically, a mixed layer forms and the
worn product’s composition combine elements from the two sliding surfaces.
Plastics that do not lubricate can have surface grains and applied particles as
small as nanometers.
The wear that is primarily controlled by the processes of deformation and frac-
turing is referred to as mechanical wear. The overall wear of ductile materials is
significantly influenced by the deformation process, where the fracture process plays
a significant part in how quickly brittle materials wear out [8]. Chemical wear is
defined as wear that is primarily controlled by the pace at which a chemical reaction
film grows. Friction mechanically accelerates the film’s growing rate. Thus, “tribo-
chemical wear” refers to wear caused by chemicals. Thermal wear is defined as wear
that is primarily driven by localized surface melting brought on by frictional heating.
Since diffuse wear only becomes apparent at high temperatures, it is often referred to
as “thermal wear”. Thermal wear may also involve the brittle material wear brought
on by fractures after thermal shocks. To characterize wear briefly, these three defini-
tions are required; nonetheless, they fall short of introducing wear models for wear
rate forecasts [9].

2.3 Wear Modes

The movement might consist of sliding or rolling as well as unidirectional or recip-

rocating action. Low-amplitude oscillatory movements may be the source of mixed
rolling, slippage, or wearing. Metal can interact with substances that are not metals
or liquids like lubricating oil or seawater. The following clothing categories are
categorized based on the sort of movement or media used when interacting under
stress [6]. The mechanical and chemical interactions between two friction surfaces
can be distinguished. Elastic deformation, plastic deformation, and plowing are all
examples of mechanical activity. A also that can also be brought about by the direct
interaction of the roughness of two surfaces or an outside particle, which causes
three-part friction and wear. Attraction and stickiness are two types of effects that
can be caused by actions on surface molecules; the former’s power is lower than
the latter. The interactions between several elements involved in friction and wear
are complicated. Mechanical, structural, and physico-chemical qualities will surface
2.3 Wear Modes 37

Fig. 2.2 Primary wear

mechanisms and impacts [6]

differently as they interact [10]. Fundamental interactions, mechanisms, and effects

observed in wear pairs are presented in general terms in Fig. 2.2. Visualization for
the case of material removal by the formation of adhesive bridges between the tool
and material is processed, the formation of cracks by delamination, and the opening
of grain boundaries:
. Abrasion: The friction surface is affected by plowing, which causes abrasive
particles and directional grooves to form.
. Pitting: Because of frequent exposure to contact voltages, fatigue damage to the
metal’s surface results in pits.
. Flaking: Some materials can flake because of work hardening under load, which
makes the metal’s surface brittle and prone to microcracks.
. Scuffs: The surface produces bonding sites with high adhesion as a result of the
adhesive action, and the shear fractures the points, generating severe wear at a
specific depth.
. Microwear: Under a microscope, all of the aforementioned types of damage are
visible.
Changes in working conditions are another way that wear can be shown. Wear
transformation with a change in sliding speed is at a fixed load. Wear develops in
the oxide film of the surface at low sliding speeds. This wear is caused by oxidation,
38 2 Wear Mechanisms/Models

and the wear resistance is low. The size of wear particles grows as the sliding speed
does, giving the surface a metallic shine and making it rougher. Wear resistance has
also increased as the wear has evolved into sticky wear. The surface oxide film will
regenerate as the sliding speed is increased because the temperature rises. As a result,
the wear becomes new oxidation wear, and wear resistance drops. The sliding speed
keeps going up, increases, wears out again, turns into adhesive wear, and eventually
fails. The experimental findings that indicate the sliding speed is fixed as the weight
varies. When the load is low, oxidative wear occurs and the major wear byproduct
is Fe2 O3 . Wear products include a combination of FeO, Fe2 O3 , and Fe3 O4 when
the load approaches W0. Wear transforms into harmful adhesive wear if the load
surpasses. According to the study, the classification of wear mechanisms is often
seen to be more accurate and typically comes in four primary categories; abrasive
wear, sticky wear, surface fatigue wear, and corrosive wear. Despite its flaws, the
classification captures the general types of wear [3, 6, 11, 12].
Abrasive wear, for instance, is the result of friction between surfaces and liquid-
containing solid particles.
Abrasion can be categorized as corrosive wear since it mostly results from oxida-
tion of the contact surface. Keep in mind that actual wear phenomena typically take
on a variety of forms [2]. One type of wear may be followed by another appearing.
When two wear pairs, such as a tool material and a work material, are not in thermody-
namic equilibrium, particularly at higher temperatures, tribochemical reactions can
take place. In the contact zone, an entirely new reaction product is created (Fig. 2.3).

Fig. 2.3 Possible causes of adhesion (after Zum Gahr) [6]

2.3 Wear Modes 39

2.3.1 Adhesive Wear

The adhesive joints of the friction pairs are moved with relative sliding of surfaces,
and materials are chopped off with the creation of wear particles. Adhesive wear
refers to this material transfer from one surface to another. The degree of bonding
point tensile strength and the site of the damage determine adhesive wear categorized
as heavy wear and light wear.
Although there can be variations in wear patterns, wear rates, and friction coeffi-
cients, material migration is a frequent occurrence, and scratches always follow the
direction of sliding [6]. In this situation, the relative motion may be unidirectional or
reciprocating sliding or interaction may take place at a low vibrational contact ampli-
tude when a load is applied. When docking surface canopies crash to the ground,
they overlap at the bottom in a tangential thrust, which may cause tissue loss due to
stable particles. This is thought to make them float plastically and generate strong
joints that are hardened for work [10]. The mechanism for adhesive wear is shown
in Fig. 2.4.
Adhesive wear is primarily influenced by load and surface temperature, in addition
to the state of the lubricant and the characteristics of the friction substance. However,
it is unclear how important temperature and load are as deciding variables [13].
The stacked particles created during the application of the adhesive have a flat,
rounded morphology as illustrated in Fig. 2.4. Following the switching, adhesion,
and plastic deformation processes, abrasion can also increase significantly at the
material’s surface is substantially degraded by a chemical attack or if the boundaries
between the grains are compromised.
In addition, increased abrasion can be caused by surface fatigue, which can weaken
the grain boundaries under cyclic loading, making it easier to draw out individual
particles. Even more serious wear problems result from the interplay of adhesion and
tribochemical reactivity. Figure 2.5 shows the situation for both materials. Figure 2.6
compares the strength and hardness of metals, hard metals, ceramics, and superhard
materials.

Fig. 2.4 A schematic diagram illustrating the mechanism for adhesive wear
40 2 Wear Mechanisms/Models

Fig. 2.5 Tribochemical reaction and adhesion combined: synergistic effects (after Zum Gahr):
a adhesion, b passivation layer formation, c adhesive pull-out debris generation, d passivation layer
removal by wear debris [6]

Fig. 2.6 Comparison of strength and hardness of metals, hard metals, ceramics, and superhard
materials [6]
2.3 Wear Modes 41

Adhesive wear can be categorized into four groups based on the severity.
. Light Adhesive: There is a shift at the junction when the adhesion point strength is
lower than the strength of the two metal friction surfaces. Despite the possibility
of a high coefficient of friction, wear and material migration
. are hardly noticeable. This adhesive wear typically takes place on a metal surface
that has been coated with an oxide film, a sulfide film, or another coating.
. Common Adhesive: The soft metal surface close to the joint will sustain damage
if the bonding point’s strength is greater than that of the soft friction surface.
Soft metal adheres to surfaces made of hard metal. The friction coefficient is
comparable to that of minimal adhesive wear; however, the degree of wear is
substantial.
. Scratch Scratches: They develop on the soft surface when the bonding strength is
greater than that of two metal surfaces. However, it occasionally happens on the
surface of solid metal and migration of sticky substance to a solid surface. Soft
surfaces may also be scratched by it. As a result, soft metal surfaces are where
scratches are most likely to appear.
. Scuffing Adhesive: Wear occurs in the depth of one metal surface if the bonding
strength is significantly greater than that of two surfaces and the bonding area is
substantial. Serious wear on two surfaces is possible, and friction surfaces can
even jam to prevent sliding. Since it is situated in a high-speed and substantially
loaded friction pair, the sticky area of the sticking point increases at the junction
where there is significant plastic deformation and a high surface temperature.
Fraying is a frequent outcome of this. Because the shift occurs at a depth in a
friction pair made of the same metallic material and because the bonding point
is close by, work hardening and plastic deformation of the material both occur in
this situation, and the scuffs are quite strong [6, 14].
Solid lubricants are substances that are applied to friction surfaces to lessen
wear and friction and guard against surface deterioration. Figure 2.7 displays further
data for several material pairs; in each case, the tests are conducted under sliding
conditions selected to produce adhesive wear.
The tribological compatibility of the mating materials diminishes and their hard-
ness increases, which is in accordance with the principles presented in Chaps. 1 and
2, leading to a drop in the adhesive wear coefficient. Wear parameters, as a rule, are
determined by other processes occurring in the contact zone, especially when the
situation as a whole becomes more complicated. For example, wear particles often
get stuck between contact surfaces before leaving the tribosystem.
Figure 2.8 shows the typical shape of worn surfaces, subsurface damage, and
wear fragments. The currently available observations refer to a titanium alloy (Ti-
6Al-4V), which is subjected to dry sliding on a steel counterbody [14]. Figure 2.8a
clearly shows a significant shear plastic deformation that occurs on defects as a
result of ratchet and low-cycle fatigue. Figure 2.8b illustrates how plastic shear also
affects subsurface areas. This figure also shows the development of surface deformed
scale, which is often stated to be about to flake off and exit the tribological system.
Finally, Fig. 2.8c illustrates the morphology of wear fragments. The friction can
42 2 Wear Mechanisms/Models

Fig. 2.7 Relationship

between experimental
coefficients of adhesive wear
and friction for various
combinations of materials.
Experimental information is
collected from experiments
that are carried out to
measure the wear of sliding
adhesives (in the case of
different materials, the wear
coefficient of the softest
substance is shown) [14]

either transfer to the counterbody (creating, as already noted, a transfer layer) or, in
the case of prolonged sliding, mix with other fragments of the counterbody, creating
a mechanically mixed layer on the surface of the counterbody and interacting bodies.
Wear and friction change under these conditions. Since they are almost impossible
to predict from simple factors (such as the W12/H ratio), experimental testing is
required to collect relevant data.

Fig. 2.8 Sliding on a steel surface—Ti-6Al-4V. Plastic shear in the near-surface region, a worn
surface with significant shear plastic deformations on irregularities, and the morphology of metal
fragments on a b scale [14]
2.3 Wear Modes 43

The wear of a tribological system is often dictated by the total wear volumes of the
two bodies in contact, notwithstanding Archard’s theory’s claim that adhesive wear
is only possible on the body with the lowest hardness. In addition to increasing wear,
if one body is significantly softer than the other, transfer phenomena can also cause
the toughest body in touch to gain weight (and volume) after sliding. However, both
bodies contribute to the overall amount of wear if their hardnesses are comparable
[2–5, 13, 14].

2.3.2 Abrasive Wear

Abrasive wear is a phenomenon wherein external solid particles, harsh impacts, or

sharp peaks cause surface material to shatter or flake. Abrasive wear is typically
brought on by the rake, ball mill bearing block, and excavator shovel teeth. Abrasive
chips can result from cutting wear on the machine’s exterior. Abrasive wear also
includes the erosion of turbine blades and propellers on ships operating in sediment-
filled water. In the majority of cases, abrasive particles found in the applied particles
or errant sand and dirt particles from the surroundings continue to cling to the slide
and remove the fabric by plowing [14, 15]. These particles or one of the contact
surfaces must be noticeably tougher than the surface to be sanded in order to apply
the abrasive (at least 1.3 times harder). An attribute surface covering made of grooves
that are expanded in the sliding direction is created as a result of abrasive wear. The
two primary categories of abrasive wear are:
. Two-component abrasion: application is transferred from one surface to the next
using intricate combs. Using the reducer, a two-piece abrasive applicator is created
(Fig. 2.9).
. Wear is brought on by solid particles moving between two sliding surfaces, which
is known as three-component abrasion. It is made up of an abrasive that is spread
over deposits produced by several deposition methods.
. Imagine a complex tissue cone carving a groove through softer tissue to easily
mimic the roughness of an applied abrasive in a two-particle process or a grainy
perspective in a three-particle process [15].

Fig. 2.9 Mechanism for

abrasive wear
44 2 Wear Mechanisms/Models

Three different abrasive wear mechanisms exist:

. Microcutting: Under normal load, the abrasive particles are pressed up against a
friction surface. The surface is chopped, plowed, and scraped when sliding due to
the furrow abrasive’s friction force surface wear markings in the form of grooves.
. Squeezed spalling: Plastic is squeezed out, leaving behind scaly exfoliating
residues after abrasive particles are forced into the friction surfaces and cause
dents.
. Fatigue damage: Surfaces subjected to cyclic abrasive particle contact stress suffer
from fatigue damage.
Two-particle and three-particle abrasion are the two different types of abrasive
contact. In the first situation, the hard particle or hard protrusion would plastically
engrave grooves into the softer surface. Abrasive solids may come from the environ-
ment (typical examples include sand particles contaminating tribological systems), or
they may be incorporated into the material’s microstructure, as in ceramic-reinforced
composites, steels, or cast irons that contain hard carbides, or grinding wheels where
the particles are held together by a unique bonding system (Figs. 2.9 and 2.10).
Figure 2.10 displays two instances. The solid particles caught between the two
contact surfaces in three-body abrasion are free to rotate, which limits their impact.
Anyhow, abrasive contact is only possible if the hardness of solid particles is at least
20–30% more than the hard surface. A particularly potent type of wear called two-
body abrasion will receive special consideration. Making the distinction between the
wear of materials with brittle or ductile behavior is helpful in this situation as well
[2, 14].
The cone is an abrasive particle that, as it moves, cuts the surface with the least
resistance. Microcutting wear will be at its highest if all plastically deformed material
is eliminated. Microburring wear is zero if all of the material that has been plasti-
cally deformed flows into the groove’s sidewalls, even though the surface may have
been extensively damaged. Figure 2.11 depicts the approach for these two limited
instances.

Fig. 2.10 Vertical grooves in a cast iron disk caused by hard brake pad components; horizontal
grooves on the bronze surface caused by contaminated sand particles [14]
2.3 Wear Modes 45

Fig. 2.11 a Microcutting and b microploughing for abrasive grooving (adapted from [14])

Obviously, large particles might break upon contact and produce abrasive particles
with sharp edges and high values, and the angle of attack also rises with particle size.
For instance, it has been discovered that SiC particles in sandpaper with an average
diameter of 16.3 m had an average angle of attack of roughly 5°. The value climbs
to roughly 10° at an average diameter of 57.3 m and to approximately 15° with
an average diameter of 125 m. If the particle size surpasses this threshold, often a
plateau is established about 150 m, and the value plateaus and does not rise further.
Additionally, if the opponent is sufficiently firm, then most likely, the edges would
round out the occurrence of the particles would take place, lowering [8–10, 14, 15].
The transfer of worn debris to abrasive particles and even the detachment of particles
from the surface on which they lie can dramatically reduce, which is observed during
sliding without renewal of abrasive particles. On the other hand, when a lubricant
is present, such as water running, the lubrication can eliminate wear fragments of
the abrasive material, preventing their accumulation, which would stop the particles’
abrasive effect. Additionally, the lubricant lessens the friction that causes wear from
microcutting between the hard particle and the abraded surface. The constant is
mostly influenced by the abrasive particles’ shape (it rises with increasing angle of
attack) and the plasticity of the especially the flexibility of the material. The latter
can be explained by remembering that any abrasive interaction is characterized by
extremely strong plastic deformation, which can also build up over time through a
ratchet mechanism [2].
If the material’s ductility is relatively low, such deformation may result in
the creation of a wear fragment through ductile fracture (even in the case of
microplowing). Since hardness and plasticity are often negatively correlated, one
should anticipate that will depend on how hard the material being abraded is. Such
an experimental dependence for several metals and for high and low values is shown
in Fig. 2.12. Little depends on the more general scenario of low values as long as the
hardness is less than roughly 250 kg/mm2 (and it is relatively modest, below 0.3), the
hardness is acceptable. As a result, as hardness increases in this region, the specific
wear rate W/FN falls. However, the range of 250–400 kg/mm2 increases significantly
with hardness. Accordingly, the particular wear rate is mostly independent of hard-
ness (although it can potentially decrease as hardness increases). Again, it varies little
in hardness (although it is quite high, more than 0.8) at high hardness, for instance,
46 2 Wear Mechanisms/Models

Fig. 2.12 For both large and

small angles of attack, the
hardness of (ductile)
materials experimentally
[14]

more than 400 kg/mm2 . Additionally, it is anticipated that if the hardness increases
further in this area, the particular wear rate will drop. This behavior is typical of
many tribological systems and is covered in greater. The K factor for three-particle
abrasion is typically between 10−3 and 10−4 , which is significantly lower than the K
factor for two-particle abrasion [14].

2.3.3 Erosive Wear

Strong particles that fall to the surface can cause erosion, which is quantified as the
ratio of the mass of the tissue removed to the mass of the eroded particles. Strong
particles are carried over the surface and cause erosive application [16]. The position
of the impact determines the erosive and erosive action processes, which also have an
impact on the relative hardness and speed of substances and falling particles, where n
varies from ductile to brittle materials, v is the particle velocity and is the effect on the
perspective from the viewpoint of the fabric surface, and exchange of erosive charge
in relation to impact on ductile and brittle materials is depicted in Fig. 2.13. Cavitation
is surface erosion brought on by the motion of a liquid relative to a solid surface.
Typically, it occurs on the surface of items like a ship’s propeller, a turbine blade, or a
pumping element. Air bubbles or bubbles made of the gas dissolved in the liquid may
form when the pressure is lower than the evaporation pressure of a liquid in contact
with a solid surface [17]. The bubble will burst and cause an immediate, powerful
impact as well as heat when it moves to a location where the fluid pressure is greater
than the bubble pressure. If a hard surface is subjected to such impacts repeatedly,
fatigue sets in and small pits appear on the surface, which causes the surface to soften
and become like a sponge. Severely eroded by cavitation can create a 20-mm-deep
hole in the surface. The influence of tension, which results in surface fatigue, is the
process of cavitation erosion, while the chemical and electrochemical activity of
the liquid speeds up cavitation erosion damage. Preventing bubble production is the
2.3 Wear Modes 47

most efficient way to lessen cavitation degradation. First, the fluid movement needs
to be orderly to prevent eddies since bubbles can easily form in the vicinity of the
pressure vortex when the pressure is low [6, 14]. In order to prevent the development
of air bubbles, minimize the gas concentration in the liquid and avoid stirring it. The
ability to prevent cavitation erosion can be enhanced by selecting the proper material.
Metals with great strength and toughness typically have. If they are balanced, the
outcome might have been different. Here, to demonstrate a different outcome, we
utilize the anti-seize additive that is used to stop scuffing as an example. While the
impact of hard particles on brittle material promotes the spread of cracks that tear
the fabric away from the surface, plastics also have substantial impact points on their
surface (Fig. 2.14).

Fig. 2.13 Industrial parts

wear with compressor blade
deterioration in a gas turbine
engine [18]

Fig. 2.14 Change in erosive wear depending on the angle of impact for ductile and brittle materials
[14]
48 2 Wear Mechanisms/Models

2.3.4 Contact Fatigue Wear

Fatigue wear, referred to as contact fatigue wear, is the formation of pits as a result
of fatigue on two rolling, sliding, or rolling and friction surfaces when there is cyclic
contact stress. Rolling bearings are the primary mechanical components that show
failure wear, along with gears. Both microwear and fatigue wear are a result of stress
fluctuation brought on by roughness (Fig. 2.15).
Surface microfatigue, however, often only happens during running-in or non-
developing wear. Surface fatigue wear is typically unavoidable, even when the oil
layer is in good condition. Anyhow, it will take place. Strong pits will prevent minor
fatigue wear from forming, preventing malfunction during the regular operation
duration. Generally speaking, rolling friction combined with a general quality steel
experiences surface fatigue wear [6]. When cyclic contact forces act on a material,
fatigue wear first appears as a crack caused by a stress concentration, such as a non-
metallic inclusion or hole. The highest shear stress is typically contained in a small
area of the fracture that is typically located at a depth of around 0.3 mm from the
surface. The crack first spreads parallel to the direction of rolling before reaching
the surface. The material has a relatively smooth fracture as it leaves the surface and
creates wear residues. Although the propagation crack propagates slowly, the fatigue
crack initiates quickly. The predominant type of rolling failure is typically surface
fatigue wear contacts for bearings. Due to in recent years, the internal quality of steel
has significantly improved due to the development of vacuum melting technology,
with a decrease in surface cracking and an increase in the capacity for surface fatigue
wear. In sliding friction pairs made of stainless steel, surface fatigue wear predom-
inates. A source of stress concentration on the surface, such as rotation, is to blame
for the crack. Mark, lump, stain, or other indication of where 299 characteristics
and methods of wear [5, 7–10, 13, 14]. The crack then spreads at an angle of 20–40
degrees from the exterior to the inside following the slip path. At a certain depth,
fracture propagation results in the formation of a hole. It has a relatively rough frac-
ture. The wear crack has a fairly long formation time, yet it expands quickly. Because

Fig. 2.15 Fatigue wear

2.3 Wear Modes 49

a surface’s edge surface fatigue wear can come from a fatigue pit, these two types of
fatigue wear typically coexist. The four main components of the factors impacting
surface fatigue wear are as follows:
. a macrostress field with lubrication or dry friction,
. the friction material’s strength and mechanical characteristics,
. the material’s shape and default distribution, and
. the effect of a lubricant or media on a friction pair’s surface.
In solid–solid friction, there are several reasons why something could wear out.
Each of the following reasons has a name: Cavitation:17 Laminar flow or turbulent
flow are both possible when fluids are flowing parallel to a flat plate (or a combination
of the two). The momentum of the fluid results in a lower pressure at the solid–liquid
interface than in the immediate vicinity of the system if a fluid is pushed to flow past
a cylinder (such as a pipe) and perpendicular to the axis of the cylinder just beyond
the widest dimension of the cylinder [2]. The pressure at the solid–liquid interface
may be less than zero if the cylinder’s radius of curvature is tiny and/or the liquid
is moving quickly. The liquid’s vapor pressures. Localized bubbles or vapor cavities
will form and immediately burst. As depicted in Fig. 2.16, bubble collapse can be
thought of as a fluid flow with a spherical front moving toward a solid surface. The
fluid’s motion is enough to cause the material in the target area to deform. Although
the strain is often much smaller than the yield strain, local failure of the material due
to (elastic) fatigue can occur when elastic strains are repeated millions of times across
small portions of the surface. Cavitation damages vibrating engine cylinder walls,
pipe valves, and ship propellers. Cavitation typically happens when fluid pressure
drops quickly. Slurry erosion, or abrasive erosion, occurs when abrasive particles are
present in the flowing fluid that occurs. Only the elimination of oxides can happen
at low speeds, but at high speeds, the substrate material is also worn. Slurry erosion
and abrasive erosion cannot be clearly distinguished from one another, but the words
are frequently employed in different contexts. Low solids concentrations in a fluid
or unknown solids concentrations are both examples of abrasive erosion. Solids are
likely to be regarded as entrained contaminants as the liquid phase is the main focus.
In contrast, sludge erosion happens when a solid–liquid mixture called sludge wears
down a surface [19].

Fig. 2.16 Drawing of a

cavitating vapor bubble
collapsing
50 2 Wear Mechanisms/Models

When the solid phase is the main concern and the liquid is only acting as the carrier,
such a mixture is typically referred to as a slurry. Slurry pumping equipment can
become worn out. The slurry moves through the microscopic openings in the pumps
at a speed of at least 100 m/s. Abrasive erosion is preferred in some circumstances.
There are no products available that are made expressly to transport abrasive particles.
Abrasive jet cutting is used in water to cut through metals and other hard surfaces
like concrete. Impact from a liquid causes erosion: Material will be worn away from
a solid surface as a result of fatigue when liquid droplets strike it quickly enough
and frequently enough. Raindrops consequently cause aircraft radar polymer domes
to be destroyed [2]. (Dry) impact erosion of solids: 17 mass loss per unit of erosive
material used is a common way to quantify erosion rate. Numerous erosion-related
factors, such as the following, have been researched:
. Solid particles have enough kinetic energy to scratch up solid objects. In general,
the erosion loss rate increases (very) by about (particle size) m, where m 3, and
(particle speed) n, where n varies from 2 to 2.5 for metals and 2.5 to 3 for ceramics.
Despite the fact that it likewise has n, it is discovered to be related to particle size,
maybe as a result of fragmentation. The normal impact velocity ranges from 15
to 170 m/s (40 to 150 mph) [20].
. Abrasion (cutting) of a soft, ductile material results from the collision of sharp,
hard particles at tiny angles. Very soon as impingement begins, material loss
occurs during cutting. When particles of any size and hardness collide at sharp
angles, the surface material becomes fatigued, which results in losses; however,
the beginning of the losses is delayed until the material becomes fatigued. At a 70°
impact angle, angular particles demolish 6061 T6 up to 250 times more quickly
than round particles. Up to 90% of the area can be exposed to solid and pointy
particles during high-angle collision
. The same rules that apply in the case of abrasion regarding the relative hardness
of the particles compared to the target apply here, with the exception that cold
working the target to reduce wear is ineffective, and hardening by heat treatment
(reducing toughness) is only moderately effective in eroding particles difficult.
Sometimes ductility is more crucial to erosion resistance than hardness.
. Characterizing a target material’s hardness in terms of dynamic hardness rather
than static hardness may be more beneficial. The impact time (for an imprint of
5 m) of a particle with a diameter of 100 m and moving at a speed of 100 m/s is
2 × 10–3 s. This results in a roughly 1000-times strain rate. 30% more than in the
hardness test is necessary to increase the hardness.
. Figure 2.17 provides an illustration of how erosion losses for four different
materials vary with the angle of incidence.
. In addition to mass and momentum, particle size affects whether the target surfaces
have characteristics that differ from those of the substrate or whether erosion and
corrosion can coexist.
. The objective could deteriorate in waves. When solid particles strike a ductile
target, they may spatter outward and cause platelet production and loss. This
2.3 Wear Modes 51

Fig. 2.17 Four different

materials’ erosion loss rates
as a function of impingement
angle [14]

can happen at a strain rate that is high enough to proceed almost adiabatically.
Biphasic materials allow for the removal of the soft phase first, which decreases
the support of the harder phase [14, 21].

2.3.5 Tribocorrosion

Wear can remove protective films and passivating oxide layers, and tissue loss as a
result of wearing is typically linked to corrosion processes. Erosion-enhanced corro-
sion (EEC), where the damaged region is confined by an oxide coating and impacted
by erosion, has been classified [21] as the decomposition of materials and components
due to a synergistic combination of erosion and corrosive conditions. (CAE) when the
damaged area is made up of both metal (substrate) and oxide scale. The variety and
complexity of corrosive conditions necessitate further in-depth processing. To char-
acterize tribocorrosion processes in dry (high-temperature environments), at least
four modes are needed [22] two intermediate situations in which erosion predomi-
nates over corrosion or corrosion predominates over erosion, as well as a mode with
a majority of pure erosion and a predominance of pure corrosion (Figs. 2.18, 2.19,
and 2.20).

Fig. 2.18 Wear mechanism that is corrosive

52 2 Wear Mechanisms/Models

Fig. 2.19 Members of an

industry’s structural
framework corrode and
oxidize over time [18]

Fig. 2.20 SEM surface morphologies at 45° and 90° impingement angles (a–c) [14]

Corrosive wear is the term used to describe surface damage brought on by a

chemical or electrochemical reaction while friction is occurring. Oxidative wear and
corrosive wear in particular settings are common forms of corrosion wear. The metal
surface of a friction pair reacts with acid, alkali, salt, or other environmental elements
in chemical equipment, leading to corrosive wear. Similar to oxidative wear, corrosive
wear leaves a deeper wear mark and has a longer wear resistance. The typical point of
contact between the surface of the metal and the environment is granular or filiform
corrosive wear products. Corrosive wear can happen to the simple bearing material
as a result of the corrosive compounds found in lubricating oil. Acid erosion and
sulfidation corrosion are the two main forms of corrosion wear. The bearing material
is a significant element determining corrosive wear, in addition to the logical choice
2.4 Experiments on Friction and Wear 53

of lubricant and the restriction of acid and sulfur in oil. The corrosivity of a few
frequently used bearing materials. A sophisticated leveling technique utilized in the
production of extremely large integrated circuits is chemical–mechanical polishing.
Silicon can be planarized using this process wafer [2, 14].
It polishes plates primarily by corrosive wear and abrasive wear surface, whose
precision may be greater than 1 nm. Chemical and mechanical impacts full chemical–
mechanical polishing [6]. The steps are as follows:
. After polishing, the plate creates chemical bonds with oxygen and hydrogen.
Particles in a solution’s surface.
. Turn the polishing pad under a particular pressure to manage the suspension, and
by the mechanical action of the suspended particles leaving the surface, chemical
or molecular bonds are broken to carry out polishing. The plate creates molecular
bonds with the polishing solution [2].

2.4 Experiments on Friction and Wear

Despite the availability of test data from actual engines, laboratory experiments
are performed in carefully monitored settings and simulate real-world interactions.
Results for friction and wear are frequently obtained on the same apparatus [22]. Here
are some concepts and some of the various machines used to test friction. Design a
pair that will provide a frictional interface as the first requirement (Fig. 2.21).
A tougher particle may scratch, groove, or dent the surface to produce one or
more effects. While grooves do not indicate material loss, scratches do. The depth of
scratches and gouges might not exceed the coatings’ oxide or other coating thickness.
This may occur if the abrasive particles are very small, such as less than one micron,
or if they are tougher than the oxide but softer than the backing (see below) (probably

Fig. 2.21 a Wear track, b a deeper look at the wear track in the SEM images of a cathodically
protected (0.50 V) sample in the NaCl solution [14]
54 2 Wear Mechanisms/Models

Fig. 2.22 Wear rate against

abrasive relative hardness
[18]

not visible to the eye). The width of a groove or scratch may be on the order of the
coating thickness (10 nm or less) [6, 14]. Typically, these little scrapes are the same,
causing the surface to seem polished since the diffraction centers. The scratches
in this instance are much closer together less than 0.1 m, the wavelength of light.
The surface gets smoother if the oxide is gradually removed, concentrating on the
high points of the surface. The substrate can be penetrated by scratches, gouges, and
dents. Deep scratching creates shards of the substrate’s metal, polymer, or ceramic
composition. An abrasive particle can only scratch (groove or dent) a surface if the
material used to make it is at least one Mohs number tougher than the surface being
scratched. As can be observed in Fig. 2.22, the effect of the hardness difference is
not abrupt. The Figure’s x-axis displays the ratio of the abrasives’ average hardness
to the hardness of the surface of the material for wear. A Mohs number is equal to a
scale ratio of 1.3–1.
The ultimate abrasiveness, form, orientation, and manner of restricting the abra-
sive have a significant impact on the rate of material loss during abrasion. Shape:
it is uncommon to find perfectly sharp abrasive particles. They have sharp protru-
sions instead. Three consequences may happen depending on the desired cylindrical
protrusion’s depth of penetration relative to its radius, as shown in Fig. 2.23. The
material can plastically bend laterally to form ridges, which, if done by repeated
passes of the abrasive particles in parallel tracks, will also result in low-cycle fatigue
wear. A spherical ridge will act in a manner similar to this. This is most likely the
main abrasive wear mode. Fine anchoring abrasives are uncommon in practice due to
particle restriction [6]. The use of loose abrasives is significantly more prevalent: cut,
bounce, slide, and roll. Two-body attrition is produced by fixed abrasives, whereas
three-body attrition is produced by loose abrasives. In the case of metals, fixed abra-
sives cause about ten times more wear than free abrasives for the same abrasives
and the same average pressure, whereas three-component abrasion accelerates the
wear of glass and ceramic materials. Swinging particles are more likely than sliding,
scratching particles to produce diffuse reflecting surfaces [23].
The soil’s particles exhibit two- to three-particle abrasive activity and are partially
restrained by the compacted soil around them. Solids on sandy soils range from 6 to
6.5 Mohs in hardness. Abrasive particles may occasionally be squashed between two
bodies. Crushed pieces are substantially more abrasive and have much sharper angles
2.4 Experiments on Friction and Wear 55

Fig. 2.23 Three ways to react to penetration depth (repeated grooving causes fatigue) [18]

than uncrushed particles. High-stress abrasion, as opposed to low-stress abrasion, is

the condition of particle crushing. In high-stress abrasion compared to low-stress
abrasion, particle implantation occurs substantially more frequently. Fluids function
in abrasive wear in comparison with a dry condition, fluids frequently increase abra-
sive removal rates. At least in grinding processes, fluids have the effect of removing
heat and trash (chips). Fluids are generally used in slow abrasion and polishing to
reduce friction between the abrasive particles and the surface being abraded. This
results in more material being removed and less particle deposition for a given amount
of energy used. The abrasive particles’ fracture hardness is decreased by the fluid,
which makes it easier for them to break and generate sharp edges. The recommended
fluids for each type of abrasive and abrasive operation can be found in the instructions
for the use of commercial abrasive systems [24]. For the two-component removal
of fragile material, for instance, oil is superior to water. Materials’ resistance to
abrasion finding materials that are abrasion-resistant has received a lot of attention,
particularly in the agricultural and mining sectors. Since hardness is the primary
factor in abrasion resistance, the focus of this research is on hard materials. Gener-
ally speaking, martensite is desirable (martensite with 0.6% C has a hardness of 65
Rc or around 800 Vickers pyramid numbers), but primary martensite is too brittle
for several structural applications, and stress-relieving martensite is expensive. By
adding alloys, primarily manganese, steel can be strengthened; however, several other
alloys retain a softer austenitic phase in significant amounts. Because iron carbide
Fe3 C has a hardness of 1200 VPN and chromium carbides have a hardness of roughly
1800 VPN, the development of carbides in iron and steel alloys prevents galling. Iron
with a high carbide content is referred to as white cast iron, as opposed to gray cast
iron devoid of alloying components, which produces carbides, which results in the
formation of graphite flakes in the matrix. The ends of metal pins (samples) are
sometimes moved across soft-backed sandpaper during laboratory tests.
Testing for crusher plates, dry sand and rubber wheels, wet sand and rubber wheels,
and numerous other things are also available. In general, laboratory testing aims to
56 2 Wear Mechanisms/Models

create a wear equation or model that takes into account all pertinent material and
abrasive factors that influence wear rate. Generally speaking, it can be said that in any
other area of the wear area, wear testers under abrasion conditions more accurately
simulate real-world wearing situations than laboratory bench testers [25].

2.5 Metallurgical Expertise

A profilometer is used to plot hills and valleys in this chapter, where it is indicated that
surface texture is a key parameter. However, deformation causes the surface metal to
continue to alter. When using an optical or electronic microscope or stereos can, it
can be advantageous to wear and store music. The nature of the subsurface must be
observed, and in addition to microscopic observations, the microhardness or electron
diffraction yields useful data. Intermetallic compounds can be created through the
friction of dissimilar metals. This makes it possible to alter the composition both
above and below the surface. Microprobe a useful tool for figuring out the chemical
composition is the evaluation of the tapered parts of the pins. A composition that
can additionally pass from oxidation garment debris is often X-rayed to produce
information on the metallurgical cooperation of the participant’s couple [26].

2.6 Applying Overlay Results

Theoretical and experimental data frequently exhibit a glaring divergence. Study

of costs associated with applying metals and other compounds and their use in
production circumstances. It shouldn’t be, and a spirit of cooperation among them
is what is desired [2]. The first section of the task is typically an evaluation of the
sliding distance rises for each additional tissue being inspected. Applying the injec-
tion charge against the load is the next phase, which is done while taking into account
the slopes of continuous wear. There is a phase of light wear at low loads, which
is followed by a transitional regime in which the quantity being introduced might
increase by several orders of magnitude. However, a comparable effort should focus
on wearing light wear and offering information to graphic engineers. This is not to
say that understanding the transitory load is not vital. The use of laboratory statistics
for sketches produced by simulating the use of machine types specified in Sect. 2.1.4
is met with understandable suspicion in some areas [14, 27].
The cost is significantly lower than the components so-called zero wear surface
roughness. In some circumstances, gathering records using the IBM layout can be
helpful. However, since they offer a fundamental understanding of how metal enters
technological processes; laboratory testing of the usage of pins and different config-
urations should continue to be significant. The argument that laboratory tests are
accelerated tests is another, although creep and fatigue testing of metals has made
sure that many of the details needed by designers are provided. The issue is that it’s
2.7 Wear Maps 57

difficult to say for sure that only the mode depends on the particular configuration.
For instance, it’s crucial to check the geometry of the interface to see if the debris has
flown away from the interface as it is being generated in order to prevent unwelcome
abrasive wear in addition to necessary exterior sealing. In terms of corrosion require-
ments, grease compatibility and elemental substances pay interest. It is understood
that there is no chasm between the search results and the software. Clearly between
them, however, the goal should be to erase boundaries by exchanging experience
between researchers, manufacturers, and users of tribological components [28].

2.7 Wear Maps

An overlay map for metal-on-metal sliding in a finger-disk format is created. The map
displays regions of pressure and speed where particular mechanisms predominate:
at incredibly low pressures and speeds. Mild oxidative deposition happens under
harsh circumstances, but only when oxidation from friction heating is especially
low. The oxide layers are totally free of oxidative wear and deposited particles. A
wear map is an easily navigable, two- or three-dimensional display of wear data. An
overview of the wear behavior of two materials in tribological interactions can be
obtained by using a map like this, which uses well-chosen parameters as axes in two
or three dimensions. When the flash ratio exceeds the melting point, melt settling
takes place. This metal map served as a model for other maps, including the map
created for ceramic materials in Fig. 2.24. The quantitative dummy from softness to
excessive wear in the case of ceramics is totally constructed based on experimental
data on the ceramic’s own sliding in a pin-on-disk setup. Three brief definitions
of wear mechanical, chemical, and thermal wear as well as seven more designated
definitions of operating modes abrasive, adhesive, fluid, fatigue, corrosive, molten,
and diffusion wear are defined in their classification terms. The result of combining
these exclusive allocation options is essentially any fixed billing fee. Flowing, fatigue,
abrasive, and corrosive buildup prediction models are briefly explained. It is also
discussed where the map is located [14, 29].
1. Coins are made from a variety of metal alloys. Some coins have a metal core that
is covered with another metal. Low cost and ease of fabrication are fundamental
needs. Low toxicity, good corrosion resistance, and the manufacture of the coin’s
“blank,” including stamping the coin’s detailed
2. surface properties. It is also crucial that coins maintain their surface detail over
a long period of time when they are in circulation since this indicates durability.
. How would you rank the used coins’ wear rates and wear mechanisms?
. How would you go about estimating the rate of wear of a new alloy that has
been suggested for use in coins?
58 2 Wear Mechanisms/Models

Fig. 2.24 Load and velocity

wear map for steel-steel in
finger-disk configuration
[18]

1. Find out the size and shape of a typical connector used on a smartphone or other
consumer electronics device (such as to connect to a charging source or data
cable) via the Internet or other resources.
2. Concerning tribological difficulties that might be significant in the creation and
use of a plug, submit a device report to the manufacturer. Your response should
take into account the following:
. the circumstances in which plug and socket slip,
. potential techniques for figuring out how much sliding parts have worn,
. potential building blocks for these components,
. remarks on the rationale behind the connector’s construction.

Problems
1. Describe why it is anticipated that the rate of abrasive wear of a fragile material
by hard angular particles will be much higher than the wear rate.
2. Explain the possible variations in the wear mechanisms of these two materials:
If the abrasive particles are garnet rather than silicon carbide, and if the pin
repeatedly traveled over a circular track as opposed to a spiral one.
3. Depict why the load carried by each particle during abrasive wear can have a
considerable impact on wear rate. In your response, take the behavior of both
particles and abrasive substances into account.
4. Elaborate the coefficient of friction decreases from roughly 0.7–0.5 as the pin-
on-disk test of a cylindrical steel pin against a steel disk progresses. The wear
track on the disk is rough and black at the end of the test, and there is a black
References 59

powder on the disk surface outside of the wear track. An electron microscope’s
chemical analysis of the wear track itself reveals a high oxygen content.
5. Why it is anticipated that the rate of adhesion of the deposited particles is pushed
away from the ends of the projections?

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Chapter 3
Wear in Metals

3.1 Introduction

Two significant advancements were achieved in the second half of the twentieth
century that are intended to increase the resistance of engineering factors to dry
(continuous or intermittent) contact with the counterbody. The first is a thin surface
coating, typically made of a hard ceramic, and the second is the treatment for the
surface itself using heat and/or chemicals. Numerous studies on the tribology of new
structures have brought to light the fact that while the majority of these advance-
ments do provide extreme durability, their long-term dependability is frequently not
guaranteed. The fact that safety necessitates expensive processing methods, flaws,
and an interface that will lead to non-standard failures all means that they can no
longer be used for all purposes and are no longer considered a universal panacea [1–
3]. These factors may be what has rekindled interest in steel garments and worn-out
mechanisms in particular. The advent of structurally stable soft metals like aluminum
and titanium is another factor contributing to the rise in interest in the tribology of
metals [4].
These metals are thought to have excessively high overall characteristics because
of their great corrosion resistance and the potential for large weight loss of the
elements. In situ, temperatures, charges, and voltages are kept at excessively high
levels to maximize efficiency. Thus, titanium and nickel-based materials are utilized
in aircraft engines, while aluminum is a reliable replacement for iron-based mate-
rials in internal combustion engines. The tribology of these materials under actual
operating circumstances is given serious consideration. Given that the material’s
reaction can no longer be homogenous and isotropic, the broad continuum-based
defining relationships utilized to simulate the tribological behavior of metals are no
longer considered sufficient to explain tribology under these circumstances [5]. The
information now required to enhance the materials for this new application relates to
dynamic changes in the microstructure at the tribological interface and their impact
on wear and friction. This prompted the search for alloying components and thermal

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2024 61
R. A. Al-Samarai and Y. Al-Douri, Friction and Wear in Metals, Materials Horizons:
From Nature to Nanomaterials, https://doi.org/10.1007/978-981-97-1168-0_3
62 3 Wear in Metals

curing and processing techniques would enable the creation of the ideal microstruc-
ture. For instance, the firm has recently learned that a special silicon, nickel, and
copper alloy combined with aluminum cylinder liners, forged at a high cooling cost,
produces a microstructure that optimizes the coefficient of friction at the top of the
useless center. The material-based metal tribology approach thus offers the path
for additional investigation. The metal coating can be sensitive or heavy, one of
which differs from the other by an order of magnitude in speed or a huge differ-
ence through a wear charge depending on the imposed parameters such as typical
load, speed, environment, and heating. Abrasion and melting can be brought on by
heavy garments. The engineer is especially concerned with extending mild wear and
halting the progression to heavy wear. As a result, the research has concentrated
on the intelligent donning process as well as the conditions and modifications that
result in excessive wear, which is typically identified by steel particles arranged in a
laminate. The sensitivity of the cloth to traction determines when metals should be
applied in dry slip [6].
By considering the utilization of titanium and aluminum alloys, this is proven.
With the formation of a protective tribofilm that maintains interaction in the mode of
gentle wear, the web covers the surface from the extent passing through the zones of
flow, destruction, crushing, and compaction in the mode of reliable uniform defor-
mation, which is controlled by a microprocessor. The subsurface sector is made up
of layers running parallel to the slip direction if the reaction causes microstructural
instability, such as adiabatic shear bands. Microcracks often travel from the surface
through microvoids created in the layers until they reach a depth of 10–20 μm.
Microcracks form below the surface. Waste rectangular laminate is created, which is
a stack of 20–40 layers. Wear in this mode is very high. It has been noted that there are
three distinct ways in which wear can transition from mild to severe: load-, sliding
velocity-, and sliding distance-induced transitions. To identify the circumstances in
which severe wear began, an empirical wear transition map has been created [7].

3.2 Mild Wear and Transition to Severe Wear

3.2.1 Mild Wear

Earlier, it was hypothesized that moderate wear is specifically an oxidative event

that took the form of oxide bulging and delamination at the roughness level. As
Dong et al. [5] have cautioned, this may very well represent a defensive mechanism
for iron-based metals. The deformations in the near-surface polygons are substan-
tial for bearing steel and for stainless steel according to Bijwe et al. [7], sliding
speed, temperature, time, normal load, roughness, and hardness all have an impact
on transition. When testing the brake friction material on pearlitic cast iron, the same
behavior is also noted. The transition of the same mode of clutch’s standard friction
3.2 Mild Wear and Transition to Severe Wear 63

material is assessed in this work at various loads and sliding speeds. Scanning elec-
tron microscopy (SEM) and dispersive energy X-rays (EDX) are used to analyze the
sliding surface and disk cross section, and the results demonstrated that the mate-
rial moved from the friction material into the slide disk on the surface. The analysis
revealed that from light to severe wear, less friction material is observed on the disk’s
surface following testing. The friction film is relatively thick and continuous with
moderate wear. The film is thinner and less continuous in the high-wear mode, and
the amount of stiffness can have an impact on the stability and development of the
friction film. Copper is reported to be protected by typically combined layers (MML),
cadmium, MoSi2 , aluminum, and its alloys.
Although occasionally a small amount of oxygen is identified in the MML itself,
oxygen is typically not found in the particles in these experiments. The MML’s
proposed shape is based on recent research on aluminum–silicon alloy. The wear
expands and fractures with use. Excessive compressive and tangential loads in the
range of 20–30 m from the surface cause particles to be destroyed and reduced to
nanoscale size. Particles that rise from the table’s surface combine with the over-
loaded tissue (although this is no longer necessary), and the mixture contracts into
clear slabs under the force of the enormous hydrostatic compressive stresses that
prevail in this region [8–10]. These removable slabs offer surface protection. It is
indicated that the process is one of stress. Pressure has two different outcomes. The
surface will become damaged and deformed when the load is increased, which accel-
erates wear. Conversely, a rise in deformation causes increased compaction, which
leads to a tighter MML and significantly less wear. The MML becomes unstable and
the seal deforms to its maximum at 100 N, which also causes significant subsurface
layer destruction and shifts the machine to a high-stress region providing the neces-
sary performance characteristics. Additionally, it has been discovered that adding
alloying components to the bulk material enables one to alter the morphology of the
MML. The second section is spheroidized and a very light MML is produced by the
addition of copper and magnesium to the Al-Si alloy and the subsequent heat shield.
It was once discovered that the layer’s hardness is 3–5 times more than the bulks. This
has improved the layer’s adhesion to the substrate, and spheroidization decreased the
likelihood of fissures. When using a soft start and a transient load amplification of
1.5, the typical shock is previously decreased to three times the minimum [8].

3.2.2 Transition to Severe Wear

Additionally, it has been discovered that adding alloying components to the bulk
material enables one to alter the morphology of the MML. The second section is
spheroidized, and a very light MML is produced by the addition of copper and
magnesium to the Al-Si alloy and the subsequent heat shield. It was once discovered
that the layer’s hardness is 3–5 times more than the bulks. This improved the layer’s
adhesion to the substrate, and spheroidization decreased the likelihood of fissures.
When using a soft start and a transient load amplification of 1.5, the typical shock
64 3 Wear in Metals

is previously decreased to three times the minimum transition from moderate to

extreme wear. They watch how the load, representing the transition from light to
heavy wear, decreases with increasing sliding speed [10].
They came to the conclusion that the tissue response is stable and isothermal at
modest sliding speeds (or nominal pressures), with the particles being appropriately
deformed equiaxed excellent particles. MML is made up of these particles that have
been compressed into a film with minimal wear. For further information, there is
a critical strain for a particular velocity that leads to shear instability and strain
localization in the adiabatic medium. The production of laminate debris is caused by
this shear instability, which also causes severe wear. When the nominal strain rate
or sliding speed is increased, the strain, which denotes instability, first reduces to a
minimum and then increases.
If the critical strain exhibits such a nonlinear and no monotonic behavior with
the strain rate (which is required for shear instability) and it is assumed that the
strain rate in the sliding subsurface increases from the bulk to the surface, then
strain localization may begin on the surface or at a depth [9]. There is a critical
strain for a particular velocity that leads to shear instability and strain localization
in the adiabatic medium. The production of laminate debris is caused by this shear
instability, which also causes severe or severe wear. When the nominal strain rate
or sliding speed is increased, the strain, which denotes instability, first reduces to
a minimum and then increases. If the critical strain exhibits such a nonlinear and
non-monotonic behavior with the strain rate (which is required for shear instability)
and it is assumed that the strain rate in the sliding subsurface increases from the bulk
to the surface, then strain localization may begin on the surface or at a depth. At
this point, it is vital to inquire as to how the debris is created given the discontinuity
in the subsurface microstructure caused by metal wear during sliding. A developed
substructure suggests that the cell walls may be weak or cracked in certain areas.
It is demonstrated that these drawbacks, which depend on the material’s flexibility
in mode II, are unstable and spread, resulting in laminate fragmentation. There are
thus two different types of material responses to metallic wear. It could be dynamic
adiabatic or quasi-static isothermal. When the metal’s fracture strain is exceeded or
the plastic flow becomes unstable because the elongation limit has been exceeded,
the first one breaks up into fragments [11–14]. The latter results in inhomogeneities
and microstructural instabilities. It appears pertinent to inquire about the causes
and the parametric dependency of such instabilities given that even in tests with a
modest rate, the strain rate near the interface can be considerable. Is this relationship
between temperature and strain rate, for instance, monotonic? Promote, it may be
crucial to identify the two metals’ propensity for an unstable material reaction in
order to explain the relative wear resistance of the two metals. Accordingly, there
is a significant advancement in the field of material processing utilizing large-scale
deformation in 1980. These investigations show how internal instabilities including
adiabatic shear banding, twinning, wedge cracking, and dynamic recrystallization
emerge during compression experiments. The metal has been discovered to dissipate
more of the input power to create microstructural instability under specific strain
rates and temperature settings than when uniformly deformed and heated. These
3.2 Mild Wear and Transition to Severe Wear 65

solutions are specific to the metal’s initial microstructure [15]. These tendencies
show up as peak stress, followed by softening, nicks, and other unstable behavior
in the metal’s deformation properties. Table 3.1 lists different wear issues that exist
in the industries. The importance of this work for tribology can be summarized as
follows:
• It offers strong thermodynamic justification for his explanation of causes for local-
ized deformation and instability. As it takes place in a setting of high compressive
stresses located below the surface of the worn sliding part, this is significant for
tribology.
• It has a connection to the initial microstructure, but it is not always correlated with
hardness. There are numerous instances in tribology where the inverse relationship
between wear and hardness does not hold.
• In the temperature-strain rate space, the strain rate response is not monotone. This
offers a hint to explain some of the non-monotonic wear characteristics that have
been observed as a function of load and speed.
The wear resistance of a number of metals, such as titanium, copper, and cadmium,
has been investigated in terms of their strain rate characteristics [11]. Wear on hard

Table 3.1 Different wear that exist in the industries [13]

Sl Industrial wear problems Significant characteristic Examples
no
1 The wear of surfaces by Erosion with one supply of Valves controlling flow of crude
hard particles in a stream erodent being continuously oil laden with sand gas
of fluid renewed in a gas or fluid pumping equipment
2 The wear of surfaces by Abrasion, with supply of Digger teeth. Rotors of powder
hard particles in a abrasive continuously mixes. Extrusion dies for bricks
compliant bed of material renewed by the movement of and tiles
bed of material
3 Wear of metal surfaces in Three-body abrasion (solid Pivot pins in construction
mutual rubbing contact, abrasive-solid) with an machinery. Scraper blades in
with abrasive ongoing supply of new plaster mixing machines Shaft
particlespresent abrasive particles seals for fluids containing
abrasives
4 The wear of metal Adhesive wear and abrasion, Tools used in manufacture, such
components in rubbing but with one component in as punching and pressing tools,
contact with a sequence the wear process being sintering dies and cutter blades
of other solid continuously renewed
components
5 The wear of pairs of Adhesive wear, but with a Piston rings and cylinder
metal components in wear rate that can be very liners. Coupling teeth and
mutual and repeated variable depending on the splines. Fretting between
rubbing contact detailed operating conditions machine components
6 Component wear from Adhesive wear between two Brakes and clutches. Dry
rubbing contact between consistent components rubbing bearings. Artificial hip
metals and non-metals joints
66 3 Wear in Metals

surfaces is the deterioration, gradual removal, or deformation of the substance. Wear

can have mechanical (also known as erosion) or chemical (commonly known as
corrosion) causes. The plastic displacement of the surface and near-surface material
as well as the dissociation of the particles that make up the wear products are what
cause metals to wear. Wear is the erosion of a substance from a solid surface caused
by the action of another solid body, according to materials science. The theory of
tribology includes the study of the wear process. Surface quality degrades as a result
of machine component wear as well as numerous cycles including fatigue and creep,
which in turn causes material degradation or loss of appropriateness. The result is
depreciation and has significant financial importance, as initially noted in the Yost
report. Some estimate the cost of abrasive wear alone is between one and four percent
of the gross national product of industrialized nations [13].
The plastic displacement of the material at the surface and immediately nearby,
as well as the separation of the particles that make up wear products, are all factors
in the deterioration of metals. A molecule can range in size from millimeters to
nanometers. Various metals, non-metallic solids, flowing liquids, solid particles, or
liquid globules entrained in flowing gases can all come into touch with this cycle. The
kind of stacking (such as stationary and active), type of movement (such as sliding
and continuous movement), ambient temperature, and lubrication, particularly the
deposition, all have an impact on the wear rate, and lubricant’s border layer’s wear
cycle. Different kinds of wear and wear systems can be seen depending on the
tribosystem [13].

3.3 Steels

Steels are frequently employed in joints of the same kind, in tribological applications,
or in conjunction with other materials. Specific steel grades have been created for a
variety of uses. Some instances:
• tool steels,
• bearing steels,
• Hadfield steels,
• martensitic stainless steels for corrosive situations.
It is feasible to produce steels with a wide range of mechanical strength and crack
resistance qualities by altering the chemical composition and/or applying the proper
thermal treatments, including surface treatments [13, 14].
It is possible to reach hardness levels of up to 800–1000 kg/mm2 . Plastic defor-
mations and energy dissipation typically happen in contacting irregularities during
tribological interactions, and an increase in temperature often follows. Both of these
events can result in extremely minor localized microstructural changes in steels,
important from a tribological perspective. Table 3.2 provides a summary of these.
Events numbered 4–7 result in the material being harder, while phenomena 1–3
produce a drop in hardness at the contact asperities. The process of oxidation (No. 8
3.3 Steels 67

Table 3.2 Steel surfaces may experience surface phenomena during tribological interaction [13]
Phenomenon Type of steel Strain-induced Temperature-induced
(1) Stress relieving All – ×
(2) Recrystallization All × ×
(3) Tempering Martensitic – ×
(4) Strain hardening All × –
(5) Strain-induced-martensitic- • Hadfield × –
transformation steel
• Some
austenitic
stainless
steels
•
Martensitic
steels
containing
retained
austenite
(6) Thermal martensitic transformation Quench – ×
hardenable
steels
(7) Precipitation hardening High alloy – ×
steels
(8) Oxidation All – ×
(9) Melting All – ×

in Table 3.2) results in the production of a surface oxide layer, which, depending on
the situation, can lessen wear and friction. Only under exceptionally difficult sliding
conditions may melting (No. 9 in Table 3.2) take place.

3.3.1 Sliding Wear

Steels typically have specific wear coefficients (K) between 10–15 and 10–14 m2 /N for
moderate use. K takes on significantly larger values for adhesive wear, often around
10–12 m2 /N. The hardness of iron oxides is between 300 and 600 kg/mm2 , and it
significantly decreases with temperature [14]. Consequently, it is crucial to choose
steel that has a high degree of hardness. Appropriate hard steel would really be
especially capable of holding the oxide coating and, furthermore, not being abraded
by oxide pieces during sliding. This is clearly displayed in Fig. 3.1a for steel C60, an
unalloyed steel that contains 0.6% C, following a variety of heat treatments, including
normalization to a hardness of 200 kg/mm2 and hardening and tempering.
To achieve hardness of 300 and 450 kg/mm2 , then harden and release tension to
get a hardness of 600 kg/mm2 . The wear is mostly caused by tribo-oxidation when
the hardness surpasses 450 kg/mm2 , and the accompanying Ka values are typical for
68 3 Wear in Metals

Fig. 3.1 At p0 = 1.3 MPa and v = 0.1 m/s dry sliding on steel C60 leads to specific wear rate
depending on hardness. With the help of appropriate heat treatments, the hardness of the steel
is changed (in accordance with the changes from [13]). b Wear map for steels, based on several
literature sources, at relatively low sliding speeds and applied pressure

mild wear. It’s important to keep in mind that this procedure works best when the
fragments stay in the contact region. The idea of normalized pressure is developed
so that materials with various hardness ratings could behave similarly. For instance,
according to the results in Fig. 3.1a, the crossover between the adhesive and tribo-
oxidative wear happens at v = 0.1 m/s at hardness values between 400 and 450 kg/
mm2 , or at a normalized pressure of roughly 3104 . Using this information and other
data collected. The wear map depicted in Fig. 3.1b can be created using information
from the literature (pertaining to pin-disk tests with fragments that can stay in the
contact zone). It is clear that the normalized pressure plays a major role in determining
the boundary between tribo-oxidative (soft) wear and adhesive (strong) wear at low
sliding speeds, typically below 0.1 m/s. In actuality, it depends on how well steel can
keep the coating of protective oxides that have grown on its surface while under the
pressure that is being applied. The value of frictional heating increases with sliding
speeds greater than 0.1 m/s, and the threshold surface temperature, which triggers
softening, as well as sliding speed, determines the boundary between tribe-oxidative
and adhesive wear intense enough to prevent the steel substrate from supporting the
surface oxide layer correctly (item 1 in Table 3.2)tempering and hardening one may
create a comprehensive map of steel wear under dry friction [15].
It should be noted that sticking happens regardless of sliding speed at high normal-
ized pressures (higher than around 0.2). In these circumstances, the actual contact area
approaches the nominal area, wear (due to sticking) intensifies, and wear becomes
quite strong. High sliding speeds and high normalized pressures, or melting wear,
result in the introduction of a new area. The frictional heating in this location is so
intense that it melts the asperities and leads to a lot of wear. No melting happens at
high sliding speeds (more than 1 m/s) lower normalized pressures, and direct oxida-
tion causes (moderate) tribo-oxidative wear. Martensite can occur in the contact zones
during sliding at sliding speeds between 1 and 10 m/s (see strain-induced martensitic
transformation in Table 3.2).
3.3 Steels 69

Such production results from high flash temperatures, which lead to local austen-
itization, and swift cooling brought on by rapid heat loss from the bulk material. By
preventing thermal softening, such a martensitic layer—sometimes referred to as a
white layer due to how it appears after metallographic etching—helps to preserve the
surface oxide layer. When moving at very high speeds (v > 10 m/s), the oxide layer
thickens and plastically extends across the contact surface, allowing for effective
heat transfer and limiting the development of high average surface temperatures to
best serve your steels need to be extremely hard and able to maintain that hardness
even as the contact temperature increases in order to function well in dry sliding
applications. Thus, nitrided steels, tool steels, and carburized steels are the finest
options for dry gliding.
• Heat-treated (martensitic) steels.
• Bearing steels.
Nitrided and carburized steels will be described in the next chapter. Here the
attention will be firstly focused on tool steels, which have been specially developed
for the production of processing tools, such as dies and molds, that are intensively
subjected to sliding wear (mainly under dry or boundary-lubricated conditions). Tool
steels are classified into three groups: cold work steels, hot work steels, and high-
speed steels. Table 3.3 shows the chemical compositions, typical hardness, and impact
fracture energy values of some common tool steels (after quenching and tempering).
The steels are indicated according to the American Iron and Steel Institute (AISI)
code [16].
After machining and heat treatment, tool steels will generally have a microstruc-
ture comprising a martensitic matrix and a carbide dispersion of the added elements.
As an example, Fig. 3.2 shows the microstructure of two widely used steels, AISI

Table 3.3 Some tool steels’ chemical compositions and typical mechanical characteristics [16]
Type Hardness Charpy-V Material Typical chemical composition
of steel (kg/mm2 ) impact (AISI-code) %C %W % Cr % % Other
energy Mn Mo
Cold 650–850 3 O1 0.9 1 0.5 0.5 – –
work D2 1.5 0.3 – 12 1 1% V
tool
steel
Hot 400–700 15 H11 0.35 – – 5 1.5 1%
work Si, 0.4% V
tool
steel
High 800–1000 8 H13 0.35 – – 5 1.5 1% V
speed T15 1.5 – 12 4 – 5% V
steel
5% Co
M2 0.8 – 6 4 5 2% V
70 3 Wear in Metals

Fig. 3.2 Microstructures of AISI D2 (a) and AISI M2 (b) tool steel. Be aware that AISI D2 contains
a relatively large number of primary carbides [16]

D2 and AISI M2. Cold work tool steels (series W, A, O, and D) have a high carbon
content (more than 1%), in addition to additional alloying components including
chromium, tungsten, and manganese.
Chromium, which is particularly abundant in D-series steels, tungsten, and
manganese, is combined to generate relatively large primary carbides (usually 10
m in size), which are then hardened by the addition of manganese. These steels can
withstand temperatures between 200 and 300 °C and are relatively inexpensive. Low
carbon concentration results in increased fracture toughness in hot work tool steels.
They develop high hardness when tempered at a temperature of roughly 600 °C after
hardening as a result of the precipitation of tiny carbides (secondary hardening). Due
to this, they can sustain their great hardness at temperatures of about 540 °C. High-
speed steels are also quite strong in vanadium, tungsten, and other alloying elements
like carbon [16, 17]. Due to secondary hardening, they also display high hardness,
which is maintained even at high temperatures. High-speed steels have a clearly lower
fracture toughness than hot working steels. Cobalt, which increases hardness at high
temperatures, is also present in some high-speed steels. It is suggested to employ
steels with small and equally distributed carbides to achieve mild tribe-oxidative
wear in dry friction in order to prevent any potential abrasive action from the larger
carbides. This is crucial when sliding occurs under boundary lubrication conditions.
The relationship of steels for hot working and high-temperature environments’ hard-
ness on ambient temperature is shown schematically in Fig. 3.3 speed steel. It should
be noted that even AISI D2 cold work tool steel, if pre-hardened and tempered to a
hardness of around 700 kg/mm2 , can maintain a hardness of about 400 kg/mm2 at
temperatures as high as 600 °C. Depending on the carbon content, alloying compo-
nents, and heat treatment cycle, heat-treated martensitic steels can obtain relatively
high hardness values (usually up to 800 kg/mm2 ). After heat treatment, high alloy
steels may have some residual austenite (RA) in their microstructure.
The function of RA in steels’ slip resistance (as well as in their contact fatigue
properties) is still not completely understood. According to popular belief, if the RA is
unstable (i.e., its role is advantageous because it results in a local increase in strength
3.3 Steels 71

Fig. 3.3 Dependence of

temperature on hardness for
high-speed and heat-resistant
tool steels [17]

(due to the small amount of alloying elements) [17] and then easily transforms
into martensite due to surface shear deformation (however, the amount of RA must
be controlled to avoid excessive distortions associated with the transformation of
austenite into martensite). Instead of hardening by sliding, the PA can become a
weak microstructural zone where severe plastic deformation can be localized if it is
stable.
Martensitic steels are not suitable and pearlitic steels may be chosen in situations
requiring high fracture toughness and ductility or when heat treatment is challenging.
The cementite plates of these steels are orientated in the direction of sliding as
a result of the considerable surface plastic deformation that occurs during sliding,
which enhances mechanical strength, and has the effect of increasing wear resistance.
The interlamellar distance between the pearlites is shortened by the presence of 0.7%
carbon and 1.5% manganese in typical pearlitic steels. The slip resistance of pearlitic
steels, which range in hardness from 300 to 350 kg/mm2 , is comparable to that of
bainitic and martensitic steels [17].

3.3.2 Wear by Fatigue

The so-called bearing steels, which are specially created for the production of rolling
components and raceways in bearings, ensure the best resistance to contact fatigue.
These steels have a high degree of homogeneity, microstructural quality, outstanding
dimensional stability in service, and high hardness.
These steels are created with a high degree of surface quality and a very low
number of inclusions such as oxides, sulfides, and nitrides. As previously noted, the
likelihood of finding an inclusion of a critical size in the most stressed region, i.e., at a
distance zm from the surface, decreases as inclusion concentration and size increase
(Table 3.3). Special secondary metallurgy techniques, such as vacuum induction
melting (VIM), are currently used to create steels of exceptionally high purity as
72 3 Wear in Metals

well as vacuum arc remelting (VAR) [13]. The most used bearing steel, AISI 52,100
(commonly known as 100Cr6), comprises 1.45% chromium and 1% carbon [17]. To
obtain high hardness, usually between 650 and 1000 kg/mm2 , this steel is hardened
and tempered at about 160 °C. Before tempering, the steel is frequently exposed to
a soak at − 80 °C in order to totally remove any remaining austenite that is present
after quenching (typically approximately 6%), which helps to improve dimensional
stability.
It is obvious that the operation temperature should not be higher than 200 °C in
order to prevent the microstructure from softening. Certain steels can be carburized
(or carbonized) treatment to produce a graded microstructure with greater values of
surface hardness and, thus, higher resistance to contact fatigue residual compressive
stresses are then introduced as a result of carbon enrichment at the surface. M50 NiL
steel is often utilized in a carburized form with a surface hardness of around 750 kg/
mm2 and a hardness of more than 550 kg/mm2 to a depth of at least 1.5 mm [17]. It
typically contains 3.5% Ni, 0.13% C 4% Cr, 1.2% V, and 4.25% Mo.
Steels that have undergone surface treatment maintain good bulk fracture
toughness, making them ideal for technical applications that demand both high
contact fatigue resistance and high fracture toughness. Further increases in hard-
ness and fatigue strength may be necessary in several applications, including high-
performance aerospace engines, wind turbines, and high-speed trains. Utilizing
martensitic steels with high nitrogen content, whose combined carbon and nitrogen
content is kept between 0.6 and 0.8%, can help achieve this. A number of high-
strength steels with a sufficient level of resistance to contact fatigue, such as Cronidur
30 (X30CrMoN15-1, having 0.38% N, 15% Cr, and 1% Mo; used in the martensitic
state), are used in the life tests of bearings shown in Fig. 3.4. Assume that other kinds
of steel are needed, such as high-speed steels from the M series (such as AISI M2),
which show a secondary hardening phenomenon, if the surrounding temperature is
higher than 200 °C. It is common to employ martensitic stainless steel with at least
17% chromium in harsh environments, such as those present in aviation engines and
the paper industry. The nominal chemical composition of AISI 440C, for instance, is
1% C, 0.4% Mn, 0.3% Si, 17% Cr, and 0.5% Mo. It can achieve a level of hardness
comparable to tool steels with the right heat treatment [14]. However, this steel has
substantial eutectic carbides in its microstructure as a result of the carbon content,
which might weaken the material’s fatigue strength and corrosion resistance. Lower
chromium steels can be used in its place for these reasons. It is possible to prevent
the formation of large eutectic carbides and retain corrosion resistance in specific
situations when utilizing the aforementioned martensitic steels with a high nitrogen
content (carrying roughly 13% Cr) [14].

3.3.3 Wear of Granular Material

The steels with a microstructure made up of high-carbon martensite and large, brittle
carbides. The maximal hardness of martensitic steels (without significant carbides)
3.3 Steels 73

Fig. 3.4 Fatigue life of various high-strength steels is investigated using boundary and fluid lubri-
cation, respectively. The oil temperature is maintained at 90 °C (a) and 95 °C (b), and the Hertzian
pressure is maintained at 2800 MPa [13]

is approximately 1000 kg/mm2 , which is insufficient for many abrasive particles,

including silica particles, which are the most frequent natural abrasives. For steels
to achieve great abrasion resistance, the presence of big and hard carbides in the
microstructure is crucial. Steels are frequently utilized in environments with abrasive
wear because they may maintain some ductility even at high hardness and because
they are reasonably inexpensive. The most popular steels, sorted by decreasing use
order [13]:
(1) martensitic steels containing about 0.7% C and possibly other alloying elements
to increase their hardenability (hardness about 600 kg/mm2 );
(2) hot working tool steels containing about 1% C (hardness about 600–900 kg/
mm2 );
(3) cold work tool steels and high-speed steels containing 1–1.6% C; and
(4) pearlitic chromium-molybdenum steels containing 1% C (hardness only about
350 Due to strain-induced martensitic transformation (Item 5 in Table 3.1), these
steels initially have hardness values of around 200 kg/mm2 , but in the contact
area they reach hardness values of 400–500 kg/mm2 .
Hadfield steels and other austenitic manganese steels are employed in situations
requiring great fracture toughness, such as when mechanical parts must bear shock
loads. As a result, these steels are mostly utilized in applications that involve high-
stress abrasive wear. They are mostly employed in the cast state or as-deposited
surface layers since they are quite difficult to remove (because of the hardening effect
in cutting). Due to the shear-induced transition of austenite to martensite, manganese
steels harden during plastic deformation. If such a transition can take place during
tribological interaction, then these materials’ abrasion resistance increases signifi-
cantly. Unstable austenite, or the presence of relatively low quantities of carbon and
manganese, favors martensitic transition [13]. It should be noted that following solid-
ification, manganese steels possess a specific microstructure of carbides (iron and
chromium carbides). Therefore, to get a fully austenitic microstructure, they must
be solution-treated at roughly 1050 °C before being put into operation. Figure 3.5
74 3 Wear in Metals

Tool steels (cold

work and high-
speed tool steels).
White cast irons.

Hadfield steel
Hot work tool steels

Bainitic and martensitic steels

Ferritic-pearlitic steels

Hardness

Fig. 3.5 Diagram illustrating the abrasion resistance of some iron alloys [13]

illustrates the abrasion resistance of several iron alloys, including white cast irons,
which is depicted in a simplified manner.
Abrasion frequently takes place in an aggressive atmosphere. Austenitic stainless
steels can be employed when the medium is extremely corrosive and the abrasive
action is minimal because they also have a high level of corrosion resistance in some
media by making use of their capacity to harden throughout deformation. Higher
hardness may be required in some circumstances, in which case martensitic stainless
steels like AISI 440 should be used [17, 18].

3.4 Cast Iron

Cast irons are made of Fe–C alloys that contain 2–4% carbon and 1–3% silicon. They
are frequently employed in the production of castings, which are later used to create
various mechanical components, particularly large or intricately formed pieces. Due
to the significant silicon component of carbon, it can harden into graphite. On the other
hand, if silicon content is relatively low and the cooling rate during solidification is
high, carbon forms carbides, the composition of which relies on the alloying elements
[18].
Table 3.4 presents the main varieties of cast iron and their traits are listed in brief.
The matrix microstructures of graphite cast irons frequently resemble those of steel.
The family of malleable (or nodular) cast irons includes austenitized ductile irons
(ADIs), which have recently grown in favor. They are made using the austenitic
method, which typically involves quenching at 250–400 °C in a salt bath furnace
after austenitization at 850–950 °C.
3.4 Cast Iron 75

Table 3.4 Cast iron’s primary properties [18]

Cast iron Hardness %C Microstructure Observations
Gray Moderate (≈ <3 Lamellar graphite; Most common iron
200 kg/mm2 ) matrix: F, P, B, M
Ductile (or nodular) Moderate (≈ 2.5–4 Spheroidal graphite; High fatigue
350 kg/mm2 ) matrix: F, P, B, M, AF resistance; complex
shapes
White High 4.2–5.6 Large eutectic and Alloying elements
(420–600 kg/ secondary carbides can be profitably
mm2 ) Matrix: M, B added (Ni, Cr)
Malleable Moderate (≈ ≈ 2.5 “Flowerlike” nodular Properties similar to
250 kg/mm2 ) graphite steels
Matrix: F, P
F ferrite, P pearlite, B bainite, M martensite, AF ausferrite [18]

After being kept at this temperature for however long is necessary to stabilize the
austenite, the material is subsequently cooled to room temperature. Consequently, an
ausferrite (AF) microstructure is produced, which is distinguished by the presence of
bainitic ferrite and carbon-stabilized austenite, both of which increase the material’s
strength and ductility [20].
For instance, Fig. 3.6 shows the pearlitic gray austenitic ductile iron and iron
microstructure. A desired combination of mechanical advantages, financial savings,
and ease of manufacture is offered by cast irons. Due to the great hardness, they
have acquired by heat treatment and the addition of alloying elements, cast irons
can be used in a number of tribological applications. For instance, if sliding wear
problems occur, gray or ductile iron is typically used in homogenous applications
or in combination with steel or copper alloys (such as bronze). When it comes to
operations involving abrasive wear, white cast irons are quite helpful.

Fig. 3.6 Microstructures of an ADI and a pearlitic gray iron are different from one another due
to their respective 7.2% graphite contents, 195 average nodules, 15 m mean nodule diameters, and
25% austenite retention [19]
76 3 Wear in Metals

3.4.1 Sliding Wear

Gray and malleable irons are frequently utilized in boundary lubrication as well
as dry lubrication in tribological systems that are largely characterized by sliding
wear. Common applications include disk brakes, piston rings, cylinder liners, cam
followers, and gears. Typically, the application is used in situations when getting a
lubricant, particularly a liquid film, is difficult or undesirable.
Due to the presence of phase graphite, which is situated between two mating
bodies and protrudes above the surface, gray or malleable cast iron has good wear
resistance. This is demonstrated in Fig. 3.7 for pearlitic gray cast iron that has been
subjected to dry sliding over friction material, for instance [21].
As a result, this mechanism may work in conjunction with the development of
surface oxide to produce mild tribo-oxidative wear. Consequently, sliding is less
friction and wear. Despite having much lower hardness values, pearlitic or martensitic
gray iron has a wear rate similar to tool steel, as illustrated in Table 3.4. As can be
seen from the steels, if the contact pressure exceeds a critical value, a transition
to severe adhesive wear can occur. Figure 3.8 shows the experimental relationship
between nominal pressure and carbon content or percentage of graphite flakes in the
case of pearlite material in the transition from moderate to severe wear.
Pearlite matrix microhardness of gray cast iron is approximately 440 kg/mm2 [22].
The transient pressure has a maximum of around 3.05% C, and it should be noted.
This maximum is brought about by the fact that when graphite content rises, the
impact of the solid lubricant improves while bearing capacity falls. The percentage
of metal can endure contact stress in an area. Due to the influence of thermal softening
in the contact zones, the transition pressure for this gray cast iron likewise falls with
increased sliding speed, as is seen in steels and other alloys.

Fig. 3.7 During sliding, a graphite lamella is visible in a cross section, and when it scrapes against
the worn surface, it creates a solid lubricant effect [21]
3.4 Cast Iron 77

Fig. 3.8 Nominal pressure

in pearlitic gray iron in dry
sliding on high-strength steel
at the onset of light to heavy
wear as a function of carbon
content [22]

Instead of plates, sliding wear occurs when graphite is present as nodules (or
spheroids, malleable or nodular iron). In the presence of relatively high-pressure
ratings, resistance is increased. While the lubricating properties of graphite are essen-
tially unaffected, spheroids cause a reduced stress concentration, which lessens the
likelihood of subsurface damage that affects adhesive wear. However, for relatively
light loads, the lamellar graphite shape is preferred because it is simpler to apply
graphite flakes to the contact surface. Additionally, flake graphite dissipates heat
from friction from the contact surface better than nodular graphite because it has a
higher thermal conductivity [13, 22].
Regarding the impact of the matrix’s microstructure, it should be highlighted that
ferritic or austenitic dies should generally be avoided since they are too brittle. The
use of cast irons with a pearlitic, martensitic, or austenitic alloy is the preferred
microstructure of a matrix. In general, ADI outperforms quenched and tempered
ductile irons with comparable hardness values if the surrounding temperature is
below 250 °C because austenite retained work hardening and bainitic ferrite work
hardening improve the surface oxide layer’s ability to resist oxidation [22]. As indi-
cated, lubricated sliding under boundary circumstances is also successfully accom-
plished using gray and ductile irons. In this regard, it should also be highlighted that,
due to free graphite’s ability to minimize friction and therefore raise the tempera-
ture at the contact asperities, ductile iron with microstructure after tempering can
demonstrate stronger abrasion resistance than heat-treated steels.

3.4.2 Wear by Fatigue

Many applications where contact fatigue may occur, such as gears or cams, use gray,
malleable cast iron with a pearlitic or hardened microstructure. The primary benefits
are the potential to obtain molds through casting that are quite close to the ones that
are specified and good machinability because of chip removal.
78 3 Wear in Metals

Only around 60% of the contact fatigue resistance of steels with the same level
of hardness can be found in gray cast irons. This decline is linked to the unfavor-
able impact of graphite lamellas, which increase the concentration of stresses at the
margins of materials, causing fatigue cracks to begin. The lamellae also offer a crack
propagation channel that is energetically advantageous. As a result, gray cast iron is
typically distinguished by the obviously larger value of the coefficient n than that of
steel. Particularly after quenching, ductile iron is better at resisting contact fatigue.
Even though they do so to a lesser amount than lamellae, graphite concretions do not
offer a suitable path for crack propagation to follow. In fact, a crack’s propagation rate
can stop or at the very least slow down when it hits graphite nodules. Because of this,
steels with the same hardness have a limit of contact fatigue endurance that is only
10–15% lower than that of malleable cast irons [23]. ADIs are particularly desirable
for gears because of their ausferrite microstructure, which has a comparatively high
fracture toughness.
A strategy is to increase the nodular contact fatigue resistance. The purpose of
cast irons is to make the graphite nodules more dense and hence smaller on average.
Nodule density in nodular cast irons typically ranges from 200 to 250 nodules/
mm2 . Cast irons with more than 1000 nodules/mm2 can be produced by speeding
up the cooling process during solidification (while also utilizing high quantities of
graphitizing silicon) [13].

3.4.3 Wear of Hard Particles

As noted, white cast irons have a high level of abrasion resistance. Particularly
popular are high-chromium white cast irons with a high content of (Fe, Cr)7C3
primary carbides. These materials typically have a hardness of 850–900 kg/h. hour
mm2 and comprise the following elements: 0.3–1.5% Si, 1.2–3.5% C, 0.4–1.5%
Mn, 15–32% Cr, 1–3% Cu, and 0.5–3% Mo. Cast irons made of white martensitic
chromium-nickel are also frequently utilized in daily life. The alloy’s capacity to
harden, or its propensity to produce martensitic crystals even at very modest cooling
rates, is increased by the inclusion of nickel, which does not create carbides. The
typical composition of these cast irons is 2.6–3.6% C, 0.4–1% Si, 0.4–0.8% Mn,
1–2.5% Cr, and 3.5–5% Ni, with hardness values ranging from 560 to 700 kg/mm2 .
White after solidification carbides in an austenitic matrix form the microstructure of
cast iron. The high alloying element content of austenite causes it to stabilize at room
temperature. Then, in low abrasion stress applications, these cast irons can be used
as castings. Austenite actually changes into martensite via abrasive interactions, as
has already been seen in manganese steels [13].
However, heat-treating the alloys to produce a fully martensitic matrix microstruc-
ture is required to achieve the best abrasion resistance, including high-stress abrasion
resistance. Since chromium stabilizes austenite, it is first necessary to perform a soak
treatment at 900–1000 °C to encourage the precipitation of chromium carbides, which
destabilize austenite. Then, a martensitic matrix is created through quenching and
3.5 Copper Alloys 79

Fig. 3.9 Typical martensitic

white cast iron
microstructure [13]

unloading. Figure 3.9 demonstrates the usual martensitic white cast iron microstruc-
ture. Take note of the main carbides, which create a three-dimensional network
[23].
The high degree of hardness and observable brittleness. Many times, such as when
solidification is employed to create cylinders for rolling mills, the goal is to create
a white cast iron surface finish and a nodular cast iron core that can give the final
product enough fracture toughness (a centrifugal casting technique is used). The
kind and volume fraction of carbides, the matrix’s hardness, the size and angularity
of the abrasive particles, and other variables all affect how resistant white cast irons
are to abrasion. Since chromium carbides, as previously mentioned, have a hardness
of roughly 1500–1800 kg/mm2 , they are able to withstand the abrasive action of
particles with lesser hardness (such as silica or aluminum oxide). However, they
don’t offer particles enough resistance like SiC with greater hardness. Therefore,
alloying elements like vanadium that may create tougher carbides must be added
in the latter situation to strengthen the white cast irons’ resistance to abrasive wear
(Table 3.2).

3.5 Copper Alloys

For example, gears, bearings, and seals are only a few significant examples of tribo-
logical applications where copper alloys are utilized. This is especially true when the
contact surface is formed of steel and the environment is corrosive. Copper alloys are
distinguished by various desirable technical features, such as strong thermal conduc-
tivity and high corrosion resistance in a variety of settings, in addition to their very
good tribological characteristics (with the exception of abrasion resistance, which is
relatively low). The three most frequent copper alloys used in tribology are:
(a) Cu-Zn alloys (based on the brass family); (b) Cu-Sn alloys; and (c) Cu-Al
alloys (aluminum bronzes); Cu-Ni alloys (nickel bronzes), Cu-Be alloys (beryllium
80 3 Wear in Metals

Fig. 3.10 Typical microstructures of a cast CuSn12 alloy (a) and an extruded Cu-2% Be-0.5% (Co
+ Ni) alloy (b) are shown in the images [24]

bronzes), and (d) lead, manganese, and phosphorus, which are byproducts of the
refining process, are additional components utilized in copper alloys [13, 24].
Both the cast condition and the deformed state are used for copper alloys. Addi-
tionally, they are simple to the machine via chip removal. The microstructure of the
commonly used cast CuSn12 alloy and extruded Cu-Be alloy is shown in Fig. 3.10 as
an illustration. A Cu31Sn8 intermetallic compound and a copper-rich solid solution
of tin in copper make up the -phase and -phase, respectively, of the cast alloy’s inter-
dendritic solidification phase. This is the final joint in Fig. 3.10a and has a hard, brittle
serrated form. Its microstructure is present in the -grains and Co-Be-Ni precipitates
(beryllides) in Fig. 3.10b Cu-2%Be alloy, which also contains 0.5% Co + Ni, are
visible. Metastable Cu-Be precipitates that are finely dispersed in the matrix give it
its hardness. Work hardening and, in some situations, heat treatment are two ways
that copper alloys can be strengthened. Except for Cu-Be alloys, which can achieve
values of about 400 kg/mm2 with solution treatment and aging, the highest possible
hardness is around 300 kg/mm2 .
When sliding wear occurs, bronzes are frequently used in tribological applications.
K values of just 10–15 are used to describe the link between bronze and steel. The
following factors contribute to its exceptional slide resistance: thick oxide layer
easily forms during sliding and is properly supported by low compatibility between
copper and iron minimizes the potential for adhesive wear (and its contribution, if
present), the underlying matrix, and its compatibility; excellent thermal conductivity
to prevent material softening at high contact temperatures. For instance, the disk
discovered that pure copper (H: 102 kg/mm2 ) has a Ka value of 3.2 × 10–14 m2 /N
during a dry test of a pin [24]. K is decreased to 6.16 × 10–15 m2 /N while utilizing
the PH alloy CuBe (H: 342 kg/mm2 ). Though it has a lesser hardness (H: 242 kg/
mm2 ) and a higher thermal conductivity, the precipitation-hardened CuBeNi alloy,
Ka measured 4 × 10–15 m2 /n. When moderate tribo-oxidative wear cannot be fully
established during the running-in phase or when wear fragments do not stay in the
contact zone, adhesive wear resistance is crucial.
3.5 Copper Alloys 81

Additionally useful in boundary lubrication are bronzes. Due to their low compat-
ibility with steel, they are particularly highly resistant to abrasion. The connection
between a bronze crown and a hardened helical screw in a worm gear is an example of
typical use. The sliding conditions that are present in this instance define the contact,
and boundary lubrication is accomplished. Using synthetic polyglycol oil with EP,
Fig. 3.11a depicts the wear development of a cast CuSn12 alloy during a rolling-
sliding test at three Hertzian pressures (Additives are utilized) [24]. The running-in
stage is seen in each case. The wear rate is 260 MPa after the onset of contact fatigue
damage is discovered to be connected to the rise. Brittle interdendritic phases rich
in tin and lead have been reported to facilitate the nucleation and growth of surface
and subsurface fatigue cracks (Fig. 3.11b, c). Self-lubricating bearings frequently
use copper alloys with a 25–40% lead content. In contrast to graphite, which reduces
friction in gray cast irons, lead is essentially insoluble in copper (Fig. 3.12) and
when sliding is dispersed over the surface by lowering the coefficient of friction. The
best mechanical qualities can be found in lead bronzes (5–11% Al), or aluminum
bronzes (5–10% Lead). These alloys are appropriate for making bearings with high-
pressure ratings (more than 1 MPa) or for making gears. Cu-Sn-Mn alloys with up
to 1% Mn are close to Cu-Sn-Al alloys. A special mention should be made of the so-
called beryllium bronzes (Cu-Be alloys), which can undergo precipitation hardening
if the beryllium concentration surpasses 1.3%, achieving a tensile strength similar
to steel. They are especially well suited for power transmission applications due to
their high mechanical strength and corrosion resistance in marine and some industrial
settings. The typical Cu-Be alloy’s microstructure is depicted in Fig. 3.11b. There are
numerous Cu-Be alloys on the market. In general, mechanical strength rises along
with doping levels but thermal conductivity falls. As a result, the ideal alloy compo-
sition can be chosen depending on the desired properties. Bronzes produced using
powder metallurgy are a unique class of bronze. Most importantly, they typically
contain roughly 10% tin content and contain up to 10% residual porosity to offer the
ability to lubricate itself [18–24].
The porosity is actually impregnated with lubricant, which spreads between the
mating surfaces during operation as the temperature rises. A typical mixed lubrica-
tion is thus provided by the lubricant [25]. 1–3.5% graphite is added to the material to
avoid adhesive wear during the running-in period when the oil is still dripping from
the pores. Bronzes that include phosphorus are next mentioned. They are particu-
larly crucial in applications (like gears) where contact fatigue develops due to mixed
or boundary lubrication. The surrounding softer matrix wears out to provide reser-
voirs for lubricating oil when phosphorus precipitates into hard particles with copper
carrying the contact load [25]. The hardness of these materials is around 100 kg/mm2
and can be stronger than 400 MPa under fatigue (with a service life of 107 cycles).
82 3 Wear in Metals

(a) 0.07
350 MPa
0.06 325 MPa
260 MPa
0.05
ΔU=3.74 m/s

0.04

0.03

0.02

0.01

0
0.0E+00 2.5E+05 5.0E+05 7.5E+05 1.0E+06 1.3E+06 1.5E+06 1.8E+06 2.0E+06
Sliding distance (m)

(b) (c)

Fig. 3.11 Boundary lubricated CuSn12 cast alloys are used in a hardened steel wear test (sliding
speed: 3.74 m/s, synthetic polyglycol oil). Three different load levels for wear curves; b subsurface
cracking; and c optimal fracture path through brittle dendritic phases [24]

Fig. 3.12 After dry sliding at 1 MPa and 0.2 m/s on steel 52,100, the morphology of wear products
(a) and worn track (b) is studied in the case of Al-7072 alloy [13]. In some areas, the tribolayer is
extremely dense and compact (see arrow 1), while in others it is more scattered (see arrow 2)
3.6 Wear of Aluminum–Silicon Alloys 83

3.6 Wear of Aluminum–Silicon Alloys

Metal percentage in friction compounds can range from 5 to 50% by weight. For a
variety of reasons, including the price of particular metals and noise concerns, metal
grades are currently falling. The evacuation of heat from the friction surface and
the contribution to the composite film, which is present on the surface of both the
friction material and the rotor, are their key advantages. Copper is the metal that
conducts heat the best when there is friction, yet limits and prohibition laws in the
US encourage the use of materials devoid of copper. This fact has caused steel fiber
to resurge after declining over the previous ten years as non-steel materials became
more prevalent. The carbon content of freshly produced, however in addition, these
new fibers are frequently annealed to lessen the impacts of wear and noise. Steel fibers
typically have a carbon content below 0.1%. Heat removal significantly affects binder
retention, lowering oxidative wear in the process. Except for cellulose, which only
contributes to performing prior to hot forming and makes a minimal contribution to
the final reinforcing of the material, metal fibers, such as steel fibers, are substantially
more affordable than organic fibers and significantly increase the material’s strength.
Metal-to-metal contacts have a high coefficient of friction (more than 0.4) from a
tribological perspective because of their high cohesive forces, but in air, this contact
vanishes as surface oxides form quickly. This explains why using metals and abrasives
together is essential for preventing friction peaks and decline and controlling friction
coefficient stability. In this process of alternating high coefficients of friction (metals
on metals) and low coefficients of friction, sulfides act as mediators (oxides on
oxides).
This scenario may result in a change in the braking torque and, consequently,
noise or vibrations if sulfides and lubricants are not employed. Metals like copper,
zinc, lead, and tin alloys are often quite expensive, their prices fluctuate frequently,
and there is a current drive to lessen their use. In order to prevent rust from accu-
mulating at the pad-to-rotor interface, which would eventually lead to sticking after
parking, Zn (and to a lesser extent Sn) is predominantly utilized as a consumable
element. Currently, a different strategy is used to combat this issue. By incorporating
modest amounts of Ca (OH) into the combination of friction materials, an alka-
line environment can be produced that is less susceptible to oxidation. The balance
of all major component’s metals, abrasives, lubricants, and sulfides is the secret to
achieving a stable coefficient of friction. In conclusion, metals are the primary ingre-
dients for both heat dissipation and achieving an adequate coefficient of friction. The
advantages of the metal aluminum are its lightweight, good electrical and thermal
conductivity, and corrosion resistance [13, 24].
Internal combustion engines are commonly used for alloys of metal because pure
aluminum has poor foundry qualities by itself. However, with the right alloying
ingredients, this disadvantage can be solved. Around 1920, aluminum alloys started
to supplant cast iron pistons due to their lightweight [12, 13].
84 3 Wear in Metals

3.6.1 Alloys of Aluminum and Titanium

Alloys made of aluminum and titanium have desirable technological characteristics

and both have good corrosion resistance in various hostile situations and a rela-
tively low density (about 2.7 g/cm3 for aluminum alloys and 4.5 g/cm3 for tita-
nium alloys). Additionally, biocompatible, titanium alloys can be used in ortho-
pedic and osteosynthesis applications. Both, despite having different causes, exhibit
constrained resistance to almost all wear mechanisms.
The hardness of aluminum alloys, which can reach values of roughly 250 kg/mm2 ,
is rather modest and considerably declines with temperature. Indeed, at a temperature
of roughly 100 °C, aluminum alloys start to undergo considerable thermal softening.
As a result, at these temperatures, their specific wear coefficient and friction coef-
ficient both start to substantially rise. Strong adhesive wear transitions from light
tribe-oxidative wear at application pressure and sliding speed are at comparatively
low levels. It should be emphasized that since alumina lacks flexibility, or the surface,
the protective function of alumina, which underpins tribe-oxidative wear, is not as
efficient as, say, iron oxides in steels. Additionally, it has poor adherence to the
substrate [26].
The protective layer that develops in aluminum alloys during tribo-oxidative wear
is often a combination of oxides that also come from the counterbody. Figure 3.12,
for instance, depicts the morphology of worn products (a) and a worn track (b) in
the case of the Al-7072 alloy following dry sliding at 1 MPa and 0.2 m/s on AISI
52,100 steel [27]. Fragments appear thin and equiaxed; they develop as a result of
aluminum and iron oxides are what lead to the brittle fragmentation of the tribolayer,
or areas 2 in Fig. 6.13b. Since aluminum alloys are characterized by significant
transfer processes, adhesive wear is particularly high in these materials.
Due to the inability of certain alloys to slide, quite high contact temperatures may
result. They are unfit for non-conformal encounters, which are frequently character-
ized by significant contact pressures, for instance [27]. Because of this, aluminum
alloys are typically utilized in conformal contact situations, such as in simple bear-
ings that run under relatively light loads. Al-20% Sn, a typical alloy used in simple
bearings, is composed of a relatively hard matrix and a ductile phase (tin, which is
virtually insoluble in aluminum). Lead may also be included as opposed to tin. By
adding ceramic reinforcement, aluminum alloys can have a higher slip resistance.
Alumina or silicon carbide particles typically make about 20% of aluminum matrix
composites. The boundary between light tribo-oxidative wear and strong adhesive
wear is shifted by the presence of these particles toward higher nominal pressures
and sliding speeds [27]. However, despite their complexity in manufacturing, these
composites are still quite expensive. Building up the surface layer of aluminum oxides
through hard anodizing or thin film deposition is another technique that can be utilized
to increase the sliding wear resistance of aluminum alloys (in this chapter). Although
they can have excellent mechanical strength and do not experience thermal softening
like aluminum alloys, titanium alloys also have low wear resistance and a melting
point of 1670 °C as opposed to 660 °C for aluminum). Even if tribo-oxidation is the
3.6 Wear of Aluminum–Silicon Alloys 85

wear mechanism, titanium alloys have typical K values for dry sliding wear of about
10–13 m2 /N [28]. This is because of various factors: Given that their specific volume
is less than one-to-one in comparison with the volume of the metal, titanium oxides
have poor protective qualities. Additionally, the underlying substance is unable to
adequately harden when sliding because the oxides are not supported by it properly.
It does, in fact, go through significant plastic deformation that is easily localized
in shear zones and weakens the microstructure [29]. When the adhesive is worn,
this latter trend may also lead to a significant material transfer, which substantially
simplifies the happening of seizing. There have also been several surface treatments
suggested for titanium alloys to increase wear resistance, such as thermal oxidation
(as with aluminum, titanium has a high affinity for oxygen), anodizing, nitriding, ion
implantation, or ceramic coating; these will be discussed in the section after this one.
It is important to note that thermal oxidation is a quick and affordable treatment
that can lower the wear rate and coefficient of friction in a variety of tribological
systems. However, as the oxide layer is highly fragile and has the propensity to be
damaged and removed even at suitably low applied stresses, its thickness and density
must be optimized [30]. Using a lubricant is another way to lessen wear and friction
during sliding or rolling motion. Though, conventional lubricating oils are not always
effective when used with titanium alloys, so further research is being done to create
lubricants that would be appropriate for these alloys.
Table 3.5 displays the experimental findings of tribological tests performed using
Ti-6%Al-4%V alloy disks (with a hardness of 350 kg/mm2 and yield strength of
900 MPa) and ordinary lubricating oil SAE 15 W/40 [30] in accordance with the
“disk-on-disk” approach. The coefficient of friction is initially detected at a Hertzian
pressure of 640 MPa to be about 0.065, but soon a change to a much higher value,
about 0.3, is seen. This is a normal dry slip value. In fact, wear increased significantly
following the shift at Ka values of roughly 10–14 m2 /N. Given that the ratio pmax/
Y is so low (less than 2) at this load level, this finding is somewhat surprising. The
steel will have a contact fatigue life of more than 108 cycles in this situation. Since
wood began to be replaced in the late 1920s, aluminum alloys have been the primary
material used in airframe construction. High-strength aluminum alloys are and will
continue to be crucial airframe materials, even though their employment in future
aircraft will likely result in a slight reduction of aluminum’s significance.
Aluminum is one of the most easily made high-performance materials, which
usually directly correlates with cheaper costs. It is also a reasonably low-cost,
lightweight metal that can be heat treated to quite high-strength levels. Aluminum

Table 3.5 Results of rolling studies with Ti-6% Al-4% V disks lubricated with traditional SAE 15
W/40 oil (10% slip) [31]
Hertzian pressure, MPa ∆ factor Coefficient of friction Wear
640 0.4 0.065 (0.3) Scuffing
320 0.5 0.034 Ka = 2.64 × 10−15 m2 /N
226 0.6 0.034 Ka = 2.12 × 10−15 m2 /N
86 3 Wear in Metals

alloys’ drawbacks include a low modulus of elasticity, a somewhat poor capability at

elevated temperatures (130 °C), and in high-strength alloys, the sensitivity to corro-
sion. Depending on whether an aluminum alloy responds to precipitation hardening,
it is categorized as heat-treatable or non-heat-treatable [13]. The elements in the heat-
treatable alloys have concentrations above their equilibrium solid solubility at room
temperature and somewhat higher temperatures. Their equilibrium solid solubility
decreases with decreasing temperature. Since then, aluminum alloys have under-
gone significant advances and were initially made available in the 1920s. A better
understanding of chemical composition, impurity management, and the effects of
processing and heat treatment has led to the advancements depicted in Table 3.5.

3.7 Advanced Ceramics

For centuries and even today, tribological applications have used a variety of natu-
rally occurring ceramic materials, such as rocks (silica or aluminosilicates), marble
(mostly calcium carbonate), or traditional ceramics like glass, pottery, and concrete.
So-called advanced ceramics, including alumina, zirconia, silicon nitride, silicon
carbide, and sialon (which contain silicon nitride and alumina in different compo-
sitions), have been created in recent decades. They are perfect for wear-resistant
applications due to their high hardness, good chemical inertness in a variety of
media, and low density. Their capacity to sustain high hardness at high temperatures,
as depicted in Fig. 3.13, is particularly significant in the field of tribology. However,
the average fracture toughness of ceramics is only about 5 MPa m1/2 , and because of
brittle fragmentation may show brittle contact and wear. Modern ceramics are made
in a highly regulated manner to minimize imperfections, particularly on the surface,
in order to reduce this issue.

Fig. 3.13
Temperature-dependent
hardness for various
advanced ceramics, as well
as WC–Co hard metal and
high-speed steel for
comparison (from various
literature sources) [13]
3.7 Advanced Ceramics 87

Additionally, unique ceramic composites with microstructures that include

strengthening phases or layered structures intended to induce compressive stresses
on the surface have been produced. It is obvious that using specialized materials and/
or highly controlled production methods has a major impact on manufacturing costs.
Because metal is both more affordable and durable than alternative substrates, it is
frequently preferred to deposit the ceramic layer on it.
The powder process is typically used to create monolithic contemporary ceramics,
and the most popular techniques are liquid-phase sintering, hot isostatic and dry
pressing, injection molding, and slip casting. These technologies can be used to
create final items with intricate shapes. Additionally, simple geometric standard
pieces like slabs and bars are made. The finished product can then be created by
machining them, putting them together, and possibly adding metal components [13].
The physical and mechanical characteristics of some of the contemporary ceramic
materials used in tribology are listed in Table 3.6. The constant is also included in
the table. According to the following connection, it expresses how the hardness of
the material depends on temperature: the Greek word “Keramicos,” which roughly
translates to “burnt materials,” is where the word “ceramics” originates. They are
made from naturally occurring basic materials and have been around for more than a
millennium. Typically made from powdered materials, ceramics are inorganic, non-
metallic solids with generally high melting points that need high temperatures to
produce and be used. They often consist of a combination of combinations between
metallic and non-metallic elements, primarily O, B, C, and N, and can take the form
of oxides, carbides, borides, or silicides. Either entirely ionic or covalent and ionic
bonds combine to form their bonds.

Table 3.6 Some advanced ceramics’ mechanical and physical characteristics (information gleaned
from a variety of literary sources) [13]
Material Density Elastic Hardness (kg/ β (10−4 , KIC (MPa Thermal
(g/cm3 ) modulus mm2 ) °C) m1/2 ) shock
(GPa) resistance
(∆Tc, °C)
Alumina 3.9 380 1700 8.5 2–4 200
(Al2 O3 )
Partially 5.8 200 1300 10 500
stabilized
zirconia (PS
ZrO2 )
Sialon 3.2 300 1430–1850 4.4 6–7.5 510
(Si3 Al3 O3 N5 )
Silicon 3.2 310 1400 3.8 4 700
nitride (Si3 N4 )
Silicon carbide 3.2 410 3100 10 4 300–400
(SiC)
88 3 Wear in Metals

When compared to other materials, ceramics exhibit a wide range of intriguing

qualities, such as thermal insulation, lightness, a high specific surface area, and
resistance to thermal shock. Ceramics typically don’t deform at all. The extended
operational cycle, which enables lower maintenance costs [13], exhibits high stability
in a range of organic solvents. Because of their easy tailoring of their pore shape and
chemical inertness, they do not have hazardous effects in the marine environment
[24]. Traditional and advanced ceramics are the two categories of ceramics. Clay
(plastic materials), silica (filler), and feldspar (fluxes) are among the inorganic non-
metallic solids that make up the former, whereas oxides, nitrate compounds, carbides,
and non-silicate glass make up the latter. Ceramics are traditionally made using oxide
compositions that can be either amorphous or crystalline. They have porosity at the
micro- and larger size range and are not completely dense in many forms [25]. Clay
confers hardness and ductility to traditional ceramics, silica determines high stability
at raised melting points and high temperatures, and feldspar creates the glass phase
after firing. Bricks, tiles, glasses, and other conventional ceramic products are a
few examples. the benefits and drawbacks of conventional and innovative ceramics.
Modern ceramic components are made of advanced ceramics, which differ from
classic ceramics in their increased strength, tailorable qualities, improved toughness,
and higher operating temperatures.

3.7.1 Sliding Wear

The specific wear coefficient K of ceramics is rather low when dry sliding on a
steel bearing surface, often between 10–16 and 10–15 m2 /N (see Table 3.2). When
it comes to ceramic material adhesion, K might range from 10–12 to 10–18 m2 /N.
Therefore, very low wear rates can be attained with the right tribocouple selection.
Three primary failure mechanisms are present in dry ceramic slurry [32] and are as
follows:
(1) Wear is minimal at low loads and low sliding speeds, and K is often lower
than 10–15 m2 /N. Running-in causes the highest asperities to fracture brittlely,
creating wear particles that slide and maybe consolidate and oxidize to create
protective flakes. As a result, wear is minimal and may be caused by tribo-
oxidation.
(2) A shift to heavy wear may happen as the load rises. Wear prevails in macro-
scopic brittle contacts, where wear fragments are created as a result of fractures
spreading under the influence of surface tensile stresses brought on by friction.
(3) Even if the contact stresses are low, at high sliding speeds, a transition to signif-
icant wear is still feasible. In actuality, ceramics’ limited thermal conductivity
helps them achieve high flash points. They have the potential to result in the
development of surface tensile thermal stresses, which can then result in the
occurrence of surface fractures and wear fragments. To complete the picture,
it is necessary to consider how ambient humidity affects the sliding wear of
3.7 Advanced Ceramics 89

ceramics. If it rises, it can result in a drop in KIc, which adds to wear. Most
significantly, through tribochemical processes, moisture can interact with the
ceramic surface and produce oxide/hydroxide molecules.
Data obtained with a pin-on-disk test, operating in dry sliding and in a point
contact.
Molecules can function as soft lubricants, minimizing wear, and friction. For
silicon nitride, silicon carbide, and aluminum oxide, these effects have frequently
been seen. The experimental dependency of friction and wear on ambient humidity
in the instance of a SiC/SiC joint is illustrated in Fig. 3.14 as an illustration [33].
When sliding on water, the same advantageous effects are realized. Additionally,
it has been noted that the development of a tribochemical layer on ceramics can
greatly enhance water lubrication, which in turn increases the wear resistance of
mechanical parts operating in the presence of water, such as seals or bearings in
water pumps. Typically, as the transition pressure from low to heavy wear decreases,
as depicted in Fig. 3.15 for the alumina/alumina complex, the temperature rises to
300–500 °C. The main cause of this is the desorption of the tribochemical layer,
which results in an increase in the coefficient of friction (see Table 3.7). However,
wear becomes light again at particularly high temperatures or over about 800 °C.
At these temperatures, impurity inclusions and sintering additives primarily melt at
grain boundaries. Observations were made during a pin-disk test with dry sliding
and point contact [34].
It results in the development of a vitreous layer, which lowers friction and, as a
result, hinders the transition to extreme wear. At high temperatures, solid lubricants
like MoS2 can be utilized to further minimize wear.

Fig. 3.14 Experimental

analysis of the SiC/SiC
coupling’s friction and wear
in relation to the surrounding
humidity [13]
90 3 Wear in Metals

Fig. 3.15 Hertzian pressure

and ambient temperature
have an impact on the dry
sliding behavior of an
alumina/alumina
combination [13]

Table 3.7 For two pairs of ceramic, values for the Hertzian pressure and sliding speed transition
from light to heavy wear [33]
Coupling Hardness (kg/mm2 ) Hertzian pressure (MPa) v (m/s)
Al2 O3 /Al2 O3 1660 ≈ 1820 ≈ 0.3
SiC/SiC 3140 ≈ 1600 ≈ 1.5

3.7.2 Wear by Fatigue

Currently, rolling bearings, notably hybrid varieties, or bearings with a steel raceway,
are produced with silicon nitride, which is typically formed by hot isostatic pressing.
Due to the low material density, which lessens centrifugal forces, these bearings are
particularly well suited for extreme operating circumstances, such as high tempera-
tures and/or fast speeds. Mineral oils have been successfully used to lubricate silicon
nitride rolling bearings, obtaining a level of lubrication comparable to that of steel
components.
These materials’ contact fatigue life is on par with or better than that of the
finest bearing steels [35]. All ceramic parts should be properly made with very low
roughness and minimal levels of flaws to limit the risk of surface fatigue cracking
such as grinding fractures or residual pores, which must be smaller than 2 m.

3.7.3 Wear with Granular Material

Ceramics are especially well suited for low abrasion stress applications like conveyors
for mineral particles, which frequently use alumina. When both the impact velocity
and the impact angles are modest, ceramics are also employed to prevent erosive wear.
In applications where great erosion resistance is required even at high temperatures,
such as gas turbine parts, sinter plants, seal bearings, and pulverized coal pipes,
3.8 Cemented Carbides 91

Fig. 3.16
Temperature-dependent
erosion rates for composites
made of silicon carbide and
silicon carbide-titanium
diboride [37]

for instance, alumina and silicon carbide (harder than alumina) are employed [36].
The rate of erosion often rises as the temperature rises. Figure 3.16 illustrates the
erosion rate vs temperature for silicon carbide and silicon carbide-titanium diboride
composite. As an illustration, see Fig. 3.16 silicon carbide is used in the testing
particles as an erodent at an impact angle of 90° and a particle velocity of roughly
70 m/s. The Lawn and Swain process is consistent with the increase in wear with
temperature.
In fact, as the temperature rises, the material’s hardness reduces, the plastic zone
at the site of contact widens, and residual stresses mount, resulting in the spread of
a transverse crack. However, it should be noted that the Hn KIc product, where n =
− 0.15 and m = − 1.3, also influences the ceramic erosion rate [38]. If the increase
in fracture toughness with temperature has a significant impact, the erosion rate may
remain constant or even decrease as temperature rises.

3.8 Cemented Carbides

To create ceramic materials with greater fracture toughness, cemented carbides also
known as hard alloys or cermets have been produced. These substances are made
by sintering powder mixes of metal carbides, such as WC, TiC, and TaC, and about
3–30% metal powder, like cobalt or nickel.
The sintering process is initiated when the metal powder melts, creating a liquid
coating that wets the carbide particles. The end product is a material that is far harder
and more rigid than current ceramics, with a fracture toughness of roughly 15 MPa
m1/2 . This is due to the metal film, also known as the binder, which hinders the
beginning and spread of cracks. The majority of cemented carbides have a cobalt
matrix and tungsten carbides. Materials are furthermore created, including different
proportions of other carbides as TiC and TaC (known as triple carbides). Table 3.8
92 3 Wear in Metals

Table 3.8 Composition and mechanical properties of some common cemented carbides [37]
Designation WC (%) TiC + TaC Co (%) Density (g/ Hardness (kg/ Elastic
ISO (%) cm3 ) mm2 ) modulus
(GPa)
P20 79 13 8 12.1 1580 530
P40 85 5 10 13.4 1420 540
K20 94 11 6 14.8 1650 610
K40 89 10 8 14.1 1320 560
M20 82 6 10 13.3 1540 560
M40 86 14 1380 530

details some of the ISO-designated carbide grades, their chemical makes-ups, and
fundamental mechanical characteristics.
In general, the hardness tends to decrease while the fracture toughness rises as the
metal fraction does. Therefore, the design requirements determine the best-cemented
carbide to use. The average carbide grain size is another crucial microstructural factor.
However, submicron (0.5–0.8 μm), ultrafine (0.2–0.5 μm), and nano- (0.2 μm)
powders can also be employed. It is commonly 1–6 m. In general, hardness rises as
grain size decreases without affecting fracture toughness. Even at high temperatures,
cemented carbides have outstanding sliding and abrasion wear resistance. They are
frequently used to make chains, rolling rollers, plate-forming punches, extrusion dies,
plain bearings, seals, components, or sections exposed to abrasion. These materials
have two drawbacks: limited durability and cost and formability. Then, in order to
create components with a shape that is near to the intended one, it is important to
fully use the capabilities of powder metallurgy. The machining techniques EDM and
grinding are acceptable. As a result, HVOF frequently uses cemented carbides as
surface layers.

3.8.1 Sliding Wear

The resistance to sliding wear is extremely strong in cemented carbides. They are
distinguished by Ka values of roughly 5 × 10–16 m2 /N in dry sliding on steel,
according to Table 3.2. In general, the wear rate decreases as the hardness rises,
i.e., as the metallic bond strength and grain size of the carbide grains increase.
Figure 3.17 depicts the experimental relationship between hardness and Ka in dry
friction against steel (H: 200 kg/mm2 ) for a WC–Co hard alloy with carbide grains
of approximately 1 m in size. The cobalt bond is gradually removed during wear, and
this is accompanied by brittle fracture and crushing of the carbide grains as depicted
in Fig. 3.13. Hard alloys can continue to have a comparatively high hardness even
at high temperatures. They are therefore utilized in dry planning as well, where high
temperatures are experienced in the contact areas, like with cutting tools, for instance.
3.8 Cemented Carbides 93

Fig. 3.17 With regard to

WC–Co dry sliding against a
steel counterface, a certain
specific wear coefficient and
hardness vs binder content
[39]

These materials exhibit great wear resistance when bonded to cast iron or non-ferrous
alloys under these circumstances, however, they do not offer good sliding qualities on
steel. In fact, tungsten carbide grains break down at high contact temperatures (over
800 °C), and carbon subsequently readily diffuses into the austenitic steel phase of
the counterbody (chips in the case of cutting tools). As a result, mechanical strength
is significantly reduced, and adhesive wear is also increased. However, it has been
demonstrated that the inclusion of tantalum and titanium carbides, which are more
stable at high temperatures, greatly enhances wear resistance.

3.8.2 Wear by Granular Material

At both low and high loads, cemented carbides have strong abrasion resistance. The
results of abrasion experiments utilizing silica particles with sizes between 125 and
180 m are shown in Fig. 3.18. The test setup is similar to DSRW, except that a metal
wheel without a rubber rim is used [40]. The results, which fall within the normal
low stress abrasion range, emphasize the importance of grain size and the effect of
the binder fraction.
Particularly noteworthy is the fact that specific wear is remarkably low for grains
smaller than 1 m. The researchers found that ultrafine grades behave like a single-
phase material, preventing individual WC grains from being crushed or moved
during abrasive interaction. Obtaining ultrafine materials using spray conversion
is to produce a nanocrystalline powder that contains 0.8% vanadium carbide as a
grain growth inhibitor.
94 3 Wear in Metals

Fig. 3.18 Effect of binder

amount and grain size on
WC–Co hard alloys’
abrasion resistance [40]

3.9 Diamond and Graphite

Two examples of allotropic forms of carbon are graphite and diamond. Despite
having extremely different characteristics, both are crucial to tribology. Figure 3.19
depicts the crystal structure of graphite. This substance has the capacity to solid
lubricant due to the molecules from the environment, such as water vapor, adsorbing
on carbon planes. As a solid lubricant, powdered graphite is frequently employed.
In many applications, it also functions as a monolithic component. In the latter
scenario, the process involves combining pitch, natural graphite, and fine natural coal
or coke in an 80/20 ratio. After that, the mixture is extruded or pressed into simple
geometry finished pieces or preforms like rods, plates, and tubes for processing and
construction. At a temperature of roughly 1000 °C, products are sintered, and any
remaining porosity is either eliminated by hot isostatic pressing, phenolic resin, or
metal impregnation. Low density (1.8 g/cm3 ), low hardness (less than 100 kg/mm2 ),
low elastic modulus (from 15 to 20 GPa depending on porosity), and high thermal
conductivity (which ranges from 20 to 180 W/mK and can reach 400 W/mK in
products with a high content of graphite) are the main characteristics of graphite.
Technical graphite’s qualities are significantly influenced by the properties of the
raw material and the production process. For instance, the degree of graphitization
increases during sintering at a high temperature (over 2500 °C) and for a long time,
and materials with increasing we obtain thermal conductivity.
Industrial graphite is frequently utilized in dry environments in a variety of tribo-
logical applications for sliding wear. Pressed grades are mostly utilized in more
demanding applications in terms of applied load and sliding speed, such as mechan-
ical seals, piston rings, and vanes in vacuum pumps and compressors. Pressed grades
are primarily employed in dry bearings and electrical bushings. By adding silicon to
enrich graphite and create silicon carbide, one can increase the surface hardness of the
material. For instance, siliconized grades are utilized to make braking components
3.9 Diamond and Graphite 95

Fig. 3.19 Faceted

morphology of CVD PCD
deposited on WC–Co is
depicted in a SEM
micrograph [42]

for race vehicles. So-called carbon–carbon composites are also created for appli-
cations that need high temperatures. They are commonly utilized in the production
of airplanes and are made of carbon fiber reinforced graphite. In addition to unique
aircraft applications, brake parts are also used in the glass industry. Graphite must be
paired with suitably hard surfaces such as hardened steel (hardness often exceeding
500 kg/mm2 ), chrome materials, and advanced ceramic materials like silicon carbide
since the materials typically contain up to 15% abrasive ash. Sliding wear (caused
by sticking) is minimal with very light weights and slow sliding speeds, and the
friction coefficient is equal to short. The typical range for the coefficient of friction is
0.06–0.2, and the typical range for the specific wear rate is 10–15 N/m2 . The so-called
dust generation phase begins when the contact temperature reaches a critical point of
roughly 350 °C, where surface desorption of water molecules takes place. The rate of
friction increases to 0.4–0.5 and so does the rate of wear. The specific heat capacity
of graphite ranges from 0.71 to 0.83 kJ/kg °C, and for carbon–carbon composites, it
is around 1.4 kJ/kg °C when determining the contact temperature [41]. Diamond has
the highest hardness (up to 10,000 kg/mm2 ), highest elastic modulus (approximately
1000 GPa), highest thermal conductivity (about 2000 W/m °C), and lowest thermal
conductivity of all known materials. (0.8 × 10–16 °C−1 ) growth [41]. The synthetic
polycrystalline diamond, or PCD, is widely used in the sector. Graphite is heated
at high pressure and high temperature in the presence of a catalyst to produce PCD
powders. As a super abrasive, diamond powder is used for polishing and grinding.
As an alternative to PCD, which is normally sintered to solid metal, it can also be
sintered with metal binders (such as cobalt and nickel) to create specific parts like
machining tools [37–40].
In many aspects, PCD machining tools are comparable to cemented carbide tools;
however, the exceptional hardness of PCD machining tools enables the cutting of
highly abrasive materials such metal matrix composites and ceramics. Additionally,
PCD tools should not be used to cut ferroalloys because the high contact temperatures
cause carbon to infiltrate into the austenitic ferroalloy and seriously harm the tool.
96 3 Wear in Metals

Fig. 3.20 In the case of PCD movement on dry granite, the change in the friction coefficient [42]

Additionally, polycrystalline diamond can be created as a CVD coating. The substrate

temperature rises from 700 to 1000 °C during deposition.
Steels cannot be coated because the deposition temperature is too high. They are
typically used with cemented carbides. Poor adherence to the substrate is a drawback
of using these coatings, although it can be overcome with the right surface preparation
before diamond deposition, such as mechanical scratching or chemical etching to
remove cobalt in the case of Co-based deposition, carbides in cement [42]. Due to the
coatings’ faceted shape, excessive surface roughness is another potential drawback
(see example in Fig. 3.19). Diamonds made of polycrystalline crystals have a very
low coefficient of friction (between 0.02 and 0.04) and 0.05) for dry sliding over
ceramic material or itself. The change in the coefficient of friction during dry PCD
sliding over granite is seen in Fig. 3.20. Three loads totaling 200, 400, and 600 N are
used in the experiments, which are conducted in a block using the ring system. It is
discovered that the friction coefficient initially exceeds 0.1 during the brief running-
in period before rapidly dropping to extremely low values. The interaction of high
hardness and low surface energy results in these low values. It is assumed that the
adsorption of water molecules from the surrounding environment is what causes the
low surface energy of the PCD, which dictates the low work of adhesion [13]. Also
very low, specific wear ranges from 10–17 to 10–16 m2 /N.

3.10 Polymers

In tribology, polymeric materials are frequently employed, particularly when dry

sliding wear occurs (particularly in relation to a metal surface). To boost their
strength or make them self-lubricating, they frequently have short fibers or parti-
cles added during manufacturing. A few benefits of employing polymers include
their low surface energy, which makes them less compatible with metals, their high
3.10 Polymers 97

chemical inertness in a variety of harsh conditions, their self-lubricating qualities,

their low density (approximately 1 g/cm3 ), and their capacity to absorb shocks and
vibrations. Polymers may also be molded quite easily, primarily through the processes
of extrusion and injection molding. Rods, pipes, plates, and sheets are also used to
make semi-finished goods since they are simple to process and connect. Examples
of applications include plain bearings (often dry running), various gear types (with
the added advantage of due to their dampening ability, piston rings (dry running),
seals, and biomedical applications (certain polymers) all contribute to noise reduc-
tion. exhibit outstanding biocompatibility), lesser strength (partially limited by the
use of reinforcing elements), and lesser heat resistance are disadvantages of polymers
compared to metals.
Thermoplastics and thermosets are the two categories used to categorize poly-
mers. Thermoset polymers are tougher and stronger than thermoplastics, but they
are more difficult to produce and mold and do not exhibit melting phenomena.
Phenols, epoxies, and polyimides are examples of thermosets. The most common use
of thermoplastic polymers is in tribological applications. They could be partly crys-
talline or amorphous in the solid state. For amorphous polymers and thermoplastics,
Fig. 3.22 schematically depicts the primary mechanical properties of thermoplastics
as a function of temperature (Tg: glass transition temperature; Tf: melting point)
polymers that are entirely crystalline (partially crystalline polymers exhibit interme-
diate behavior). Four kinds of materials can be separated depending on where Tg
and (Tf ) are in relation to ambient temperature:
• A: Materials having high Tg values that are amorphous, such as polycarbonate
(PC), which has a Tg of 150 °C, and polymethyl methacrylate (PMMA), which
has a Tg of 105 °C. Since room temperature is substantially lower than their Tg,
they are mostly hard and brittle at room temperature. These polymers’ interwoven
chains make them brittle, which makes plastic flow challenging. These materials
show brittle contact when there are surface cracks.
• B: Amorphous materials with low Tg values (including rubber with Tg = −
73 °C). At room temperature, they are largely above their Tg and they are therefore
very soft and display high fracture strain.
• C: Partially crystalline materials with high Tg values (including polyamides, PA,
like Nylon 66 with Tg = 55 °C, polyether ether ketone, PEEK, with Tg = 148 °C).
At room temperature, they are quite hard and strong, and they fracture at a limited
elongation (of the order of 5%). These materials may give brittle contact at low
temperature.
• D: Partially crystalline materials with low Tg values (including high-density
polyethylene, HDPE, with Tg = − 100 °C, polyoxymethylene, POM, with Tg =
− 80 °C and typically a low content of amorphous phase, polytetrafluoroethilene,
PTFE, with Tg = − 90 °C). At room temperature, they are quite hard and ductile.
They typically give a viscoplastic contact.
The most common polymers employed in tribology are: polyamide (PA,
like Nylon 66); polyacetals or polyoxymethylene (POM); polytetrafluoroethilene
98 3 Wear in Metals

(PTFE); high-density polyethylene (HDPE) and ultrahigh molecular weight polyety-

lene (UHMWPE); polyimide (PI). In most engineering applications, they are
employed with the addition of different types of particles or short fibers, i.e., in
the form of composites. Table 6.8 lists some characteristics of polymers used in
tribology. The data are only indicative because they may vary greatly depending on
the type of polymer and production process.

3.10.1 Sliding Wear

If the contact temperature is kept low enough to maintain a moderate wear regime,
polymeric materials display strong sliding wear resistance against metals, particularly
steel. Low tribological compatibility is a characteristic of bonds forming between
polymers and metals. The contact temperature is also lowered by the relatively high
heat conductivity of metals. To reduce wear, the metal’s initial surface roughness must
be adequately optimized, as is the case with the coefficient of friction. Figure 3.21a
for polyamide 66 [11] provides an illustration of the experimental dependency of Ka
on the surface roughness of a steel counterbody. The ideal Ra values typically fall
between 0.2 and 0.4 m.
The specific wear rate of nylon 66 is depicted in Fig. 3.21b as a function of sliding
speed [13]. At a sliding speed of approximately 10 m/s, where the contact temperature
exceeds a critical value of 250 °C and severe material softening occurs, the transition
from low to high wear is evident. A number of factors, including sliding speed,
applied pressure, coefficient of friction, counterbody material, ambient temperature,
and system design, affect the contact temperature of two sliding bodies. A wear map
of polyimide with 15% graphite is shown in Fig. 3.22. It is created utilizing a thrust-
bearing testing platform with a steel counterbody [43]. When the threshold surface
temperature of 395 degrees Celsius is reached for this material, the change from

Fig. 3.21 Counterface roughness (100Cr6, modified from [13]) and sliding velocity (steel coun-
terface with Ra = 0.15 m, modified from [46]) play a role in the specific wear rate of nylon
66
3.10 Polymers 99

Fig. 3.22 Wear chart for a

dry sliding polyimide with
15% graphite against steel
[13]

moderate to severe wear occurs and it reaches °C. The product’s limitation value
between the applied pressure and the sliding speed, at which the contact temperature
reaches 395 °C, is 1 MPa m/s at 14 m/s and 12 MPa m/s at 1.71 RS. C. under the
investigated tribological conditions. For numerous polymeric materials in dry sliding
on a steel surface, Table 3.9 provides some maximum PV limits (different than the PV
limit), which are determined using a comparable test geometry [13]. As stated earlier,
polymer composites in the form of particles or short fibers are often used in various
fields. PTFE and graphite flakes are often used as lubricants to minimize friction
and wear (both due to adhesion), a steel counterbody-equipped platform for testing
thrust bearings [13]. When the critical surface temperature of 395 °C is achieved for
this material, the change from moderate to severe wear takes place. The product’s
limitation value between the applied pressure and the sliding speed, at which the
contact temperature reaches 395 °C, is 1 MPa m/s at 14 m/s and 12 MPa m/s at
1.71 RS. C under the investigated tribological conditions. For a variety of polymeric
materials sliding dry on a steel surface, Table 3.9 provides some maximum PV limits
(different from the PV limit established in Sect. 3.1.4) that are determined using a
similar test geometry [13]. As noted before, polymer composites with particles or
short fibers are frequently employed in a variety of industries. Such lubricants, such
as adhesion-based materials like PTFE and graphite flakes, are frequently used to
lessen wear and friction, whereas the mechanical strength and Young’s modulus are
increased by using glass, carbon, and aramid fibers. Sometimes both kinds of fillers
are combined to improve qualities. For instance, composites made of polyamide 66
(also known as nylon 66) that contain both reinforcing and self-lubricating additives
are frequently utilized.
Typical compositions include 30% carbon + 15% PTFE/silicone oil, 20% glass +
20% PTFE, and 15% aramid fibers + 10% PTFE. Consider the polyimide composites
provided in Table 3.10 as another illustration. The best wear resistance (high PV limit)
is demonstrated by composites containing graphite, but they also exhibit a relatively
high coefficient of friction (about 0.31) during the running-in phase.
The coefficient of friction drops to 0.1 when PTFE is added and sliding begins.
Additionally, it should be mentioned that polymers with tough fiber reinforcement.
100 3 Wear in Metals

Table 3.9 Some of the most common polymers used in tribology, in general [13]
Material Density Elastic Maximum Ka (m2 / Observations
(g/cm3 ) modulus operating N)
(GPa) temperature
(°C)
HDPE 0.96 0.4–1.2 120 10−14 to Used for piping, toys,
10−15 household ware
UHMWPE is used in
orthopedic implants
Polyamide 1.14 3.3 180 10−14 to Widely used in gears,
(nylon 66) 10−15 bearings, bushes
Polyamide + 1.2 4 180 ≈ 10−15 Graphite reduces friction
graphite and wear
Polyacetal 1.4 2.9–3.3 140 ≈ 10−15 Excellent dimensional
(POM) stability; high mechanical
properties; recommended
for precision parts
PTFE (teflon® ) 2.1–2.2 0.48–0.76 260 ≈ 10−13 Produced by powder
sintering; excellent
self-lubricating properties;
high chemical inertness
PTFE + glass or 260 ≈ 10−14 Reinforced to increase
carbon fibers strength
Polyimide 1.42 2–3 320 ≈3× Excellent mechanical
10−15 properties (up to
250 °C). Quite expensive
Polyimide + 1.5 5–14 320 ≈3× Graphite reduces friction
graphite 10−16 and wear
Phenolics 1.4 50 200 ≈ 10−14
Phenolics + 1.4 50 200 ≈2×
PTFE 10−16

The substance of the countersurface may be harmed by materials like fiberglass.

Given that glass has a hardness of roughly 500 kg/mm2 (Table 3.2), the antagonists
must be harder than this to prevent abrasive wear.
Steels should either undergo heat treatment or nitriding when being used. A
specific mention should be made of PTFE-based composites. These materials are
made by combining PTFE and fillers, pressing, and sintering them due to the high
viscosity of PTFE, even at high temperatures. Unreinforced PTFE wears down
quickly (Tables 3.7 and 3.8), but by adding the right additives, wear resistance is
significantly increased while self-lubricating qualities are maintained. Fillers are
thought to boost the material’s bearing capacity and aid in the development of a
dense and robust transfer layer [44].
Data from several sources in the literature are used to calculate the specific wear
rate, Ka, which corresponds to dry sliding tests against steel.
3.10 Polymers 101

Table 3.10 PV ceilings for various polymeric materials [45]

Material Maximum Maximum Material Maximum Maximum
PV limit contact PV limit contact
(MPa m/S) temperature (MPa m/s) temperature
(°C) (°C)
PI-15% 12 395 PTFE 0.064 260
graphite
PI-40% 12 395 PTFE 15–25% 0.45 260
graphite glass
PI-15% 3.6 260 PTFE-25% 0.71 260
graphite-10% carbon
PTFE
Acetal 0.27 120 PTFE-60% 0.66 260
bronze
Acetal-PTFE 0.12 120 Nylon 66 0.14 150

Recent research has demonstrated that a tiny number of nanofillers can signif-
icantly reduce PTFE wear by four orders of magnitude [44]. For instance, in the
stationary condition, PTFE nanocomposites reinforced with -aluminum oxide display
an extremely low rate of specific wear. After the running-in period required to create
a highly effective gearbox layer, roughly 10–16 m2 /N. One particular kind of polymer
composites includes organic friction compounds. They are typically sliding on a gray
pearlitic iron disk when utilized in vehicle brake pads. A thermosetting phenolic
polymer (10–40% by volume) is present in these composites, which keeps a variety
of additions together [45].
Friction modifiers include graphite and metal sulfide particles, which act as solid
lubricants, and Al2 O3 , MgO, and silica particles, which act as abrasives. Reinforcing
materials include metal (steel, copper, and bronze), carbon, glass, and aramid fibers.
Fillers include vermiculite (Mg silicate), barium sulfate, and mica particles, which
improve processability and lower cost. Dry sliding wear can occur at low loads and
sliding rates be disregarded.
The typical range for the specific wear rate of organic friction materials is 5 ×
10–15 to 5 × 10–14 m2 /N. Depending on the material’s composition, the coefficient
of friction can range from 0.3 to 0.6. The so-called low-metal pads are distinguished
by their substantial number of abrasives and limited amount of metal reinforcing
compared to the so-called NAO linings, another significant class of organic friction.
materials, a greater coefficient of friction and higher wear. Severe wear develops
at high weights and sliding speeds. When the critical contact temperature, which
ranges from 200 to 300 °C, is reached, the transition takes place [45]. The phenolic
polymer thermally degrades at this temperature.
As a result, the wear rate rises, the coefficient of friction falls, and the wear
rate rises exponentially with contact temperature. To avoid affecting braking perfor-
mance, this reduction must be minimized through careful material component selec-
tion. More robust materials, such as sintered metals and carbon–carbon composites,
102 3 Wear in Metals

are used in situations where fairly high temperatures are frequently achieved (such
as train or airplane brakes) use is required.

3.10.2 Wear by Granular Material

Polymeric materials have very low abrasion resistance due to their low hardness.
Ultrahigh molecular weight polyethylene (UHMW PE, thermoplastic polymer) or
high hardness elastomeric polyurethanes are excellent materials where little abra-
sion resistance is required. Elastomers are a type of polymers that, at least in some
applications, have adequate low load abrasion resistance. Particularly at low impact
velocities, they show good resistance to erosive wear by solid particles. Their low
elastic moduli and high elastic limit, which result in high elastic deformation and
rebound ability, are the main causes of this behavior. Styrene-butadiene rubber (SBR),
chloroprene (CR), and polyurethanes are the other principal types of rubber used in
addition to natural rubber, for example in the production of vehicle tires, conveyor
belts, and gaskets for the creation of cyclones, screens, and sloths [47]. Elastomeric
materials exhibit values (showing process efficiency) in the range of 10–3 –10–2 [13]
at relatively low impact velocities, which is the same as or less than that of steels.
Table 3.11 displays the outcomes.
Small impact angles (less than 10°), impact velocities between 14 and 24, and
highly angular erosive SiC particles are used in erosion tests [47]. Two natural
rubbers, polyurethane, and a number of compounds used in related fields are tested.
By dividing the erosion rate of the AISI 1018 reference steel by the erosion rate of the
tested material, the results are stated in terms of relative erosion resistance (RER).
The findings indicate that martensitic stainless steel and polyurethane are less resis-
tant to erosion than natural rubber, particularly the softer varieties. The two cast irons
put to the test are outperformed by the softest rubber as well. The authors explained
this behavior by the stronger tendency of natural rubber to rebound. Logically, hard
metal displays excellent conduct. Elastomers can only be used in engineering up to a

Table 3.11 Normalized erosion rates for engineered materials [47]

Material Hardness (kg/mm2 ) Relative erosion resistance
AISI 1018 254 1
Natural rubber 40 Shore A 14
Natural rubber 60 Shore A 3.6
Polyurethane 90 Shore A 1.1
35% Cr 5% C white iron 780 5.8
27% Cr 3% C white iron 621 3.1
Martensitic stainless steel 308 1.1
WC-3.3% Co 2300 59
References 103

particular temperature, usually between 80 and 130 °C, between their glass transition
temperature (Tg) and the melting or breakdown temperature.
Problems
Explain the following observations:
1. Briefly describe the formation of a wear particle during fatigue wear. How might
this kind of wear be impacted by oxygen or a lubricant?
2. Is it acceptable to presume that fatigue wear can be relieved by a single set of
treatments because it is explained by a single mechanism? Give justifications for
your response.
3. In general, how may abrasive wear caused by soil and plant silica be suppressed?
4. Try to locate further instances of tribology in natural occurrences by making
careful note of your surroundings. These examples are only a few. Do any of
these examples have any relevance in real life?
5. Why is the transition from mild wear to severe wear?

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Chapter 4
Graphite and Carbide Friction and Wear

4.1 Introduction

In tribological applications like bearings and cutting tools, graphite and carbide are
used as components. Low-friction materials like graphite are anticipated to be avail-
able, whereas hard carbides make sense for uses that demand durability. In addition to
this particular application, cast iron, a material with significant technological signifi-
cance, has both graphite and carbide as significant components. The wear behavior of
these two materials is briefly covered in this chapter based on the available literature
on friction.

4.2 Graphite

The facile shear of the loosely bonded layer of this lamellar solid, which gives
graphite its hexagonal crystallographic structure, has been suggested as the cause of
its excellent lubricating properties in air. The material must experience a weakening
of its interlamellar bond strength in an environment of air or water to explain its strong
lubricating property in a room atmosphere because graphite has a high interlamellar
binding energy in a vacuum and is a poor lubricant under that state. According to one
theory, when two graphite surfaces come close to one another, the charge mosaics
on them produce a net attractive force [1]. However, as gases like air are adsorbed
on the surfaces, some of the charge is neutralized, lowering the interlamellar binding
energy higher vacuum. The exceptionally low gas absorption rate accounts for the
environment’s strong peel strength and poor lubricity. Savage showed how adsorbed
gases affected friction. The frictional behavior of graphite samples with cross sections
ranging from 1.8 to 6.4 mm against copper disks 15 cm in diameter rotating at a speed
of 1370 cm/s. The disk is chemically cleaned in sodium carbonate solution, and the
calcined graphite sample is used to remove impurities. Dust-like debris is produced,

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2024 107
R. A. Al-Samarai and Y. Al-Douri, Friction and Wear in Metals, Materials Horizons:
From Nature to Nanomaterials, https://doi.org/10.1007/978-981-97-1168-0_4
108 4 Graphite and Carbide Friction and Wear

which suggests that graphite crystals fragment and form. There is much friction.
When the experiment is conducted at low pressures, y is equal to 0.8, but reversible
a decrease in value to 0.18 is seen once the atmosphere is filled with water vapor
[2]. In a vacuum, the wear rate of 0.1 mm/s decreased to practically zero at 3 mm
Hg water vapor pressure [3]. Oxygen reduced wear as well. Despite the pressure
needed to provide a wear rate similar to steam, I had to multiply it by 100. Typically,
gasses can condense, like because the speed is slowed down by ammonia, acetone,
benzene, ethanol, and diethyl ether wear. Carbon monoxide, nitrogen, and hydrogen
had no lubricating effect. Some gases are able to lubricate and hence reduce wear
for the following reasons: using the condensation-evaporation hypothesis to explain
the evaporation rate on a graphite sample in this instance. This will lessen the sliding
surface’s surface energy and, as a result, the coefficient of friction. The determined
worth of the condensation’s useful life may be in the range of 10–6 s. At the interface
of graphite and copper, it is believed that a gas with a very low boiling point like
hydrogen condenses too quickly to stay in a monolayer. It is unknown if the copper
disk’s surface roughness is consistently measured [2].
Despite the fact that the cathode approach is used to prepare all surfaces, it may be
inferred that this is significantly constant. The friction is virtually between graphite
and graphite since Author4 discovered that the disk is covered in a coating of copper
oxide that is the same thickness as graphite dust. The effort necessary to separate
the coherent water film at the interface and cause slip is attributed to a sufficiently
high coefficient of friction at m = 0.18 in the atmospheric water vapor, which gives
negligible wear. Due to copper’s superior thermal conductivity, there is evidence that
heat from friction is evacuated from the disk, but most noticeably because due to
its superior thermal conductivity, copper disk, but far less so when a graphite rod
rubs against a graphite disk. The latter scenario demonstrated that the coefficient of
friction grew as the surface speed increased sudden area of transition. Four It is shown
in a different experiment that the efficacy of condensed. The ratio of vapor to graphite
is important. Gas vapor pressure, when there is no wear rate, and p—the operating
pressure of the vapor saturation above the liquid temperature. A condensable vapor’s
ability to lubricate improved with compound chain length, it is observed. In contrast
to n-heptane, which has a chain length of 13.88 and a minimum lubricating pressure
of 8 × 104 mm Hg, methanol needs a gas pressure of at least 0.65 mm Hg to be
effective as a lubricant [4]. The latter pressure is only a few n-heptane parts per
million in regular air. This indicates that even minute volumes of the proper kind
of contaminating fluid will significantly alter the wear mode of this lamellar solid
when graphite slides over metals in a room-temperature environment. A lower value
than that obtained by savage employing non-reciprocal motion and sliding graphite
on copper is discovered in outgassed specimens of graphite under reciprocating
sliding motion utilizing hemispherical riders. However, the value of 0.45 declined
as the pressure of gases like ethyl alcohol and heptane, as well as atmospheres that
contained steam, oxygen, and air, increased.
At a pressure of 4 mm Hg, the friction coefficient for water vapor is of the order
of 0.18. The effectiveness of these gases to lubricate seems to be diminished by the
presence of contaminants in the graphite itself. If experiments are carried out at high
4.4 Wear of Brass 109

temperatures, the coefficient of friction of graphite decreases. However, before any

discernible change in the frictional behavior is noticed, temperatures in the range
of 800–1600 °C are required. It has been demonstrated that graphite’s mechanical
strength does not change with temperature. It is unclear why the coefficient of friction
has decreased [5].

4.3 Carbides

Carbide alloys are widely employed in many important industries, such as the
automotive and/or aerospace sector as components in drill bits or road headers,
or in the mining sector as components in cutting tools (turning, milling, and
drilling) for machining metal parts and as worn components in wire drawing die
or punching equipment, or in the mining industry [6]. Several carbide and cermet
microstructures are shown in this review. The main focus is on microstructures, both
those that are currently employed in the manufacturing of hard alloys and those
that have caught the interest of researchers due to novel prospective applications.
Based on their microstructure and chemical makeup, cemented carbides are sepa-
rated into four groups in this article: WC morphology and chemical composition,
cubic carbide, which includes cemented carbide and cermets, functionally classed
cemented carbides, and cemented carbide binder design. This overview also discusses
the current state of each material class as well as some of the historical background
that contributed to the creation of microstructure. The article seeks to provide a struc-
tured classification of hard alloys and introduces engineers, scientists, and researchers
to the microstructure of hard alloys. Friction investigations involved sliding several
powder metallurgy-produced carbides with light loads and slow rubbing speeds.
Studies on pairs of related carbides revealed a decrease in the coefficient of friction
at a temperature that appeared to be typical of the substance. One exception is boron
carbide, which consistently increased its coefficient of friction as the experiment’s
temperature rose. The outgassed specimen of tungsten carbide at ambient temper-
ature revealed a 0.8 coefficient of friction, which decreased to roughly 0.35 in the
900 °C temperature range. When titanium carbide is used, the value of y is below
0.40 at ambient temperature and practically half at 900 °C. The wear rates of the
carbides are modest despite the high values of friction [7].

4.4 Wear of Brass

Liu et al. [6], A long-standing objective of material tribology is the strategic modifica-
tion of material properties for low friction and low wear. When metals are employed
in sliding contact, plastic deformation plays a significant role; for this reason, it is
important to clarify the impact of the stacking fault energy and the dislocation glide
mode. Here, we investigated how friction, wear, and the subsequent evolution of the
110 4 Graphite and Carbide Friction and Wear

subsurface microstructure are impacted by the reduction in stacking fault energy.

Brass samples are evaluated in non-lubricated sphere-plate contacts with a recipro-
cating linear tribometer against Si3N4 spheres at zinc concentrations of 5, 15, and 36
weight percent. Several stages of the sliding contact’s life are covered by increasing
the sliding distance from 0.5 (one track) to 5000 reciprocating cycles comparing
the outcomes. The zinc concentration had a significant impact on the tribological
parameters of the three alloys. CuZn5 had a friction coefficient that is around 60%
greater than the other two alloys, whereas CuZn15 and CuZn36 displayed compa-
rable friction and wear findings. CuZn5 wore down much more slowly than CuZn15
and CuZn36. After the tracing of one sphere, the dislocations in CuZn5 and CuZn15
are able to self-organize into a horizontal line about 150 nm below the contact. The
characteristic is not present in CuZn36, where a flat dislocation caused slip bands
to be seen at 45° from the surface. These findings hold potential for the creation of
alloys for particular tribological applications. Brass 60/40 is a tribological material
that works well for tests because it produces repeatable wear data. Brass is a useful
material to utilize anytime the dependability of a new rig is being evaluated, as it has
been used by many professionals to investigate the mechanism of wear [7–9].

4.4.1 Wear Rate and Coefficient of Friction (COF)

The impact of fly ash particles on the wear rate and coefficient of friction (COF)
during sliding wear tests is depicted in Figs. 4.1 and 4.2, respectively. As the amount
of fly ash particles increases, the height loss decreases (Fig. 4.1a). Because particles
are routinely removed from the exposed surface, the plots become corrugated. At 0
vol%, the wear rate is calculated to be 341 10 mm/m, and at 18 vol%, it is reduced to
104 10 mm/m Hv. The graph in Fig. 4.1b demonstrates how fly ash particles help brass
composites wear down less while sliding. The composite effectively withstood the
counterface asperities’ cutting action. The principal source of a surface’s resistance
to wear is correlated with an increase in the hardness of the combined. According
to Archard’s wear expression [8], the increased hardness is what causes the greater
wear resistance. An improved resistance to cutting occurs when a surface is tougher.
Second, during any point of sliding, the fly ash particles absorb the applied stress
and lower the effective contact area.
At the start of the sliding wear, a tiny layer of the brass matrix is lost. Thereafter,
a layer of fly ash particles that protrude from the surface and make contact with the
counterface appears. As seen in Fig. 4.2, this action causes a decrease in COF. COF
goes up each wear test begins quickly and eventually achieves a constant condition.
During steady-state wear, the COF value changes within a certain range and the graph
in Fig. 4.2b displays the average value. At 0 vol%, the average COF is estimated to
be 0.62, and at 18 vol%, it is 0.24 Hv. A decrease in COF value implies an increase in
wear resistance at the sliding interface. Because of the strong contact connection, fly
ash particles are not immediately fractured or pulled away. The wear of the composite
specimen is further postponed.
4.5 Wear by Particles of Hard 111

Fig. 4.1 Shows how fly ash particles affect the Cu-40Zn/fly ash BMCs’ a height loss and b rate of
wear [8]

Fig. 4.2 Effect of fly ash particles on the a average COF of Cu-40Zn/fly ash BMCs and b COF
fluctuation [8]

4.5 Wear by Particles of Hard

The distribution of hardness within the stir zone and the impact of fly ash particles on
average hardness are shown in Fig. 4.3. At 0 vol% and 18 vol%, the average hardness
is 142 Hv and 173 Hv, respectively. The dual base had a hardness rating of 110 Hv on
average. The procedure and the addition of fly ash particles significantly influence
the hardness. The brass is considerably strengthened. The hardness is initially raised
over 140 Hv by the formation of fine grains and strain areas that are dislocation-filled.
According to the Hall–Patch connection, finer grain structure offers better mechanical
characteristics. It is advantageous to slow down the mobility of dislocations when
strain fields arise. The addition of fly ash particles drove the hardness even farther
greater than 170 Hv. SiO and Al O are the two primary components of fly ash.
Both compounds have hardnesses that are many times greater than the hardness
of brass. Therefore, as is empirically established from the rule of mixtures [8], a
harsher reinforcement naturally strengthens the base matrix. Orowan discovered that
112 4 Graphite and Carbide Friction and Wear

Fig. 4.3 Effect of fly ash particles on the stir zone of Cu-40Zn/fly ash BMCs’ a average
microhardness and b microhardness distribution [8]

a uniform distribution is useful for increasing the strengthening effect consistently.

The path of dislocation can be repeatedly obstructed and hindered by a uniform
distribution. At increasing volume fractions, the amplification of the aforementioned
strengthening effect results in an additional increase in hardness.
The grains are further purified by the higher volume content. More hardness is
transferred to the matrix as a result of the greater particle density. As the space
between particles shrinks, a significant interaction between the brass matrix and fly
ash. To distinguish it from damage brought on by liquid jets or droplets, this sort of
wear is referred to as erosion and is frequently described as particulate erosion or
particulate impact erosion. Even though the term “erosive wear” may still be used
outside of this range, particle velocities in this type of wear normally vary from 5 to
500 m/s.
Wear may also be referred to as slurry erosion if the fluid is carrying the solids.
Particles that cause erosion or abrasion may be inherent to the application; for
instance, pipelines carrying ore-water slurry in mines are exposed to particle matter,
as are equipment used for plowing or sand extraction. In other circumstances, the
particles could represent contaminants that are challenging to keep out, including tiny
sand particles carried by the air that get into the lubricating oil. Localized oxidation
or wear of tribological system components can also result in the formation of partic-
ulate matter. For instance, during the sliding wear of steels, Fe2 O3 wear particles can
form and subsequently cause more wear damage [6–8].
Simple variances in hardness and roughness between two sliding surfaces that
are not adequately lubricated might result in sliding galling: When moving over
a steel surface, a somewhat rough alumina ceramic can these kinds of wear. The
rate of material removal that results from considerable corrosion plus abrasive or
erosive wear can sometimes be higher, sometimes considerably higher than the rate of
corrosion or wear alone. These are instances of tribocorrosion, which is characterized
by the cooperation of wear and corrosion mechanisms. The key elements of corrosion
and tribocorrosion are covered. Wear that is abrasive or erosive is not necessarily
dangerous. These procedures are also useful for cutting and shaping materials, as
4.5 Wear by Particles of Hard 113

well as for polishing and grinding processes. The chemical–mechanical polishing

procedure is significant in the semiconductor sector.
Despite the fact that in reality abrasive and erosive particle sources and types can
vary despite possible differences, we shall discuss the common wear mechanisms in
the remaining sections of this chapter. The particles that cause abrasion or erosion
have by far been thought to be “solid” particles. The meaning of this term will be
clarified in more detail in the following section, along with the characteristics of
typical abrasive and erosive particles that are significant in wear. The phenomena of
abrasive and erosive wear for all sorts of materials are then covered in detail, along
with appropriate wear test methods. In Appendix C, the definition and computation
of wear rates are expanded upon [10].

4.5.1 Abrasive Wear of Engineering Materials

We have seen how mechanisms dominated by either plastic deformation or brittle

fracture can cause abrasive wear. In the first instance, the counterbody’s hardness
plays a significant part in deciding how wear-resistant it is, whereas in the second,
crack resistance is more crucial, even though hardness still matters. Fracture does not
always happen, even in materials with low fracture toughness; it is encouraged by
harsh contact conditions such as large, hard, and angular abrasive particles under high
normal load. It is discovered that there is a direct relationship between a material’s
indentation hardness and abrasion resistance in circumstances where fracture does
not significantly affect the outcome. Figure 4.4 depicts this trend for various steels and
pure metals and displays the traits of a significantly broader selection of materials.
It should be noted that the patterns in Fig. 4.4 can only be seen when the abrasive
particles are “hard” in comparison to the abrasive material; in reality, this implies
that their indentation hardness should be at least 1.2 times the surface hardness, as
we observed from the Figure illustrates that while there is a correlation between
wear resistance and hardness within each general category of materials, there is no
correlation between groups [11]. For instance, ceramics, white cast iron, and gray
cast iron can all have the same bulk hardness but very different wear resistance. Let’s
take a quick look at the causes of these variations.
The percentage of the plastic groove volume that is eliminated as it wears is a
crucial factor in determining the wear rate, assuming the wear mechanism is domi-
nated by plastic deformation. Between various material classes, the fraction varies.
Low Young’s modulus to hardness ratios (E/H ratios) favor cutting over plowing and
cause proportionally large groove volume fractions to be eliminated as wear prod-
ucts. Therefore, it makes sense that ceramic materials, whose E/H ratio is lower than
that of metals, exhibit higher wear rates for the same hardness. Due to their low E/
H values, polymers likewise have lesser wear resistance than metals with the same
hardness. The association between abrasion rate and hardness for polymers is often
worse than the sum of tensile strength and elongation, (as shown in Fig. 4.5).
114 4 Graphite and Carbide Friction and Wear

Fig. 4.4 Different materials’ two-body abrasion resistance (1/volume wear rate) as a function of
bulk hardness [12]

Fig. 4.5 There is a

correlation between the wear
rate of two-component
abrasives (using silicon
carbide as the abrasive) and
the bulk hardness of some
metals and polymers [12]

The same crystalline structure among pure metals typically exhibits a tight ratio
between E and H and so exhibits nearly constant E/H values. As a result, under
specific abrasion conditions, these pure metals’ K values fluctuate little and predict
that the wear resistance (1/Q) is precisely proportional to H. An increase in hardness
results in a drop in E/H and, as a result, a higher K value in heat-treated steels, where
4.5 Wear by Particles of Hard 115

the elastic modulus E does not depend as much on composition and microstructure.
As a result, the benefits of steel hardening are as follows: not as high as one might
anticipate from a constant K [12].
More information (Fig. 4.6) depicts an idea of the behavior of steels. Cold work
hardening has little impact on abrasion resistance because the wear process itself
results in even more severe surface deformations [13]. Contrarily, a larger carbon
content results in greater abrasion resistance even when the hardness is kept constant.
The dependence of wear resistance on hardness exhibits varied tendencies for steels
with various microstructures. Martensitic steels have less wear resistance while
austenitic steels have more wear resistance at the same hardness as pearlitic or
bainitic steels. These findings can be explained in terms of the ductility and rate
of work hardening of different microstructures: Because martensite is less ductile
than austenite, it must be removed before since the majority of the groove volume
is wear products, the K value is larger. Steels that are pearlitic and bainitic display
a middle-ground characteristic. Because residual austenite hardens during abrasion
and has high ductility, it is beneficial for solid abrasion resistance, for instance, in a
martensitic or bainitic structure.
The wear resistance of certain of the materials in (Fig. 4.6), particularly white
cast irons and extremely hard ceramics, decreases as bulk hardness increases. We
keep in mind that wear by fracture can happen in brittle materials when there are
extreme contact conditions. Maximum wear resistance will be attained in a material
with intermediate hardness and toughness levels under these circumstances due to
the fact that materials with high hardness typically have low fracture toughness and

Fig. 4.6 The effect of microstructure and composition on the relative two-component abrasive wear
resistance of steels and cast irons in respect to aluminum oxide particles with a size of 70 µm [12]
116 4 Graphite and Carbide Friction and Wear

vice versa. This idea is illustrated which is schematic but backed by experimental
data for a variety of materials [1]. It demonstrates the connection between wear
resistance (1/Q) and hardness under extreme abrasion circumstances and fracture
toughness. Materials with low fracture toughness, like ceramics, have a tendency to
be hard, and as a material’s toughness improves, so does its resistance to abrasion
through brittle fracture. Contrarily, softer and more susceptible to abrasion through
plastic deformation rather than brittle fracture are materials with high toughness,
such as metals. For these materials, wear resistance rises as the hardness increases
and falls as the toughness rises. Both hardness and toughness have a significant effect
at intermediate hardness and toughness values in materials like tool steel and white
cast iron.
The abridged image displayed (Fig. 4.7) also demonstrates how intensifying the
contact conditions for instance, by increasing the size, angularity, or normal load
of the abrasive particles leads to a greater degree of the destruction-predominant
regime and a corresponding shift of the wear resistance peak toward higher values
of fracture toughness. Many abrasive wear materials have softer matrixes with hard
phases. These microstructures can be produced during casting, forging, heat treating,
or composite materials that are made from two or more individual components. For
instance, white cast irons (such as Ni–Cr, high Cr irons or high Cr cast irons) and
hard transition metal carbides (such as VC, NbC, M3C, M6C, and M7C3, etc.)
both contain significant amounts of these materials [1]. Cobalt-based alloys (such as
“Stellite”), cast irons (such as Mo), and cemented carbides (tungsten carbides, e.g.,
WC–Co) are all frequently used as materials that resist wear. Where they are prone to
abrasion, composite materials with polymer, ceramic, or metal matrices and stronger
reinforcing components are also occasionally employed [6].
All of these materials react differently depending on how big the hard phase zones
are in relation to how much the individual abrasive particles deform the material.
The breadth or depth of the indentation created by each particle can be used to
describe the scale of this deformation (Fig. 4.7). The material will act very much

Fig. 4.7 Relationship

between “hard” abrasion
resistance and fracture
toughness for metallic and
ceramic materials [12]
4.5 Wear by Particles of Hard 117

like a homogenous solid if this size is significantly more than the size of the solid
particles (or fibers in a fiber-reinforced composite) and their separation. In Fig. 4.8,
this condition is depicted schematically (a). Due to the fine solid second phase,
the matrix’s flow stress rises (for instance as a result of precipitation or precipitation
hardening), which typically results in an increase in in resistance to wear. As a result,
the volume fraction of carbides and the resistance of hardened and tempered steels
to abrasive wear are directly correlated. Additionally, a finer distribution of carbide,
which results in a smaller interparticle spacing, improves wear resistance for a given
volume fraction of carbide. Non-cohesive particles do not have as much of an impact
on abrasion resistance as cohesive or semi-cohesive solids (created, for instance, as
a result of precipitation hardening). Figure 4.8 further illustrates the benefits of hard
carbide phases. However, it is not always the case that a high-volume proportion of
second-phase solids is desirable for abrasion resistance. The matrix must be strong
enough as well. When the matrix of a material is fragile, hard particles can operate as
internal stress concentrators because the interface between particles and the matrix
is porous. Cracks start at the interface and spread throughout the matrix. Then, in
such a material, a large volume fraction of the second phase causes enhanced wear
by fracture mechanisms [13].
The material will react unevenly if the size of the solid phase particles is greater
than the scale of abrasive damage. Depending on the load each abrasive particle
carries, its shape, the size, and mechanical characteristics of the particles of the abra-
sive and hard phases, and the matrix, the impact of the abrasive particle on the area
of the hard phase might result in plastic flow or failure. If the matrix means free
path, which measures the distance between adjacent particles, is greater than the
extent of the abrasive damage, the matrix may be preferentially removed, leaving the
solid phase without support, which is then removed by moving away the strength of
the boundary between the solid phase and the matrix will also affect how quickly
something wears out, it should be emphasized. The behavior of white cast irons is an
illustration of the issues that can develop under these circumstances. It demonstrates

Fig. 4.8 Example of the

significance of the respective
diameters of the particle
contact zone and solid phase
portions during abrasive
wear of a two-phase (or
composite) material. While
the substance reacts
consistently in (a), it does not
react uniformly in (b) [12]
118 4 Graphite and Carbide Friction and Wear

how the carbide content affects the abrasion resistance of various white chromium
molybdenum cast irons [12]. Different volume fractions of (Fe3 Cr4 ) C3 carbides
are present in the austenitic matrix of the various alloys. As the volume propor-
tion of carbide rose, the volume hardness of the alloys during indentation increased
practically linearly (Fig. 4.9a). Using garnet abrasive particles, pin-on-disk abra-
sion experiments revealed a strong link between wear resistance and bulk hardness
(Fig. 4.9b): As predicted, a higher hardness resulted in a lower wear rate. However,
an inverse correlation is discovered for silicon carbide abrasives (Fig. 4.9c): the wear
rate increased with rising carbide concentration and bulk hardness. Hard silicon
carbide particles entered the brittle carbide phase under these two-particle sliding
abrasion conditions, breaking it, but softer garnet particles did not result in fracture.
This behavior is not just determined by the abrasive’s hardness; it also depends
on the testing conditions. The wear rate of identical white cast irons caused by the
alumina abrasive steadily decreased with increasing carbide content in the three-body
wear test but with softer wear of the abrasive quartz. In accordance with (Fig. 4.9e),
the wear rate decreased to a minimum at roughly 30% carbide volume fraction before
rising once more. Once more, the breakdown of carbides is linked to the rise in wear
rate. In this instance, it is probably brought on by the quartz’s predominance in
wearing down the softer matrix, which exposed the large carbide particles and made
them more brittle.
Cemented carbides, which consist of a large volume proportion (usually 60–
95%) of very hard carbide particles in a softer and more ductile metal binder, are
frequently employed to resist abrasion and represent another class of composite
materials combining both hard and soft phases. The most widely used carbide is
cobalt-based tungsten carbide, which has a hardness range of 1900–2100 HV. Hard
alloys range in bulk (average) hardness from 800 to 2000 HV. Low binder content
and fine carbide grains are related to high hardness. Given its high bulk hardness,
abrasion of hard metal is frequently referred to as “soft” abrasion. For instance, quartz
wear, which has a hardness of roughly 800 HV, may fall under this group. “Hard”
abrasion is caused by significantly tougher abrasive particles, like silicon carbide
or diamond. Transitions between hard and soft abrasion with various abrasive parti-
cles are frequently observed, and both the wear mechanisms and the resulting wear
rate heavily depend on the hardness ratio between abrasive particles and cemented
carbide. The abrasive particles cause plastic deformation of both the carbide particles
and the binder phase under high abrasion conditions [6–12].
Wear occurs primarily in plastic plowing and cutting, with some localized asso-
ciated failure in more brittle composites. The contact area for individual abrasive
particles is typically much larger than the carbide particle size (typically 0.3–3 m),
and wear occurs in these applications most frequently. Correlation in the bonding
phase between the carbide grains is depicted in Fig. 4.10, between the abrasion resis-
tance and the mean free path (a). The highest abrasion resistance is guaranteed by
the narrow free route that results from the high-volume percentage of tiny carbide
particles. High bulk hardness results from this as well. Additionally, (Fig. 4.10a)
demonstrates the impact of the metal binder phase’s strength. For the same mean
free path, a stronger iron-nickel alloy than cobalt offers superior wear resistance.
4.5 Wear by Particles of Hard 119

Fig. 4.9 Several high-chromium white cast irons with varying carbide volumetric contents are
studied for their abrasive wear rates. Volumetric microhardness of the alloy; hairpin-on-disk tests
(two bodies) with 100 m garnet particles; pin-on-disk tests (two bodies) with 90 m silicon carbide
particles; rubber wheel tests (actually three parts) with 250 m alumina particles; rubber wheel tests
(actually three parts) with 250 m quartz [12]

An even higher improvement in wear resistance results from a further boost in the
binder’s strength brought on by heat treatment (which creates martensite).
When the abrasive particles are softer than the hard metal, the “soft” mode of abra-
sion, the wear rate is lower, and there are distinct wear mechanisms. Figure 4.10b
120 4 Graphite and Carbide Friction and Wear

Fig. 4.10 Resistance to

tungsten silicon carbide
particles (“hard” abrasion);
quartz particles (“soft”
abrasion); carbide cemented
carbide with cobalt and
iron-nickel binders to
two-component abrasive
wear [1]

demonstrates that, in the hard abrasion mode, the wear rate of cemented tung-
sten carbides with quartz is approximately one-tenth that of silicon carbide. Plastic
grooves cannot be formed in the carbide particles by softer abrasive particles. Instead,
the carbide grains are moved slightly by cyclic normal and tangential stresses, and
this repetitive tiny displacement squeezes out the metal link between the grains.
Abrasive particles can then remove the extruded binder by plastic deformation [1].
When the binder is removed, the carbide particles either detach or crack, possibly
as a result of a fatigue mechanism. There is a significant inverse link between wear
resistance and hard abrasion, as well as binder means free path, probably because
this influences how easily the binder can be extruded. These composite materials’
complicated behavior exemplifies the fundamental principle that “wear resistance”
should never be taken into account as an intrinsic quality of a material. The material’s
composition and microstructure are crucial factors in determining wear rate and wear
mechanisms, but environmental factors also play a significant role [1].
4.6 Fretting Wear of Metals 121

4.6 Fretting Wear of Metals

A modest oscillating movement between two solid surfaces in contact is referred to

as fretting. Usually, but not always, the movement is perpendicular to the surfaces.
Surface failure, also known as fretting damage or fretting wear, usually occurs when
the amplitude of motion is between 1 and 300 m. Despite the fact that fretting wear
is technically just reciprocating sliding wear with very little displacement, there are
enough variations in wear rates and mechanisms to justify the use of a different word.
The primary distinction between fretting wear and sliding wear is that, because of
the smaller displacement amplitude in the former situation, debris is more likely
to remain in the contact zone and affect wear progression. As you slide, abrasion
frequently happens between surfaces that should be fixed in relation to one another
but yet experience modest oscillatory relative motion. Wear typically originates from
the intentional movement of surfaces. Vibration is frequently the cause of these little
displacements. Hubs and disks pressed into rotating shafts, splined couplings, riveted
or bolted joints, spaces between steel rope strands, and the spaces between rolling
elements, and their raceways in ostensibly stationary ball and roller races are typical
examples of areas where galling can happen. Vibration can also produce fretting
damage at the places of contact between products when they are not properly wrapped
for shipping [10–14]. Connections may become loose due to fretting wear, which
will increase vibration and lead to more wear. Given that fretting wear is primarily
Fretting wear also has the potential to cause the seizure of components made to slide
or spin with a small gap because it creates oxides, which in most metals take up more
space than the metal from which they originate. The ease with which wear particles
can exit the contact zone determines whether galling causes enhanced clearance or
seizing. The development of fatigue cracks in the damaged area, which significantly
reduces the fatigue strength of the cyclically loaded component, is another noteworthy
occurrence linked to fretting damage. The cyclic displacement that causes fretting
damage is frequently directly related to the cyclic loading that results in fatigue
crack propagation, which results in the largest reduction in fatigue strength when
the fretting process and cyclic stress occur together. Fretting fatigue is the failure of
fatigue as a result of fretting damage. Fretting wear is typically investigated in the lab
using simple geometrical systems, such as spheres on planes, cylinders on planes, or
crossed cylinders [1].
The conditions in the contact zone can be theoretically studied for elastic loading,
when a sphere is under normal load, when a cylinder is in elastic contact with a
flat surface, and the contact pressure is highest in the center of the contact circle
and decreases to zero at the edges. This pressure distribution for a circular contact
is shown in Fig. 4.11, along with a top view of the contact region. The edges of
the contact zone, where the normal pressure is lowest and there is consequently
the least frictional stress resisting the movement (Fig. 4.11c), may experience some
displacement if a tiny cyclic tangential force is superimposed on the normal force.
The contact zone can therefore be split into two areas: an annular zone around the
center, where there is no relative tangential motion, and a central zone, where there
122 4 Graphite and Carbide Friction and Wear

is If a cyclic torque (around the vertical axis) is given to the sphere instead of a
tangential force, a similar phenomenon is seen [4]. Microslip damage is caused by
fretting. The middle region where slip does not occur narrows as the amplitude of the
cyclic tangential force rises, eventually causing slip to occur throughout the whole
contact surface (Fig. 4.11d). Typically, a macroscopic displacement is employed in
laboratory abrasion experiments, and the force Q that opposes this displacement is
quantified; this information can be used to define the idea of a fretting loop (Fig. 4.12).
The applied displacement amplitude and the contact slip amplitude are not the same
because of the system’s compliance, and there is frequently a different strength.
When sliding, which is typically related to the worn track’s geometric evolution.
The area circumscribed by the loop determines the energy dissipated per cycle, Ed,
and the sum of these areas across all cycles determines the total frictional energy
dissipated during the test. In lab tests using a sphere on a plane, Fig. 4.12 illustrates
examples of fretting damage to a steel plate where (a) microslip only happened on

Fig. 4.11 Elastic normal

stress distribution when
pressing the sphere against
the plane (a). Views in terms
of contact with rising cyclic
tangential force values are
displayed in (b–d). The areas
that are darkened are those
where there is localized
surface slipping (open
access)

Fig. 4.12 Stainless steel sphere’s small-scale cyclic displacement relative to a plane made of the
same material causes surface fretting damage in two ways: a partial adhesion provides less damage
in the pad’s center, and b extreme slippage damages the entire area [15]
4.6 Fretting Wear of Metals 123

a portion of the contact circle and (b) slip and damage occurred over the entire
surface. Figure 4.13 on the diagram displays typical load settings and displacement
amplitudes for full tack, mixed slip, microslip, and coarse slip in these studies at a
constant normal. When the normal load is reduced at a constant amplitude, a similar
consequence happens when the cyclic tangential displacement amplitude increases,
increasing the degree of slip. Fretting wear is often measured in terms of loss of mass
or volume from the surface and is most noticeable at the contact zone vulnerable to
slippage. As a result, it is beneficial to represent the wear rate as the specific wear
rate k for continuous sliding wear because it has been discovered that the wear rate is
roughly proportional to the normal load. The volume lost due to wear per unit of the
sliding path per unit of the normal load, and the slip distance is the specific wear rate
simply according to the test’s duration, vibration frequency, and cyclic slip amplitude
(remember that the amplitude of the slip is not the same as the amplitude of the applied
displacement). By measuring the degree of wear, the value of k enables comparison
of test results under various normal loads and amplitudes. Another option is to plot
the wear volume as a function of the total energy wasted during the test duration)
and the particular wear rate [i.e., volume lost per unit time] (which is identical in
dimension to the normal definition of k). As an illustration, fretting made of titanium
alloy as seen in Fig. 4.13, the relationship between “Archard’s work” (the sum of the
applied load and the total slip distance) and the dissipated energy is direct, with a
constant of proportionality equal to the coefficient of friction [16].
Figure 4.14 illustrates schematically how the applied displacement amplitude
affects the fretting wear rate of steels as determined in this manner. The wear rate
is insignificant at amplitudes below 1 m. There is minimal damage and no major
microslip in the contact under these circumstances. Microslip develops and the wear
rate gradually rises as the amplitude rises.

Fig. 4.13 Diagrammatic representation of fretting modes for sphere-on-plane geometry in coun-
terformal contact between stainless steel surfaces [17]
124 4 Graphite and Carbide Friction and Wear

Fig. 4.14 Correlation

between “Archard’s work”
and frictional energy lost
during fretting of titanium
alloys; the gradient of 0.77
represents the coefficient of
friction [16]

When there is a significant slip (at amplitudes > 10 m), k rises quickly before
leveling out at the constant value anticipated for reciprocating sliding wear at ampli-
tudes > 300 m. Debatable fretting amplitudes exist where, on the one hand, the
damage is negligible and, on the other, the process is identical to reciprocating
slide. They obviously depend on the material’s mechanical characteristics. It has
been observed that different values exist; the damage threshold in some systems is
0.5 m, potentially even 0.1 m, while the transition to sliding wear (denoted by an
amplitude-independent k value) happens at amplitudes as low as 50 m. A cyclically
loaded sample’s fatigue life is also influenced by the fretting displacement’s ampli-
tude on the outside. The transition from mixed microslip and sticking in the contact
zone to rough sliding is where the minimal fatigue life occurs. It can be demonstrated
that in the mixed mode of stick–slip, the strongest alternating loads on the surface
happen at the boundary between the two zones, and as a result, it is here that fatigue
cracks first show signs of commencement. In practice, failure due to fretting fatigue
is most likely at loads and fretting amplitudes that are only responsible for low-wear
rates, since here high stresses are not reduced by wear. It is important to note that the
conditions that provide the lowest fatigue life do not correspond to the conditions
that provide the highest wear rate before this material wear process is removed, and
cracks may start in the material and spread [15].
When fretting, the average sliding speed is quite slow 2 mm per second for a
displacement amplitude of 20 m at a frequency of 50 Hz. Unidirectional sliding wear
in steels at such low speeds and at somewhat high normal pressures should produce
severe wear, as illustrated by the link to Fig. 4.15.
The early phases of fretting wear do experience this which leads to low electrical
contact resistance and an initial wear rate similar to unidirectional sliding. Even
at the same pace, fretting is different from continuous sliding because it makes
it more difficult for wear to elude the contact zone. The early stage metal sludge
pieces undergo further abrasion in an oxidizing atmosphere, which leads to their
oxidation as well as plastic lubrication. Wear products from stationary fretting wear
of steels are very small (0.01–0.1 m) lamellar particles, primarily Fe2 O3 with an
4.6 Fretting Wear of Metals 125

Fig. 4.15 Relationship between fretting wear rate and displacement amplitude for a variety of
steels [17]

admixture of metallic iron, with an unusually reddish hue. corrosive substance. It

is also known as “red rust” in common parlance. The corresponding wear rate is
substantially lower than during the initial phase, and the wear debris appears to
be created by delamination from a very thin mixed oxide/metal composite surface
layer severely worn. The wear rate decreases when the loss of debris from contact
becomes more challenging. For instance, during fretting, a slight rise in ambient
temperature can induce debris to sinter at the site of contact (glaze formation), which
results in a considerable decrease in wear rate. Other metals also deteriorate in a
similar manner; however, the length of the initial stage varies according to mechanical
characteristics and oxidation rate. For instance, titanium develops oxide particles
practically immediately when fretting wear starts. When created, the fretting particles
in some materials could be too tough to prevent additional abrasion.
For instance, the majority of the dark, finely distributed Al2 O3 found in the debris
created by aluminum is compared to aluminum itself, quite challenging. Although,
as we have seen, the earliest stages of fretting wear are not connected to an obvious
chemical attack, the term fretting corrosion has become a synonym for fretting wear
due to the importance of oxidation in fretting wear and the fact that debris after the
initial stages is predominantly oxide. It is preferable to limit the use of the term
“fretting corrosion” to situations like the stationary fretting wear of most metals in
air, where the garbage is primarily the result of a chemical reaction and to use the
more general term “fretting wear” to refer to all types of wear caused by fretting
motion. When oxygen or other reactive chemicals are removed from the atmosphere,
a substantial alteration in the metals’ fretting behavior (often to a change in the wear
rate). Metal particles are transferred from one surface to another during fretting in
an inert atmosphere, but not much leaves the contact zone. Despite the absence of
126 4 Graphite and Carbide Friction and Wear

volumetric changes related to oxide production, there is still substantial damage that
can start cracks and cause anxiety fatigue. Although the exact mechanism is still
under discussion, it is obvious that water vapor either modifies the nature of the
debris or alters how the debris is maintained (or lost) on contact. Water vapor also
impacts the rate of fretting wear in the air. Regardless of the method, it is evident
that regulating humidity in experimental studies of Worrying is [17].

4.7 Metal Wear in Lubricated Contacts

The ratio between the lubricating layer thickness and the RMS roughness height
controls the lubrication behavior in a liquid-lubricated system. A rise in the typical
contact load, a reduction in lubricant viscosity, or sliding speed causes a reduction
in film thickness. When the asperities on opposing surfaces do not meet during full-
film hydrodynamic or elastohydrodynamic lubrication (EGS), the wear rate will be
very low. We enter the partial (or mixed) EHL mode, though, if decreases to below
approximately 3. The wear rate in this situation will unavoidably be higher than it
would be with a full film. Only the existence of a barrier or solid lubrication can
cause 1 to. These lubricants are essential for lowering wear rates in mixed lubrica-
tion systems and preventing the wear rate from rising to the level typical of a system
without lubrication. Figure 4.16 depicts these lubrication and wear types schemat-
ically. Additionally, it displays the variation in the coefficient of friction, which is
represented by the Stribeck curve seen in Fig. 4.16. The typical values of the metals’
specific wear rate (k) are shown. The relative variations across various regimes repli-
cate generally observed behavior, despite the fact that the absolute values of k range
significantly between various systems. The International Engineering Materials Wear
Study Group, supported by the OECD, developed the IRG transition diagram as an
alternate approach for reporting lubricated wear data. The IRG chart uses coordinates
that indicate typical load and sliding speed to map out the lubricated wear patterns
[18].
Experiments with concentrated (counterformal) contact geometries, such as a
sphere on a flat surface or crossed cylinders, are used to discover the boundaries
between the regimes. A typical IRG transition diagram for sliding steel over steel
totally submerged in an oil bath at constant temperature is shown in Fig. 4.17. Three
regions, known as I, II, and III, are divided by the borders. Partial EHL is corre-
sponding to mode I. Typically, the coefficient of friction is between 0.02 and 0.1 and
is constant at this level for a long time; after a relatively brief transient higher value,
there are phases of operation. In the beginning, the wear rate may be quite high, but
it decreases quickly and keeps decreasing with more sliding, eventually becoming
very low (at a specific wear rate of k 109 mm3 N1 m1 ). The following is an expla-
nation for this behavior. The material is lost due to oxidative wear during the initial
slip as a result of local heating and oxidation of imperfections caused by frictional
contacts. One way to characterize the setting is as a light wear mode. Wear causes
precipitation to be removed from the surfaces, increasing the effective value of and
4.7 Metal Wear in Lubricated Contacts 127

Fig. 4.16 As a result of the relationship between film thickness and surface roughness, lubrication,
and wear patterns in lubricated metal sliding [18]

transitioning the situation from partial to full-film EHL. This results in minimal and
steady levels of friction and wear level. The initial coefficient of friction in mode II
is typically 0.3–0.4 higher than in mode I for steels. Although it is appropriate for
some technical applications, the wear rate is considerably higher (k 106 –108 mm3
N1 m1 ) [18].
The border in this mode is due to high contact pressures and subsequently low
values of lubrication predominate; liquid film effects can be disregarded. It decreases
(to roughly 0.1) after a longer run-in than in mode I; this decrease is mostly caused
by the general oxidation of the sliding surfaces (despite the fact that oxygen access
is more limited by the presence of lubricant).
Fluid film lubrication may become significant as wear progresses and surfaces
grow smoother, leading to stable sliding being maintained under partial or even
complete EHL conditions. Although the lubricant itself restricts oxygen’s ability to
reach contact, wear under stationary conditions in mode II is oxidative in origin.
However, the initial greater wear rate during burn-in is connected to adhesion mech-
anisms involving unprotected harsh interactions; this is seen as the beginning of
a scuff (see below). No amount of lubricating film (boundary or partial EHL) can
128 4 Graphite and Carbide Friction and Wear

Fig. 4.17 Illustration of an IRG transition diagram for the counterformal contact of steel
components fully submerged in oil [18]

avoid metallic contact in mode III due to extreme circumstances. Between effectively
lubricated surfaces, rapid wear happens. For k > 105 mm3 N1 m1 , the coefficient of
friction is typically between 0.4 and 0.5. Scuffing is a common term used to describe
this type of wear mode in concentrated contacts that is linked to lubrication failure.
The lower transition curve (solid line) on rice represents the breakdown of partial
EMF, which results in either boundary lubrication (i.e., the transition between modes
I and II) or, at greater sliding speeds, immediately in dry sliding and scuffing (I to III).
The thickness of the film is increased by increasing either of them, which raises the
contact’s bearing capacity. Because the oil’s viscosity is practically constant at very
low sliding speeds (Fig. 4.18), the transient load does rise with sliding speed. The form
and location of the lower transition curve are mostly determined by thermal effects,
which become significant at greater speeds. The impact of raising the sliding speed
is outweighed by the effect of frictional heating in the contact zone, which causes
a decrease in the local viscosity of the lubricant and relates speed to a reduction in
film thickness [1, 6, 12, 15, 17].
As a result, as speed increases, the bearing capacity of the contact diminishes.
The roughness of the surfaces, the lubricant’s viscosity, and its sensitivity to temper-
ature and pressure are the main determinants of the lower transition, which is mostly
characterized by mechanical factors. Transient loads in the absence of oxygen can be
much lower than in air, indicating that chemical effects also play a supporting role.
The composition of the lubricant, particularly the presence of boundary lubricating
or EP additives, is also crucial. On the other hand, the top transition, from boundary
lubrication (mode II) to sliding wear and scoring without lubrication (mode III), is
primarily influenced by chemical factors. It is strongly influenced by friction, not
lubricant viscosity or starting surface roughness the surfaces’ microstructure and
4.7 Metal Wear in Lubricated Contacts 129

Fig. 4.18 Wear volumes for

polycrystalline alumina as a
function of sliding speed for
three different loads, derived
from experiments in a
ball-on-three-flats sliding
geometry [19]

chemical makeup, as well as the lubricant’s chemical composition. Scuffing is a

phenomenon that occurs in lubricated systems and has significant practical implica-
tions since it causes excessive wear and friction. There is evidence that the critical
surface temperature is reached when scuffing begins, potentially as a result of some
border lubricant desorption that exposes the crucial area of the naked, unprotected
surface. As a result, galling can be prevented by reducing the rate at which frictional
energy is dissipated, whether by reduced friction, slower sliding, or reduced load.
Since the system must go through boundary lubrication (II) before galling may occur,
as can be shown in the transition diagram, for low sliding speeds, some notice of
approaching galling can be given. The galling is complete. However, the system will
rapidly change with increasing load from a desirable partial EHL state (mode I) to
catastrophic scuffing at greater speeds than the bifurcation speed Us (mode III). To
improve scuff loading, a robust boundary lubrication coating is crucial, along with
adequate EP or anti-wear additives. Additionally, surface oxidation has lubricating
properties that make it useful for enhancing boundary lubrication adhesion. Fe3 O4 ,
for instance, during sliding in lubricated air generates a polymeric coating with low
shear strength on steel asperities. Contrarily, abrasive Fe2 O3 that develops on steels
when they slide in the presence of water increases rather than decreasing the like-
lihood of abrasion. Running under greased conditions, circumstances often involve
surface smoothing brought on by wear of higher asperities, as well as the production
of beneficial oxide coatings, typically tens of nanometers thick, by local thermal
oxidation o.
The characteristics of the sliding surfaces play a significant role in regulating the
incidence of scuffing. Dissimilar metals should have higher abrasion loads because
they are less likely to stick at roughness contacts than similar metals. However,
strength and cost concerns govern the use of steel in many technical applications. It
has been demonstrated that alloying components have an impact on the development
of galling in steels via altering the surface chemistry and by altering the microstruc-
ture of the steel; for instance, an increase in the fraction of retained austenite in steel
results in a downward shift in the upper transition curve; and as a result, the adhesive
130 4 Graphite and Carbide Friction and Wear

force of boundary lubricants. Similar results are seen while fretting in lubricating
environments. The presence of lubrication can lessen fretting damage, but it can also
increase it because of the slower rate of oxide production brought on by the lubri-
cant. The viscosity of a lubricant is influenced by the sliding speed (dependent on
the stroke and oscillation frequency during fretting) and the applied load, just like in
the case of sliding wear. Fretting contact lubrication will alter the mode and pace of
deterioration; This can be helpful, but caution is required. Not to become worn out
from the dominance of plasticity. At low fretting strokes, when there is inadequate
carryover of lubricant into the contact and the lubricant is extremely effective in
controlling oxidation of the wear surfaces, significant damage has been reported in
grease-lubricated fretting contacts (and the reduction in wear rate that usually results
from this) [1, 6, 12, 15, 17].

4.8 Wear Transitions

Ceramics can exhibit sliding wear mechanisms due to fracture, tribochemical reac-
tions, or plastic flow. According to the load, sliding speed, or environmental factors
(such as humidity or oxygen content), the transitions between the modes described by
each of them typically result in abrupt changes in wear rate, as shown in (Fig. 4.18). As
with metals, the terms “mild wear” and “heavy wear” are frequently used to describe
the conditions on either side of a transition. Low-wear rates, smooth surfaces, notice-
able friction marks, wear processes driven by plastic flow or tribochemical reactions,
and low-wear rates are all indicators of mild wear in ceramics.
Wear products are frequently finely scattered and may have a distinct chem-
ical composition from the slide’s base material, for instance, as a result of oxida-
tion or hydration. Contrarily, high wear results in a higher wear rate, a rougher
surface, an unstable friction mark, and wear processes dominated by brittle frac-
ture. Wear residues frequently have an angular shape and are chemically identical to
the substrate. The wear factor (K) or specific wear rate of ceramic materials often
complies with Archard’s equation well enough, exhibiting a linear dependence of
wear on sliding distance and load. Useful values are (k). K values of 104 –102 are
typical for structural ceramics with heavy wear, whereas K stands for moderate wear
[19, 20].
There is a 10–100-fold reduction in wear. Sliding wear data for polycrystalline
alumina specimens from studies performed in dry conditions with a sphere-on-plane
geometry. The system displays moderate wear at low loads across the whole tested
sliding speed range. An increase in sliding speed at increasing loads can lead to the
transition to intense wear, including intergranular fracture, with the transition taking
place at decreasing speeds as the load rises [16–19, 21–25].
4.9 Chemical Effects 131

4.9 Chemical Effects

As a result of the reactions detailed in Sect. 3.6, which begin with the creation of
SiO2 , the sliding of Si3 N4 in air containing water vapor results in the formation of a
surface layer of hydrated silicon oxide:

Si3 N4 + 6H2 O 1/4 3SiO2 + 4NH3 (4.1)

A source of wear products is silica production, which is frequently followed by

some degree of hydration. This coating of silica lessens friction by having a lower
shear strength than bulk ceramics. Adsorbed water on the surface might also facilitate
plastic flow because of the Rehbinder effect. The tribochemically reacted layer stops
acting as protection when the sliding speed grows, the interface temperature rises,
and the coefficient of friction rises. Surface shear stress that is higher produces
cracking and a change from low wear (mostly tribochemical in nature) to high wear
(with extensive brittle fracture). As a result, the surface roughness increases, which
raises the coefficient of friction. The coefficient of friction for self-conjugated silicon
nitride moving through water can be as low as 0.002. It is suggested that the silica
layer increases to a threshold thickness before delamination when sliding in water
(Fig. 4.19). An illustration of the environmental sensitivity frequently observed in
ceramic sliding wear is the impact of water (in the form of vapor or liquid) on Si3 N4
wear.

Fig. 4.19 Tribochemical simulation of silicon nitride wear during sliding. water: SiO2 film grows;
b the SiO2 film reaches a critical thickness and peels off; c wear particles are generated and a new
surface is formed [22]
132 4 Graphite and Carbide Friction and Wear

Figure 4.19 demonstrates another technique to cause the same transition in Si3 N4
by altering the air’s humidity. SiC has similar tribochemical reactions taking place,
producing silicon oxide as well, however, in this instance, the presence of water
raises the wear rate. Both zirconia and alumina have high water sensitivity, which
in both ceramics increases wear rate typically ten times that of dry sliding. This
phenomenon might be a reflection of how this ceramic’s surface becomes more
plastic when water is present (the Rehbinder effect), which can also be identified by
microhardness. measures; but, given that oxide ceramics exposed to water are prone
to stress corrosion cracking, this could be the result of accelerated crack formation.
When sliding at high speeds, chemical reactions may also be significant since surface
heating speeds up the reaction rate. For carbon/carbon composite materials used in
high-performance (such as aviation) brakes, oxidation is the main wear process. High
interfacial temperatures cause the oxidation of numerous other non-oxide ceramics.
High temperatures can also cause phase changes; for instance, –Si3 N4 is created on
the sliding surface of –Si3 N4 in this fashion, and the localized transformation of
diamond into graphite, which causes rapid wear of diamond when used to machine
or grind steel, is another example [1, 17].

4.10 Lubricated Wear

Ceramic materials respond to common lubricants in a similar manner to metals.

Effective lubrication lowers the likelihood of contact with rough surfaces, lowers
surface shear forces, and lowers wear rates. However, chemical impacts can still be
very significant even under lubricated settings. Even in mineral oils, surface oxidation
of Si3 N4 and SiC occurs, suggesting that the lubricating wear process for these
ceramics is tribochemical. Boundary lubricants, such as octadecanoic acid (stearic
acid), function on ionic materials that their polar end groups can attach to; for instance,
SiC (with a covalent link) is not effectively lubricated by stearic acid. However,
despite the lower coefficient of friction, some ionic ceramics, like Al2 O3 and ZrO2 ,
exhibit a substantial rise in wear rate. Intergranular failure caused by stress corrosion
cracking appears to be the cause of this effect [26].
Thermoplastic instability is a phenomenon that can happen when materials with
low heat conductivity and high thermal expansion coefficients move in a lubricant.
Particularly vulnerable to this is zirconium. When sliding with a thin film lubri-
cant, contact between asperities results in significant local power loss and subse-
quent heating. A local increase in temperature has the potential to drastically alter
the surface topography of a material with strong thermal expansion and poor heat
conductivity, causing further asperity contact to concentrate in the same region. The
instability causes zirconia to perform poorly under lubricated sliding and causes very
high flash points and quick wear conditions.
References 133

Problems

1. Explain why it is reasonable to anticipate that the abrasive wear rate of brittle
material with hard angular particles will be much greater than the anticipated
wear rate.
2. Analyze the abrasion process of ductile material by a spherical particle using a
similar method, and discuss why angular particles in two-particle (slide) abrasion
create a higher wear rate of ductile metals than rounded particles.
3. Describe why each particle’s burden can have a significant impact on the wear
rate in abrasive wear. Take into account both the behavior of the particles and the
abrasive material in your response.
4. How can the experimental approach be strengthened to boost confidence in the
abrasion result? Also, additional experiments to investigate the material.
5. Explain why it is the differences between (a) two-body abrasion, (b) three-body
abrasion, and (c) erosion.

References

1. Larsen-Basse J (1983) Resistance of cemented carbides to sliding abrasion: role of binder

metal. Sci Hard Mater: 797–813
2. Bushan B (ed) (2001) Modern tribology handbook, vol 2. CRC Press, Boca Raton
3. Hsu SM, Shen M (2004) Wear prediction of ceramics. Wear 256:867–878
4. Liu C, Yin Y, Li C, Xu M, Li R, Chen Q (2022) Preparation and properties of lead-free copper
matrix composites by electroless plating and mechanical alloying. Wear 488:204164
5. Chacon-Nava JG, Stott FH, de la Torre SD, Martinez-Villafane A (2002) Erosion of alumina
and silicon carbide at low-impact velocities. Mater Lett 55:269–273
6. Wu Y, Liu Y, Chen H, Chen Y, Xie D (2019) An investigation into the failure mechanism of
severe abrasion of high-speed train brake discs on snowy days. Eng Fail Anal 101:121–134
7. Colclough AF, Yeomans JA (1997) Hard particle erosion of silicon carbide and silicon carbide-
titanium diboride from room temperature to 1000 °C. Wear 209(1–2):229–236
8. Dinaharan S, Karpagarajan R, Palanivel J, Selvam DR (2021) Microstructure and sliding wear
behavior of fly ash reinforced dual phase brass surface composites synthesized through friction
stir processing. Mater Chem Phys 263:124430
9. Pirso J, Voljus M, Juhani K, Letunovits S (2009) Two-body dry abrasive wear of cermets. Wear
266(1–2):21–29
10. Straffelini G, Scardi P, Molinari A, Polini R (2001) Characterization and sliding behavior of
HFCVD diamond coatings on WC–Co. Wear 249(5–6):461–472
11. Chen F, Li Z, Luo Y, Li DJ, Ma WJ, Zhang C, Tang HX, Li F, Xiao P (2021) Braking behaviors
of Cu-Based PM brake pads mating with C/C–SiC and 30CrMnSi steel discs under high-energy
braking. Wear 486:204019
12. Zum Gahr KH (1987) Microstructure and wear of materials, vol 10. Elsevier
13. Deng G, Tieu AK, Lan X, Su L, Wang L, Zhu Q, Zhu H (2020) Effects of normal load and
velocity on the dry sliding tribological behaviour of CoCrFeNiMo0. 2 high entropy alloy. Tribol
Int 144:106116
14. Vankataraman B, Sundararajan G (2002) The influence of sample geometry on the friction
behaviour of carbon-carbon composites. Acta Metall. Mater 50:1153–1163
15. Bryggman U, Söderberg S (1986) Contact conditions in fretting. Wear 110(1):1–17
134 4 Graphite and Carbide Friction and Wear

16. Bai L, Ge Y, Zhu L, Chen Y, Yi M (2021) Preparation and properties of copper-plated expanded
graphite/copper composites. Tribol Int 161:107094
17. Vingsbo O, Söderberg S (1988) On fretting maps. Wear 126(2):131–147
18. Czichos H, Santner E (2015) Tribologische Beanspruchung. Tribologie-Handbuch: Tribome-
trie, Tribomaterialien, Tribotechnik, 29–92
19. Hsu SM, Shen MC (1996) Ceramic wear maps. Wear 200(1–2):154–175
20. Bijwe J, Kumar M (2007) Optimization of steel wool contents in non-asbestos organic (NAO)
friction composites for best combination of thermal conductivity and tribo-performance. Wear
263:1243–1248
21. Zhang P, Zhang L, Wei D, Wu P, Cao J, Shijia C, Qu X (2020) A high-performance copper-
based brake pad for high-speed railway trains and its surface substance evolution and wear
mechanism at high temperature. Wear 444:203182
22. Zhou Z, Shan Q, Jiang Y, Li Z, Zhang Z (2019) Effect of nanoscale V2C precipitates on the
three-body abrasive wear behavior of high-Mn austenitic steel. Wear 436–437:203009
23. Xu J, Kato K (2000) Formation of tribochemical layer of ceramics sliding in water and its role
for low friction. Wear 245(1–2):61–75
24. Deng G, Zhao X, Su L, Wei P, Zhang L, Zhan L, Chong Y, Zhu H, Tsuji N (2021) Effect of
high pressure torsion process on the microhardness, microstructure and tribological property
of Ti6Al4V alloy. J Mater Sci Technol 94:183–195
25. Wang YL, Jin YS, Wen SZ (1988) The analysis of the friction and wear mechanisms of plasma-
sprayed ceramic coating at 450 °C. Wear 128:265–276
26. Kuze S, Du Boulay D, Ishizawa N, Saiki A, Pring A (2004) X-ray diffraction evidence for a
monoclinic form of stibnite, Sb S, below 290 K. Am Mineral 89:1022–1025
Chapter 5
Surface Protection from Wear Through
Coating

5.1 General Aspects of Surface Functional Modifications

Four general categories can be used to classify surface engineering treatments:

surface coatings (including metallic plating, and thin and thick coatings), thermo-
chemical diffusion treatments, chemical conversion coatings, and treatments for
microstructural alteration. The primary surface treatments employed in tribology
are outlined in Table 5.1. Some unique factors that should be carefully taken into
account during the selection process are:

(1) the kinds of materials that must be processed using the chosen technology;
(2) the process temperature, or the temperature that the substrate reaches during
processing;
(3) the maximum hardness of the surface layer; and
(4) the thickness of the hardened surface layer.
To confirm whether the substrate can actually withstand the treatment, it is
crucial to determine the highest temperature the substrate will attain during the
treatment cycle. For instance, because they would lose their mechanical strength,
steels shouldn’t be subjected to a coating treatment using the CVD technique at a
temperature of 1000 °C (in actuality, CVD coatings are typically achieved on hard
metals). Also, to be taken into account is the ease with which geometrical distortions
in the treated portions can be brought about by treatments carried out at temperatures
above about 500 °C. To reduce the consequences of excessively high heating and
cooling rates, it may be required to perform the proper preheating or post-heating
cycles. The two most critical factors from a tribological perspective are unquestion-
ably the hardness and thickness of the treated layers [1]. Some processes, including
the thermochemical diffusion processes, achieve a hardness gradient rather than a
uniform hardness in the topmost layer. As an illustration, Fig. 5.1 displays the usual
hardness profiles that arise from steels being carburized and nitrided. The profiles
are from microhardness testing on cross sections that had been metallographically

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2024 135
R. A. Al-Samarai and Y. Al-Douri, Friction and Wear in Metals, Materials Horizons:
From Nature to Nanomaterials, https://doi.org/10.1007/978-981-97-1168-0_5
136 5 Surface Protection from Wear Through Coating

Table 5.1 Main characteristics of some widely employed surface treatments [2]
Treatment Metals treated Processing Maximum Typical thickness
temperature (°C) surface hardness (mm)
(kg/mm2 )
Treatments for microstructural modification
Surface rolling Steels, Ti, and Room
Ni alloys temperature
Shot-peening Steels, Ti, and Room
Ni alloys temperature
Flame hardening Hardenable 850–1100 500–600 1–6
steels and cast
irons
Induction Hardenable 850–1100 500–700 0.2–2
hardening steels and cast
irons
Laser hardening Hardenable 850–1100 500–700 0.1–0.6
steels and cast
irons
Thermochemical diffusion treatments
Carburizing and Low carbon 800–1100 700–900 0.05–1.5
carbonitriding steels
Nitriding Nitriding 500–600 800–1200 0.025–0.5
steels tool
steels (hot
working and
HSS)
Ion implantation All 200–600 600–1100 < 10–3
Chemical conversion coatings
Phosphate Steels, Al 25–95 (drying at – Up to 0.01
coatings alloys 200 °C)
Hard anodizing Mainly Al 0 > 1100 0.04–0.05
alloys
Surface coatings
Hhard chromium Most ferrous < 70 700–1200 0.001–0.5
and
non-ferrous
alloys
Electroless nickel Most ferrous Room Up to 1000 0.001–0.025
and temperature
non-ferrous (ageing between
alloys 200 and 500 °C)
Physical vapour All metals 150–500 2000–2500 (TiN) 0.001–0.003
deposition (PVD)
coatings
(continued)
5.1 General Aspects of Surface Functional Modifications 137

Table 5.1 (continued)

Treatment Metals treated Processing Maximum Typical thickness
temperature (°C) surface hardness (mm)
(kg/mm2 )
Chemical vapour All metals 800–1000 (lower 2800–3000 (TiC) 0.001–0.01
deposition (CVD) (with the limit temperatures in
coatings at ion of the new techniques)
process
temperature)
Thermal spray All metals < 200 700–2000 0.5–1
coatings
Hard facing by Steels and 1200–1600 800–2000 3–10
welding non-ferrous
alloys with
melting point
greater than
1100 °C

produced. It has been demonstrated that hardness is greatest at the material’s surface
and gradually declines as it moves inward, eventually reaching the normal value of
the substrate. The effective thickness, which is the thickness of the material layer
with a hardness more than or equal to a specified value, commonly fixed at 550 kg/
mm2 , determines the treatment thickness. When it comes to coatings, the coated
material’s maximum surface hardness determines the treatment thickness, which is
determined by the coating thickness [2].
If there is wear from the asperities are where the highest contact stress is
obtained due to adhesion, tribo-oxidation, and abrasion. Therefore, choosing treat-
ments capable of inducing a very high hardness directly in the outer layer of the
treated part is important to offset the damage caused by these mechanisms. For
instance, the PVD technique’s ceramic coatings on high-speed steels are especially
well suited for enhancing the tribological resistance of cutting tools that experience

(a) (b) (c)

Core
hardness
τ max
Treatment τmax (by eq. 5.11)
thickness (by Hertz)

depth depth depth

Fig. 5.1 Surface hardening: a common microhardness profile, b endurance limit profile with
overlaid Hertzian τ max-profile, c compressive residual stress’s function, σ rs (schematization) [1]
138 5 Surface Protection from Wear Through Coating

adhesive (and sometimes abrasive) wear while in use. The hardness of the abrasive
particles must obviously be taken into account when choosing a surface treatment for
abrasion, together with the ability to produce a suitably high surface hardness (as well
as a suitable fracture toughness in case of high-stress abrasive wear). When contact
fatigue causes damage, the maximal depth zm is where contact stress is located, so
it’s important to pick a treatment that can provide an acceptable effective thickness.
As a general rule, a high hardness should be guaranteed for at least 2zm of depth [1].

5.2 Microstructural Modification Treatments

This sort of treatment modifies a material’s surface microstructure without changing

its chemical makeup. Usually, the goal is accomplished by work hardening the mate-
rial through mechanical processes like rolling or shot peening, or by initiating a
martensitic transformation via surface heating [3].

5.2.1 Treatments of Mechanical

A hard cylinder that rolls on the surface while applying a load sufficient to cause a
full plastic contact causes plastic deformation in surface rolling, a procedure that is
uncommonly utilized in tribology. With a typical velocity between 40 and 120 m/
s, a stream of tiny spheres (with a diameter in the range of 0.2–2 mm) formed of
steel, ceramic, or glass is directed toward the surface to be treated in shot peening.
Each ball creates an elastic–plastic or entirely plastic surface contact. It is possible to
achieve the right level of surface hardening by modifying the treatment’s intensity.
Shot peening is more commonly employed to treat case-hardened steel parts than it
is to work harden soft metal’s purpose, as will be seen in the paragraph after this
one, which is to convert the remaining austenite into martensite. In order to increase
the sliding or contact fatigue resistance of sintered components produced by powder
metallurgy, surface pores on those components can be closed by shot peening and
surface rolling. The treatment must be followed by a re-sintering procedure to weld
the surface of the pores that the plastic deformation had brought into close proximity.
Otherwise, the closed pores can nonetheless behave as cracks and make it simple for
contact fatigue to wear something down [1, 3].

5.2.2 Heat Treatments of Surface

Hardenable steels with enough carbon (0.3–0.5%) to produce surface hardening by

martensitic transformation typically undergo surface heat treatments. While rela-
tively large parts can be manually treated with flame hardening, smaller parts are
5.2 Microstructural Modification Treatments 139

often treated with automated induction hardening. In the process of induction hard-
ening, a copper coil with a water-cooling system’s magnetic field rapidly austenitizes
the surface of a steel item, which is then quenched with water or another liquid. Forced
cooling is not required after heating with a laser or electron beam. The surrounding
material acts as a low-temperature thermal reservoir and directly induces quenching
because the heating is actually quite intense and limited to a narrow surface layer.
Surface critical machine parts that are susceptible to contact fatigue damage in use,
such as gears, shafts, and bearings, frequently undergo heat treatments [1].
In actuality, the relatively high case depth and rather high surface hardening
generate favorable effects on contact fatigue resistance, which may be understood by
taking into account the schematization of Fig. 5.1. A typical microhardness profile
produced by surface hardening is shown in Fig. 5.1a. It is capable of becoming an
endurance limit profile. In fact, the endurance limit, which is typically defined in
terms of the Hertzian pressure, can also τ max, by setting τ end = cH, where c is a
constant and H is the hardness of the substance. The endurance cap for heat-treated
steels is set at 108 cycles and ∆ > 3 is given by pend = 3H. In the case of a line
contact, τ max = 0.3 pmax and thus τ end ≈ H, i.e., c ≈ 1 (in the case of mixed
lubrication, pend = 2.25H, and c = 0.75). It can be then stated that a life of 108
cycles is exceeded as long as, at each depth z, τ max < τ end [1, 3]. However, this
is not a complete picture. The potential existence of compressive residual stresses
in the outer layer also contributes to the high contact fatigue resistance of cast irons
and surface-hardened steels.
The surface martensitic transformation, which takes place with volume expansion
in relation to the adjoining phases, is what determines them. The compressive stress
field may be built up by adding another mechanical term from the heat cycle. For
instance, Fig. 5.2 displays the A disk composed of AISI 4340 steel that had been
heat-treated to attain a quenched and tempered microstructure with a hardness of
367 HV is then quickly induction heated and toughened [3]. It describes how the
circumferential and longitudinal stress components, t and z, have changed over time
(the radial component is zero at the disk’s surface and becomes positive, albeit very
weakly, as it moves inward).
Both t and z are compressive in the case region, and at a certain depth, they take
on similar values. Both t and z grow in value and turn tensile at the transitional
zone between the case and the core or between a fully martensitic and tempered
microstructure. For the most part, higher compressive by widening the gap between
case and core hardness, stresses are produced. A number of experimental results
have led Lang to propose the relationships shown below [4]. Since the experimental
determination of the residual stress profile is time- and money-consuming, these
approximations are nonetheless helpful for a first assessment. It is possible to under-
stand the positive impacts of residual stresses on the contact fatigue behavior and
the schematization of Fig. 5.1c. It can be assumed, roughly speaking, that no stress
relaxation occurs throughout the fatigue loading. Since the residual stresses can be
relieved by plastic deformations at the contacting asperities, this assumption loses
relevance as the factor is reduced owing to the phase change and heat cycle. After
the treatment, the surface-hardened pieces show geometrical deformities and must
140 5 Surface Protection from Wear Through Coating

Fig. 5.2 For an

induction-hardened AISI
4340 steel, the
microhardness profile and
residual stress profile [1]

undergo a final grinding procedure. To prevent introducing residual tensile stresses

at the surface, this should be done carefully. Now think about the tribo-oxidation and
adhesion wear damage. Surface heat-treated steels’ performance can be compared
well to that of through-hardened steels. In reality, the existence of residual tensions
at the surface has no bearing [1]. These elastic stresses are reduced during sliding by
the asperities’ large deformations and the ensuing local heating. The abrasive wear
follows the same logic. Surface hardening takes into account the maximal hardness
that can be obtained at the surface is obviously insufficient to address the issue of
hard particles like silica impurities abrading steels. In the case of low-stress abrasion,
it might be a very wise decision.

5.3 Treatments of Thermochemical Diffusion

Carburizing and nitriding are the two basic thermochemical diffusion treatments for
steels.

5.3.1 Carburizing

In this process, the steel component is heated to an austenitic field temperature (about
900 °C) in a suitable medium. The surface is then enriched with carbon by diffusion,
but not more than 1%. After that, it is quenched in oil to undergo the martensitic
transformation and achieve a high surface hardness. At a temperature of roughly
170–180 °C, the steel pieces are tempered after quenching.
To ensure good fracture toughness in the core, the treatment is recommended for
steels with less than 0.4% carbon. A typical microhardness profile is produced after
carburizing. Carburizing, like surface heat treatments, is ideally adapted to survive
5.3 Treatments of Thermochemical Diffusion 141

abrasive wear caused by low tension as well as adhesive and tribo-oxidative wear
[1, 3].
However, mechanical elements that experience contact fatigue are the greatest
candidates for carburizing due to the high effective thickness, high surface hardness,
and the existence of compressive residual stresses in the case region. The martensitic
transformation causes residual stresses to appear, and their start is influenced by a
number of interconnected elements, such as the composition of the steel, the size and
geometry of the treated portion, and the treatment parameters [6]. A typical residual
stress profile and how it affects max’s progression are schematized in Fig. 5.3a.
Figure 5.3b compares two end-profiles of max that can be derived from the micro-
hardness profiles as described in the paragraph before. If the maximum end is reached
across the full depth, the anticipated contact fatigue life is achieved. There are two
crucial circumstances that may arise:

(1) If the surface hardness, or surface endurance limit, is excessively low in relation
to the maximum profile. In this instance, a crack prematurely nucleates in the
subsurface area, resulting in spalling damage. Between the surface and the region
of crack nucleation and propagation, residual stresses flow. With the case of low
factors, the crack starts at the surface and causes pitting damage.
(2) When the effective thickness is undercutting the max-profile. In this instance,
the crack forms prematurely not far from the line separating the case from the
core. Case crushing is a term used to describe this kind of spalling damage. The
process parameters must be thoroughly optimized, as is already explained For
instance, by lengthening the treatment period, a harder layer with a thickness
much above 1 mm may be produced.

(a) (b)
2 τend

τmax
1

τ max

depth 1 2 depth
σrs

case core

Fig. 5.3 Schematizations demonstrating the following: a residual stresses’ impact on the Hertzian
stress profile; b two typical unsuitable endurance limit profiles that result in spalling (profile 1;
damage is by pitting if the -factor is low) or case-crushing (profile 2) damage from contact fatigue
[5]
142 5 Surface Protection from Wear Through Coating

Fig. 5.4 Before and after

shot peening, residual stress
evolution in carburized
16MnCr5 steel [7]

However, internal oxidation in the surface layers may be too severe in cases of
gas carburizing, decreasing the fatigue characteristics [8]. Additionally, the higher
surface carbon concentration would result in more residual austenite. Conflicting
results have been reported in the literature, making the influence of residual austenite
on contact fatigue resistance unclear as of yet. The amount of residual austenite in
the event of carbonitriding, or surface enrichment with carbon and nitrogen, can be
fairly considerable. To cause the change of any remaining austenite into martensite
in this situation, the treated parts are frequently subjected to a shot peening process.
This results in an increase in hardness and, more importantly, compressive residual
stresses. According to Fig. 5.4, the elastic–plastic contact between the spheres and
the surfaces causes the compressive residual stress to reach its peak at a specific
depth in the material [7]. The geometrical distortions that the carburized parts might
experience can be avoided by mechanically polishing the parts to get the desired final
shape. Such operations must be carried out carefully since they involve the removal
of surface layers.

5.3.2 Nitriding

Nitriding is a crucial thermochemical diffusion treatment for steels. In this instance,

nitrogen diffusion is used to harden the steel’s surface while also forming a fine
nitride dispersion and hardening the steel through the solid solution. Because of this,
nitride former elements like chromium, molybdenum, or aluminum are present in
nitriding steels. It takes longer than carburizing (a typical nitriding treatment would
last for 30 h) and is done at a temperature range of 500–590 °C with the steel in the
ferritic state.
This type of treatment is highly alluring since it may not require finishing proce-
dures and enables very high surface hardness values (higher than those achieved
5.3 Treatments of Thermochemical Diffusion 143

(a) (b)

10 μm 10 μm

Fig. 5.5 Cross slices of 42CrAlMo7 steel have been nitrided in a gas (a) and plasma (b). The
arrows depict the composite layer’s thickness [9]

with carburizing. The typical shape of a steel’s surface layers following gas and
plasma nitriding is depicted in Fig. 5.5. An exterior compound layer, also known as
the “white layer,” is made up of a combination of “+” and “−” iron nitrides, and a
subsurface layer, known as the “diffusion layer,” defines the surface. The treatment
parameters affect the white layer’s thickness and characteristics [9].
Typically, gas nitriding results in a thick coating that is porous on the outside and
has a thickness of 10–15 µm or more. A layer with a thickness of about 3 m is produced
by plasma nitriding and is both thin and compact and has a typical microhardness
profile in the diffusion layer. Compared to carburizing, the effective thickness is
smaller, but the thermal conductivity of the diffusion layer is higher resistance. In
actuality, the nitrided layers maintain their original hardness even after exposures up
to about 400 °C, but the martensitic carburized layers begin to lose hardness after
exposure at temperatures of about 200 °C. There are still some residual compressive
stresses in both the compound and diffusion layers. They develop from the precip-
itation of nitrides, which are less dense than the matrix and have a greater specific
volume. In addition, this implies that residual stress and hardness are connected
because they both depend on the nitrides precipitating. In the case of an AISI M2
tool steel gas nitrided at 570 °C for 8 h, Fig. 5.6 illustrates the close experimental
link between the microhardness and the residual stress in the diffusion layer [10].
Nitriding is a very effective way to increase slide wear resistance.
If the white layer’s thickness is modest and the contact pressure is strong enough,
dry sliding will remove it during the run-in stage. As a result, the diffusion layer
really offers wear resistance. Wear is mostly caused by tribe-oxidation, and because
of the diffusion layer’s strong capacity to support the layer of compacted oxide wear
debris, the specific wear coefficient is quite low, around 5 × 1015 m2 /N. Additionally,
the diffusion layer has a strong thermal resistance, and local temperature increases
from frictional heating and only slightly softens it compared to through-hardened
or carburized steels. The critical temperature for the change from mild to severe
144 5 Surface Protection from Wear Through Coating

Fig. 5.6 An AISI M2 tool

steel that has been nitrided
has an experimental link
between residual stress and
microhardness (in the
diffusion layer) [10]

wear is raised by this latter feature. This transition would occur at greater levels of
normalized pressure and sliding speed than what is seen in normalized or quenched
and tempered steels, as illustrated in the wear map of Fig. 5.7 [11]. In general, since
iron nitrides have a hardness that is quite close to that of the diffusion layer, it is
not essential to remove the white layer before service. If dry sliding is being done
with only moderate pressure and there is a substantial amount of composite layer,
which offers wear resistance by virtue of being a compound layer. The compound
layer in this scenario performs best when it is formed of just one iron nitride (ideally,
nitride) and has a few pores. However, the existence of some porosity on the outside
section of the compound layer is advantageous in the case of sliding under boundary
lubrication because pores serve as lubricant reservoirs. Additionally, the compound
layer’s compressive residual stresses aid in sealing any potential surface cracks. In
this regard, it is also necessary to take into account the fact that nitriding results in an
increase in surface roughness. Ra commonly increases from 0.5 m before nitriding
to 1.5–2 m after nitriding.

Fig. 5.7 Wear map of

nitrided steels dry sliding
against a hardened steel
counterface [11]
5.3 Treatments of Thermochemical Diffusion 145

Fig. 5.8 Average specific

wear coefficients under
low-stress abrasive wear for
untreated steel, nitrided steel,
and steel that has been
chrome-plated [13]

For comparison, the boundary between mild and severe wear for normalized,
quenched, and tempered steels is also reported (from Fig. 6.1b). The polishing of the
higher asperities that takes place during running-in [12] unquestionably contributes
to the decline in the factor, which is only partially constrained. For tribological appli-
cations characterized by abrasive wear, particularly low-stress abrasion, nitriding is
also a good fit. This is brought on by the exterior areas of the nitrided layer’s quite
high hardness, which can exceed 1250 kg/mm2 . The specific wear coefficient for
untreated steel (H: 391 kg/mm2 ), nitrided steel, and chrome-plated steel is shown in
Fig. 5.8 as an illustration. These values are obtained using a modified DSRW testing
equipment [13].
In order to imitate the wear process that takes place inside the barrel of an injection
molding machine for glass-filled plastic parts, the test has been carried out at three
temperatures under low-stress abrasion polymers. The nitrided steel performs best
across the board, with a surface hardness of 1284 kg/mm2 compared to 1125 kg/mm2
for the chromium-plated steel. Last but not least, nitriding is very well adapted to
endure wear from contact fatigue, particularly in situations where there is mixed or
boundary lubrication. This is due to the case’s high surface hardness and the presence
of residual compressive forces. However, because of the effective thickness’s low
value, it is less likely that high contact pressures will persist under well-lubricated
circumstances. Additionally, it should be noted that increased roughness following
nitriding tends to lower the factor. As can be observed, minor polishing while running-
in helps to mitigate such a drop. The polishing is often done before the mechanical
item is put to use. If the white layer is thick, it stays put and helps to increase the
nitrided material’s excellent pitting resistance components [14].
146 5 Surface Protection from Wear Through Coating

5.3.3 Other Treatments

Another diffusion treatment for steels is boronizing. It entails boron surface enrich-
ment. The development of a fairly thick compound layer consisting of iron borides
provides the maximal surface hardness, which ranges between 1550 and 2000 kg/
mm2 . The values of effective thickness are comparable to those discovered during
nitriding. The Toyota diffusion (TD) technique, which makes it possible to create
surface layers with hardness values ranging from 2500 to 3800 kg/mm2 , may produce
materials with extremely high abrasion resistance. Tool steels are often subjected to
this treatment. The process, which is carried out in a salt solution, encourages the
production of extremely tough vanadium and titanium carbides. Ion implantation is
the surface treatment that offers the least case thickness. It involves ions with high
energy striking a surface (a metal or a ceramic) and, depending on the implanta-
tion circumstances, such as acceleration voltage and kind of ions, penetrates for an
average depth in the range of 0.1 m. The process of treatment often involves the
use of several ions, such as nitrogen, carbon, boron, and phosphorus ions. Compo-
nents are often subjected to an annealing process after implantation to reestablish the
crystal structure and start some diffusional processes. This method is recommended
for applications with adhesive and abrasive interactions occurring at extremely low
contact tensions [1, 3, 4].

5.4 Coatings of Conversion

Conversion coatings are created when a metal surface mildly corrodes, allowing for
the formation of a layer of products that are adhering to the metal. Phosphating and
anodizing are the two main conversion processes of tribological significance [1].

5.4.1 Phosphating

Ferrous alloys are commonly given the phosphating process by being sprayed with or
submerged in a solution of diluted phosphoric acid that contains particular additives.
A homogeneous coating of hydrated phosphates of the metal present in the bath
(usually zinc or manganese) is produced by the procedure. Figure 5.9, for instance,
depicts the surface morphology of a zinc phosphate layer that has been applied to
steel [15].
Experimental measurement of the phosphate layer’s thickness is challenging. The
phosphating layer’s specific weight is generally taken into account. Weighing the
component before and after the treatment yields the answer. Heavy treatments are
used for tribological applications, with the specific weight falling between 10 and
40 g/m2 . One gram per square meter roughly equates to 0.5 mm or so in thickness. The
5.4 Coatings of Conversion 147

Fig. 5.9 A zinc phosphate

coating developed
morphologically on a steel
surface [15]

phosphate layer is quite porous, as seen in Fig. 5.9, and the porosity can range from 3
to 13%. The phosphate layers have a high capacity to absorb oils or solid lubricants
because of this porosity, which has obvious benefits for both sliding friction and wear
resistance. In manufacturing processes involving plastic deformation, such as wire
and tube drawing, cold stamping, and deep drawing of metal sheets, zinc phosphate
coatings are primarily utilized as a foundation for the application of oils and soaps.
Typically utilized as self-lubricating and anti-wear coatings, manganese phosphate
layers are realized by immersion in a hot solution (90–98 °C), notably in applications
characterized by a low factor and consequently potential scuffing problems, such as
sluggish gears and a lot of weight. In actuality, lubrication is substantially aided by
the oil retained in the porosity. The layer can also gently bend while in contact, which
improves the distribution of the associated contact stresses. After running-in, the layer
is typically somewhat worn out, but the conditioning of the contacting surfaces has
long-lasting positive effects. The production can be induced by annealing the coatings
at an ideal temperature between 250 and 450 °C. Dehydration causes cracks to form
parallel to the surface. Instead of causing brittle fractures, these fissures serve as
extra lubricating oil reservoirs and increased resilience to wear and scuffing results
from this [15].

5.4.2 Anodizing

Anodic oxidation is an electrochemical conversion procedure used to create a thick

oxide layer that adheres to the surface of metals. Only specific Al-Cu and Al-Si alloys
do not anodize properly, and thus they are mostly utilized for aluminum alloys. Alloys
made of zinc, magnesium, and titanium are also anodized. The coatings are available
for architectural, decorative, and protective purposes against corrosion and wear (a
layer thickness of 50 m is generally used). For decorative purposes, a thickness of
148 5 Surface Protection from Wear Through Coating

a few micrometers is sufficient. Given that the coating is created by the breakdown
of the metal surface, a 50 m layer will only cause a 25 m increase in surface level.
Anodizing aluminum alloys normally takes place in a sulfuric acid bath. The so-called
hard anodizing method, which is used to produce protective coatings, is character-
ized by precise management of the process variables, including a cold electrolyte
(10 °C) and strong solution stirring. The moderately porous layers are composed
of an alumina and hydrated alumina combination. Pores are normally positioned
perpendicular to the metal surface and range in size from 200 to 350 nm. The layers’
hardness is between 350 and 600 kg/mm2 , which is much less than alumina’s (1600–
2600 kg/mm2 ) due to porosity and the presence of hydrated oxides. Depending on
the process conditions, these layers have relatively high surface roughness (a typical
value is Ra = 2.5 m). Grinding can be used to minimize it. Applications that require
low-stress abrasion and corrosion protection typically use hard anodic layers. Exam-
ples include valve spools, pump parts (working in erosive environments), pneumatic
cylinder tubes, and calipers and pistons for automotive brakes [16]. Aluminum alloys
have a rather high rate of abrasive wear despite having a very low hardness (usually
between 100 and 180 kg/mm2 ).
The specific wear rate under low-stress abrasion (measured by DSRW) assumes
values around 1013 m2 /N after harsh anodizing, which may be acceptable for many
applications. Different characteristics affect solid particle erosion resistance. Because
of the brittle behavior brought on by the remaining porosity, the erosion rate rises
as the impact direction [17]. The ductile, untreated alloy typically exhibits greater
resistance than the anodized alloy in most situations. The treated parts’ dry sliding
behavior is also influenced by the residual porosity. The particular wear coefficients
are around 1014 m2 /N. However, as alumina has a high hardness and the layers may
have a very high roughness, it must be taken into account that hard layers might
cause significant abrasive wear on the counterface. Due to the contribution made,
the friction coefficient is also quite high (higher than 0.6) through their aggressive
engagement. The porous layer can be coated with solid lubricants like PTFE or
MoS2 or impregnated with oil to minimize wear (on both the treated alloy and the
counterface). The solid lubricants can be applied using a variety of methods, either
as integral topcoats or as part of the coating itself. The most used solid lubricant is
PTFE, which can reduce wear on the counterface and the treated alloy by 50% [16].
The micro-arc oxidation (MAO) technique, also known as plasma electrolytic
oxidation (PAO), can produce very hard layers. The hardness of the surface layers
produced by the deposition process, which is entirely distinct from hard anodizing
and ranges from 1400 to 1800 kg/mm2 , is in the range Usually, the internal, pore-free
portion of the layer produced by the melting-solidification processes of the aluminum
alloy has a harder surface than the external, porous portion of the layer, which can
finally be removed by grinding. Al alloys’ low-stress abrasion and slide resistance are
noticeably improved by this treatment [17]. Dry sliding still causes a lot of friction,
and thus self-lubricating topcoats like PTFE or DLC layers can be added on top of
the MAO layers.
5.5 Coatings of Surface 149

5.5 Coatings of Surface

In Table 5.1, the major surface coatings are presented. They can be further divided
into metallic plating, thin coatings, and thick coatings for the sake of discussion.

5.5.1 Plating of Metallic

Hard chromium and electroless nickel deposits are the metallic deposits with the
highest potential for tribological applications and both are available on the majority
of metals [1].

5.5.1.1 Plating of Hard Chromium

By electrodepositing chromic acid and a catalytic anion solution, hard chromium

plating is created. The nanocrystalline microstructure of the material contributes
to the layers’ exceptional hardness, which ranges from 800 to 1200 kg/mm2 . The
coatings can range in thickness from 20 to 300 m for industrial applications, or they
can be relatively thick (around 2 m) for decorative purposes. Thick coatings may
not be uniform in thickness, and excessive buildups on the exterior corners must be
removed by grinding and lapping. The coatings also have numerous fissures that run
parallel to the substrate’s surface. They develop during the manufacturing process
as a result of the co-deposition of hydrogen that produces hexagonal chromium
hydride. This hydride is prone to releasing hydrogen gas that causes vertical fissures
and the development of residual tensile stress [1, 17]. Additionally, hydrogen has
the ability to permeate the substrate and cause embrittlement. Most often, chromium
coatings undergo a hydrogenation process that lessens the strength of the residual
strains (usually at 190 °C for 4 h). Hard chromium plating is frequently used to boost
wear resistance under sliding and low-stress abrasion as well as to promote corrosion
resistance in particular conditions. Piston rings, valves, hydraulic rods, dies, molds,
and rolling mills are examples of common applications. In rebuilding operations,
these coatings are also used (if the wear thickness is less than 250 m). Hexavalent
chromium, which is environmentally toxic, is present in the electrolyte, which is a
major downside of this treatment.
In hard chromium deposits often have a strong resistance to sliding wear, espe-
cially when gliding against a steel counterface and when the coated portion is in
constant contact with the counterface. With the creation of a protective layer of
oxides from the steel opponent on the coating, wear in this scenario may occur
through tribo-oxidation. The specific wear rates that have been observed are quite
low, at about 5 × 1016 m2 /N [18]. In dry conditions, the comparable friction coeffi-
cient for the steel-steel pair is in the range of 0.6. The scenario alters if the plating
is applied to the portion that is not continuously in contact with the antagonist (e.g.,
150 5 Surface Protection from Wear Through Coating

the disk in the case of the pin-on-disk test, to give an example). Wearing out the
plating by adhesion when the steel counterface is insufficient to create a moderate
tribo-oxidative wear state. The range of 4 × 1014 m2 /N is typical for certain wear
rates [19]. The associated friction coefficients in this instance, though, are 0.4 or
lower, which can be advantageous in many applications. Hard nanoparticles can be
incorporated into the plating to reduce the specific wear coefficient in cases of adhe-
sive wear. A chromium coating, for instance, that contained 1.13% SiC nanoparticles
showed a specific wear coefficient of about 1.4 × 1014 m2 /N [20].
Selecting a subsurface material that can support the plating without sustaining
significant deformation is necessary to optimize the sliding wear performance of hard
chromium coatings (see Fig. 5.2). In light of this, a martensitic steel substrate may
be used to successfully implement the chromium plating. In order to prevent plating
damage from brittle contact, the thickness of the plating should also be optimized.
An optimized thickness of roughly 10 m has been attained for skin-pass rolling mills
[21]. In boundary-lubricated conditions, hard chromium plating is especially useful
because the vertical fissures in the layers may serve as lubricant reservoirs. It should
be remembered, nevertheless, that plating makes the surface rougher. Ra might, for
instance, rise from 0.1 to 1.15 m following the deposition. Hard chromium coatings
exhibit outstanding performance in low-stress abrasion situations with regard to wear
behavior under abrasion.

5.5.1.2 Plating of Electroless Nickel

Together with thermal spray coating, electroless nickel (EN) plating is viewed as
a viable alternative to hard chromium plating, which has detrimental impacts on
human health and the environment. On a catalytic surface, nickel ions are chemi-
cally reduced to create these coatings. No electric current is used, so regardless of
the shape, the plating is quite consistent in thickness. Three categories of EN plating
exist pure metallic plating, alloy plating, and composite plating. Binary Ni–P and
Ni–B alloy coatings are the most widely used coatings. They are nearly amorphous
and exhibit remarkable corrosion resistance in their as-deposited state. Although the
hardness of Ni–P coatings and Ni–B coatings may be between 650 and 750 kg/mm2 ,
respectively, the wear resistance is rather poor. Higher A heat treatment at 300–
400 °C that transforms the amorphous layer into a microcrystalline nickel matrix
containing Ni3P or Ni3 B precipitates can be used to determine hardness values. It is
possible to achieve a peak hardness of 1000–1200 kg/mm2 , which is comparable to
that of hard chromium coatings [22]. This treatment results in a decrease in corrosion
resistance but an increase in wear resistance (both under sliding and low-stress abra-
sion conditions). Valve, aluminum piston heads, aerospace industry components, and
automobile parts including fuel injectors, pinion ball shafts, and disk brake pistons
all utilize EN plating [23].
EN coatings that have undergone adequate heat treatment have sliding wear
resistance that is comparable to hard chromium coatings. Figure 5.10, for instance,
displays the outcomes of testing on dry sliding Showing a 20 m thick Ni–P plating
5.5 Coatings of Surface 151

that is produced under various thermal treatment conditions that permit hardness
values between 650 and 1000 kg/mm2 to be obtained. The tests are conducted using
a spinning plated disk and a counterface disk composed of AISI M2 tool steel that
is maintained fixed. The specific wear rate is seen to decrease as hardness increases,
peaking at a hardness of 1000 kg/mm2 (the maximum value), which is common
for hard chromium coatings. Wear is caused by adhesion/abrasion, and the average
reported friction coefficient is 0.3.
However, recent proprietary Ni–B coatings have demonstrated a wear resistance
that is comparable to or better than that of chromium coatings [23]. The low-stress
abrasive wear of EN coatings is often substantially lower than that of hard chromium
coatings. The phosphorous (or boron) concentration and the treatment cycle should
be optimized in the event of abrasive interaction to prevent an excessive plating
brittleness that would enhance wear by encouraging brittle contact.
The wear resistance of EN plating can be increased by co-depositing hard particles
like SiC, WC, alumina, or diamond, or solid lubricant particles like Teflon, graphite,
or MoS2 to lower friction coefficient. While the presence of soft particles diminishes
hardness and occasionally brittleness, the insertion of hard particles increases both
hardness. The microstructure of two Ni–P/SiC and Ni–P/PTFE composite coatings
is depicted in Fig. 5.11 [24].
Under sliding as well as low-stress abrasion, hard composite coatings outperform
EN coatings in terms of wear resistance. However, the counterface may be abraded
by the harsh particles. By using micro- or nanoparticles, or by co-depositing SiC
and graphite particles, this impact can be diminished or even reversed. It is possible
to lower the friction coefficient to less than 0.1 by utilizing Ni–P/PTFE composite
coatings [24]. However, these coatings’ reduced wear resistance must be considered
in design due to their lower hardness.

Fig. 5.10 Effect of hardness

on the wear resistance of
Ni–P coatings during dry
sliding [24]
152 5 Surface Protection from Wear Through Coating

Fig. 5.11 a Knoop indentation (load = 50 g) on the Ni–P/SiC layer demonstrating the development
of brittle cracks, and b Knoop indentures (load = 50 g) on the internal Ni–P layer and the Ni–P/
PTFE layer [24]

5.5.2 Coatings of Thin

Hard ceramic coatings (such as nitrides, carbides, oxides, or polycrystalline diamond)

produced by two families of vapor-phase deposition processes, referred to as phys-
ical vapor deposition (PVD) and chemical vapor deposition (CVD), are sometimes
referred to as thin coatings (or thin films). These coatings, which typically range
in thickness from 2 to 10 µm, are especially well suited to reduce sliding wear and
abrasive wear under low tension. Because of this, they are frequently used for cutting
tools, and since the late 1980s, golden-colored TiN coatings have gained significant
popularity for this function. Thin coatings are also used to make dies and molds, and
new industrial tribological systems are constantly being proposed. Decorative uses
for these coatings are currently prevalent.
The potential application of thin coatings despite the thinness of the coatings,
the case of damage from contact fatigue is also being investigated. The tangential
maximum stress, max, can be relocated to the coating-substrate interface or even
inside the coating depending on the coating thickness and the ratio between the
elastic modulus of the coating and that of the substrate, according to analytical and
finite element models [25]. If the coating is flawless and the adhesion between the
coating and substrate is strong enough to endure large interfacial stresses, the fatigue
strength will then increase. The use of thin films is therefore extremely promising for
extending the fatigue life of the component because, in the case of mixed or boundary
lubrication, fatigue crack would primarily nucleate at the surface; in general, the
application of thin coatings must be assessed on a case-by-case basis taking into
account the pertinent cost [1].
5.5 Coatings of Surface 153

5.5.2.1 Technologies of Coating

The CVD techniques include the introduction of gaseous chemical reactants into a
closed reactor, where they are thermally activated and react to form a thin coating
on the component that needs to be treated [26]. Since the coating process takes
place at a temperature of about 1000 °C, hard metals that can withstand such high
temperatures are the primary targets of this approach. With this method, various
carbides, nitrides, and oxides, as well as numerous coatings, can be deposited. TiN
and TiC are the most widely used CVD coatings. Due to the creation of chemical
bonds across the interface caused by the high process temperature, the adhesion to the
substrate is great. The gaseous reactants are activated by plasma that is ignited around
the components in the plasma-assisted CVD technique (PA CVD). This makes the
procedure when the temperature is reduced to 300–500 °C or less, the method can be
used with high-strength steels. Polycrystalline diamond is also deposited using this
method. The PVD operations are carried out under sub-atmospheric pressure and a
reduced coating temperature (500 °C or less). They can be applied on polymers and
any metal to obtain coatings. The primary PVD techniques are:
Vaporization. An electron beam, for example, encourages the evaporation of a
metal (the target), and the resulting vapor condenses on the workpiece. The ionized
metal vapor combines with a reactive gas (nitrogen, oxygen, or hydrocarbon) when
the gas is added to the reactor, creating a compound that is deposited on the workpiece.
For instance, TiN is produced using nitrogen and a titanium target. The spitting. Inert
gas ions (usually argon ions) assault the target, and the freed ions are drawn to the
workpiece. Using reactive gases enables the deposition of substances. Sputtered films
typically exhibit better substrate adherence than evaporated coatings “Ion plating.”
As the target metal evaporates, its atoms are transported to an argon plasma. Ionized
atoms are drawn to the workpiece by their attraction. The heat collisions accelerate
other particles in the direction of the work item. Reactive gases are necessary for
compound deposition in this situation as well. This method is frequently employed
in a variety of applications. The adherence between the coating and substrate may be
compromised by the comparatively low process temperatures being feeble. Compre-
hensive surface preparation of the substrate is necessary to favor it in order to get rid
of the impurities and boost surface reactivity. Sputter etching and ultrasonic cleaning
could be used. A metallic interlayer is also first deposited to help with adhesion.
For instance, a titanium interlayer between 0.1 and 0.2 m is often placed in the
case of TiN and TiAlN coatings. The PVD process’s inability to coat cavities deeper
than their breadth is one of its drawbacks [1, 3, 4].

5.5.2.2 Principal Thin Coating Types

The primary commercially available coatings are shown in Table 5.2. Here are some
additional observations made on the primary coating systems:
154 5 Surface Protection from Wear Through Coating

Table 5.2 Typical characteristics of certain thin commercial coatings [27]

Coating type Typical Process Microhardness (HV Color maximum
thickness (µm) temperature (°C)a 0.05) application
temperature (°C)
TiN 1–4 350–450 2400 Gold 600
TiCN 1–4 450 3000 Silver 400
TiAlN 1–3 450 3500 Brown 800
AlCrN 1–4 450 3000 Gray 1100
CrN 1–10 450 1800 Silver 700
WC/C 1–5 250 1000–2000 Balck 300
a They speak of an ordinary PVD procedure

• TiN. Excellent general tribological qualities characterize it. It is frequently

employed to coat stamping and cutting instruments. Their operating conditions
are constrained by its rather poor oxidation resistance at high temperatures.
• TiCN. It is harder than TiN and has improved wear resistance, especially against
low-stress abrasion. Due to its enhanced adherence to the substrate’s carbides,
TiC is ideally suited for the deposition of hard sandwich coatings on hard metals,
such as TiC/Al2 O3 /TiN coatings.
• TiAlN. In comparison to TiN, it is harder and most importantly, more thermally
resistant. During sliding at high temperatures, an aluminum oxide layer serves as
a protective covering on the coating’s surface.

The amorphous carbon induces a solid lubricant behavior, while the hard particles
improve the coating’s hardness. The remaining tensions created during the production
process are present in thin coatings [26]. The inherent and thermal stresses each
contribute to them in a typical situation. The coating’s growth mechanisms are to
blame for the intrinsic stresses. They are primarily compressive in character, and
as the process temperature rises, they become less intense. Thermal strains would
increase as the process temperature is cooled and are brought on by the disparity in
the coefficients of thermal expansion between the coating and the substrate. Table 5.3
lists typical values for the elastic characteristics and thermal expansion coefficients of
a few thin coatings. Take PCD placed onto a hard metal substrate as an illustration. If
the coating is deposited at 850 °C and cooled to 25 °C, the information in Table 5.3 can
be used to calculate a thermal residual stress of 2 GPa. In reality, because of the high
processing temperature, PCD coatings made by CVD frequently have compressive
residual stresses that are only thermal in nature [28]. On the other hand, the thermal
component of PVD TiN coatings produced at 200–300 °C only makes up 25% of the
remaining tension [27].
5.5 Coatings of Surface 155

Table 5.3 Elastic and typical thermal expansion coefficients of selected coatings and substrates
(derived from various literature sources) [27]
Coating Coefficient of thermal expansion Young’s modulus (GPa) Poisson’s ratio
(°C)
TiN 9.3 × 10−6 500 0.25
TiC 8.3 × 10−6 450 0.17
CrN 0.7 × 10−6 350
PCD 2.85 × 10−6 1000 0.2
HSS 11.9 × 10−6 215 0.3
WC/Co 5 × 10−6 620 0.22

Table 5.4 Residual stress measurements carried out experimentally on various coatings [27]
Coating/substrate Deposition process Typical residual stress Typical thickness (µm)
(GPa)
CrN/tool steel PVD −1 4
TiN/HSS PVD −4 4–5
TiN/hard metal PVD −4 4
TiC/hard metal CVD + 0.2 4
PCD/hard metal CVD −2 10

In coatings on tool steels and hard metals, compressive and tensile thermal residual
stresses are present, according to an examination of the thermal expansion coeffi-
cients indicated in Table 5.3. In general, the process variables and coating character-
istics have a significant impact on the residual stresses. The findings of experimental
measurements of residual stresses in various coatings are presented in Table 5.4 [27].
Even after cooling, the coating might easily separate if the residual tension is
large and the coating/substrate adhesion is weak. When PCD coatings are applied to
untreated WC–Co, they have a particularly difficult time adhering, which is an issue
[29].

5.5.3 Spraying Flames Using Wire or Rod

A rod or wire enters the heating zone during rod-type flame spraying, melts, and then
spreads in a plume to the substrate, forming a coating (Fig. 5.12). The beginning rods
can be constructed using powder metallurgy, wire, or a conventional rod (sintering
or bonding). The molten particles race to the substrate, strike it at great speed, flatten
out, and create a coating with excellent adherence to the substrate and spot that had
already.
The main topic of discussion here is vapor deposition technique, which is divided
into two categories: physical and chemical. Vacuum deposition, sputtering, and ion
156 5 Surface Protection from Wear Through Coating

Fig. 5.12 Vacuum plating

deposition are the three major types of physical vapor deposition (PVD). Chemical
vapor deposition (CVD) and plasma accelerated chemical vapor deposition are two
types of chemical vapor deposition (PECVD).
• Vacuum deposition entails melting and heating a substance in a vacuum to the
point of evaporation (or sublimation), at which point a significant quantity of
atoms, molecules, or atomic groups escape the molten surface and condense on
the substrate to form a surface coating. great quality and a variety of varieties, it
is mostly used in finishing for corrosion protection, friction reduction, and wear
resistance, as well as in optics, microelectronics, and magnetism.
• Sputtering: This technique deposits a thin coating on the surface of the substrate
by bombarding it with energetic particles, such as positive ions produced by a
glow discharge or an ion source, and using their momentum to knock out atoms
of the target material or other particles, as shown in Fig. 14.8. Coating sputtering is
separated into DC, RF, magnetron, and ion beam sputtering, just as other sputtering
techniques. Spray coating gives a variety of special benefits. Almost all metals,
compounds, and media can be utilized as target materials, and it can achieve
high-speed deposition over a sizable area. It can also build a coating on different
substrate materials. Consequently, the technology of spraying is frequently used
in the industry.
• Ionic Coating: Atoms or molecules with an average kinetic energy of around
0.2 eV are the vaporized particles from the evaporation source. The target atoms in
the sputtered particles have an average energy of 5–10 eV. Fractions of thousands
or percent of the particles are ionized as positive ions in the ionization step before
coagulation, with energies ranging from units to hundreds [7–15].
5.5 Coatings of Surface 157

They can transform into ion-coating materials or working gases during the
process of coagulation and growth followed by energetic ion bombardment. In multi-
technological processes, they and other things coexist and simultaneously developed
[27]. The ionization method’s coating benefits from a dense structure and a solid bond
with the substrate. Another efficient PVD technique besides sputtering and sputtering,
as demonstrated in Fig. 5.13, is ion plating. Ion deposition is a technique for coating
substrates made of metal, non-metal, alloy, ceramic, and composite materials [29].
It can be applied to prevent corrosion, reduce wear, lubricate, decorate, and other
things. Deposition of chemical vapors. A solid film created by the use of one or more
gaseous chemicals or an elemental gas is known as a chemical vapor deposition film
a chemical reaction occurring on a substrate’s surface. A CVD film is depicted in a
diagram in Fig. 5.14. With CVD technology, it is feasible to apply thin films with
excellent purity and integrity in addition to glass film.
Depositing the crystal structure is possible. The chemistry and structure of the thin
film may be easily and precisely controlled using CVD technology in comparison
with other thin film fabrication techniques. We can create bare metal films, alloy
films, and intermetallic compound films using CVD technology. Examples of these
materials include boron, carbon, silicon, germanium, boride, silicide, carbide, amide,
oxide, sulfide, diamond, and diamond. Resembles carbon and is suitable for use
as a decorative, optical, electrical, or other functional coating to ward off wear or
corrosion. The primary drawback of CVD is the high substrate temperature during
deposition, which restricts its use. The substrate must be heated to 900 °C or higher
in order to deposit nitride or boride as a solid film, for instance [1, 27].

Fig. 5.13 Ion plating

158 5 Surface Protection from Wear Through Coating

Fig. 5.14 Plating via chemical vapor deposition

5.5.4 Flame Splashing After Detonation

Defined as supersonic speed, the term “detonation” refers to extremely rapid combus-
tion in which the flame front moves faster than the speed of sound in unburned gases.
Through a tubular barrel that is closed at one end, a precisely measured quantity
of an oxygen and acetylene-based flammable mixture is fed. The gas inlets can be
coated with a layer of nitrogen to avoid any backfiring. A fixed quantity of coating
powder is also delivered into the combustion chamber at the same time camera. A
straightforward spark plug is used to ignite the gas mixture inside the chamber [27].
A plume is created during the gas mixture’s combustion, which melts the particles
and creates a coating (Fig. 5.15).

5.5.4.1 Oxygen Fuel is Sprayed at a High Speed

The technique of high-velocity flame powder spraying, which is created around

1981, involves a continuous burning process with an estimated 400–5000 fps exit gas
velocity. An internal combustion chamber is used to burn a fuel gas (often propylene)
and oxygen under high pressure (60–90 psi). Through exhaust ports, hot exhaust gases
are released from the combustion chamber and expanded into an extended nozzle.
This nozzle receives powder that is fed axially, which is then constrained by the

Fig. 5.15 Technological spraying of flames

5.5 Coatings of Surface 159

Fig. 5.16 Technology of detonation flame spray

Fig. 5.17 Spray HVOF technique

exhaust gas flow until it emerges as a thin, high-velocity jet to create coatings that
are significantly denser than coatings made using traditional or standard flame spray
powder techniques (Fig. 5.16).

5.5.4.2 Arc-Sprayed Wire

The most cost-effective thermal spraying method is twin wire arc spraying. Two
oppositely charged wires are connected together in this type of deposition procedure
in such a way that an arc forms at their crossing, causing heating and melting to
occur (Fig. 5.17). As soon as it is lit, the arc begins to melt the wires continually, and
when compressed air is directed directly through the point of contact, it atomizes the
melt and ejects melt droplets that stick to the substrate and form a coating. Porosity,
microstructure, and oxide content are important melting and coating qualities that are
strongly influenced by arc variations caused by the frequent removal of melt droplets
from the electrode tips [29].

5.5.4.3 Plasma Spraying Technique

A versatile and affordable technique for producing coatings and bulk materials is
plasma spraying. The concept for the plasma spraying method was first developed in
Germany in 1909, and two American companies, Plasma Dyne, and Union Carbide,
produced the first structural plasma installation in the 1960s. A gas is transported
160 5 Surface Protection from Wear Through Coating

Fig. 5.18 Arc spray technology on wires

between a tungsten cathode and a copper anode that is cooled by water, which is
often argon but can also occasionally contain nitrogen, hydrogen, or helium. The
cylindrical nozzle serves as both the anode and the container for the cathode. A high-
frequency discharge is used to generate an electric arc between two electrodes, and
after that sustained with DC energy. The ionization of gas by the arc produces the
plasma. The feedstock materials are introduced into the plasma plume through the
gun nozzle, where they melt and spread to the substrates (Fig. 5.18) [19].

5.6 Utilizing Thermal Spray Technology to Prevent Against

Wear

Many industrial items can benefit from thermal spraying, whether they are being
manufactured, recycled, or re-engineered. While some compounds are sprayed by
the ton, others are employed for auxiliary purposes. Each application combines mate-
rial and method to produce the targeted profit. restoration and reengineering of a wide
range of rotating and moving parts of machines of all kinds, such as vehicles, both
railways and roads, ships, aerospace, printing, paper, chemical, food, mining, earth-
moving, machine building tools, chassis (chromium replacement), and any equip-
ment subject to wear, erosion, or corrosion. This is accomplished by spraying steel,
nickel alloys, carbides, stainless alloys, bronze, copper, and a variety of other mate-
rials utilizing arc spray, flame spray, or HVOF systems. Added elements that profit
from Gate and ball valves, drill bits and downhole tools, printing rollers, water seals,
aerospace combustion chambers, and turbine blades are just a few of the surfaces
that thermal spraying may improve. On a variety of parts operating in hostile condi-
tions where erosive wear, corrosion, or high temperatures impair the life of the parts,
thermal spray coatings are used [20]. Thermal spraying techniques considerably
extend the service life of items (Fig. 5.19).
5.7 Design of Surface Coating 161

Fig. 5.19 Technology for plasma spray coating

5.7 Design of Surface Coating

Metallurgy or electroplating is used in surface coating technologies to increase the

surface’s strength. Understanding the operating circumstances of pre-coated compo-
nents and potential failure modes is necessary before developing and choosing
coating materials and coating properties in order to achieve a high-quality surface
coating. In addition, the characteristics and application of the coating method must
be taken into consideration while choosing the right coating procedure. Designing
surface coatings is a crucial task [27].

5.7.1 General Coating Design Principles

• Comply with working conditions requirements: The type of coating is chosen

based on the effort and working circumstances. For instance, thermal spraying
can be utilized in atmospheric or harsh settings, and ceramics, plastics, or other
non-metallic materials can be selected as the coating material. Ceramics or alloys
should be taken into consideration as a coating material to boost the surface’s wear
resistance. Heat-resistant steel, alloy, and ceramic coatings should be utilized if
the coating operates at high temperatures or the temperature varies greatly.
• Appropriate structure and properties: Based on the working conditions, the
coating’s thickness, adhesion strength, and dimensional tolerance should be esti-
mated. It should also be decided whether holes should be permitted inside the
coating, whether there if machining is required, and how rough the finished surface
will be.
• Capability of adapting to the properties and material of the substrate. The
coating must conform to the substrate surface’s material, size, shape, physical and
chemical characteristics, coefficient of thermal expansion, and heat treatment.
• Technically Feasible: We must examine the viability of the chosen coating proce-
dure in order to actualize the design attributes of a surface coating. A combination
coating should be taken into consideration if performance cannot be attained with
just one layer [25–27].
162 5 Surface Protection from Wear Through Coating

5.7.2 Choosing a Surface Plating Technique

The following factors are typically taken into consideration when choosing a coating
technique.
• The melting point of the coating material: For instance, ceramic coating materials
have greater melting points than metal materials, allowing for the employment of
the plasma spraying technique.
• Thickness of the coating: The ideal coating thickness varies generally. The thick-
ness of the thermal spray coating is between 0.2 and 0.6 mm, the thickness of the
sprayed coating is between 0.2 and 1.2 mm, the coating thickness of the electric
brush is less than 0.5 mm, and the regular coating thickness is less than 0.05 mm
under typical circumstances.
• Coating and substrate adhesion strength: Coatings produced by thermal spraying
and seam welding have high adhesive power. For instance, the nickel-based self-
melting alloy powder coating sprayed onto the substrate has an adhesive strength
that surpasses 3.5 MPa; for thermal spraying, the adhesive strength is typically
0.3–0.5 MPa. The electrobrush coating’s adhesion strength to the substrate is often
stronger than the electrobrush coatings, but lower than the spray coatings.
• The substrate surface can melt during bead welding, while traditional spraying
only reaches a surface temperature of 300 °C or less and melt spraying can reach a
surface temperature of 1000 °C. Slurry coating or electrobrush coating, however,
can be done at ambient temperature. During the coating process, the coating
substrate’s temperature is also low, often at room temperature or a little higher
[1, 27].

5.8 Testing of Coating Performance

With the extensive usage of coatings and surface modification technologies, the
quality of the coating and performance verification are receiving increasing amounts
of attention. Since coatings are created using various techniques and procedures, there
are various ways to evaluate their effectiveness. Only qualitative or semi-quantitative
tests can be employed for some coatings. The following are general techniques for
evaluating coating performance in real-world settings [27].

5.8.1 Structure and Appearance

5.8.1.1 Coating’s Appearance

The coating’s surface should be consistent in color, smooth, solid, and free of bubbles,
peeling, or shedding. If the coating is uneven or has tiny holes, it needs to be polished.
5.8 Testing of Coating Performance 163

5.8.1.2 Measurement of Coating Thickness

The most popular technique for determining coating thickness involves using a
microscope, a micrometer, or gauges as shown below.
• Under a microscope, measure the thickness of a cross section of the coated sample
at more than five measurement locations across at least two fields of view. The
point intervals must be equal. The coating thickness is determined by taking
the average or minimum value. The microscope magnification for thermal spray
coating is 20×, and for brush coating, 200–500× magnification is used.
• Use a micrometer to gauge the substrate’s thickness. Repeat the thickness
measurement at the same locations after coating or brushing. At least three
measurement points are required. To determine the average coating thickness
or the minimum thickness, compare with substrate measurements.
• Coating thickness can be determined using contact scanning, magnetic, or eddy
current probes. Eddy current measurement gauges coating thickness by measuring
the amplitude and phase of eddy currents produced at the surface. The magnitude
of the amplitude and phase of the eddy current vary with coating thickness. As
a result, the coating’s thickness may be calculated from the change in amplitude
and phase [26, 27, 29, 30].

5.8.1.3 Determining a Coating’s Porosity

Pores are constantly covering. To increase the coating’s resistance to wear, they
can gather oil and abrasives. However, the corrosive environment may seep through
the perforations to the substrate’s surface and reduce the coating’s adhesive power,
causing the coating to peel the porosity is the quantity of pores per square inch of
the coating, which ranges from 5 to 15%.

5.8.1.4 Adhesion Test

Coating adhesion force includes the adhesion force between the coating particles as
well as the adhesion force between the coating and the substrate. When applying by
spray and brush, the only factor to consider is how well the coating adheres to the
substrate [1].

5.8.1.5 Impact Hammer Test

The hammer weighs 500 g. If you drop it from a height of 100 mm, it will hit the
same place on the coating several times until the coating begins to peel off. The test
reference is the number of pulldowns, as shown in Fig. 5.20.
164 5 Surface Protection from Wear Through Coating

Fig. 5.20 Impact test using

a drop hammer

5.8.1.6 Impact Vibration Test

Work the coating with a vibrator until it begins to flake or crack. Impact energy is
used to describe tensile strength of the link between the substrate and the coating.
For thermal spraying of ceramic coating, this technique works well.

5.8.1.7 Scuffs

Determine the binding strength in accordance with the specification for the coating
type by carefully scratching the coating perpendicularly with a needle tool. This
technique works well for brush coating, plastic coating, and spray spraying soft
metals like aluminum, zinc, and lead.

5.8.1.8 Test Failed

A 1mm mild steel plate should have a 0.1mm thick coating applied. Bend the sample
numerous times in a vice until it breaks. The adhesive strength is good if the coating
does not delaminate at the fracture.

5.8.1.9 Test of Tensile Strength

Usually, tensile test conditions are used to conduct the test. Test specimens can be
split into two categories: agglomerate-containing and agglomerate-free. A tensile
test is depicted without agglomerate. Make a hole in the base’s middle. Use a slip fit
to connect the central hole with the pins. A plane must contain both the pin surface
and the base surface. As demonstrated in the figure, spray the coating over a flat
5.8 Testing of Coating Performance 165

surface and then apply a force to assess the adhesion strength. Even if the connec-
tion between the pin and the base is done with extreme precision, the test without
an agglomerant has the drawback that a bridge coating may form between them,
creating stress concentration and a potential source of failure [11]. As a result, this
test method’s measurement result is typically less accurate than the real one. Addi-
tionally, the coating must be a specific thickness or it could fail under shear and the
bond will not be able to acquire its tensile strength. However, the adhesive strength
decreases with coating thickness. The tensile test procedure for the agglomeration
covers the double sample’s surface with agglomerate and then adheres the second
double sample to the coating’s surface. Crushed for testing is the dispersed agglom-
erant and sprayed coating. It becomes challenging to directly compare the test result
from the present with the result from the test without the agglomerator because the
agglomerant unavoidably penetrates into the pores of the coating during the bonding
process. The agglomeration test yielded a higher intensity. This typically produces
better results for coating plastic; however, it is not appropriate for spray coating
[11, 12].

5.8.1.10 Shear Strength Test

Shear the two types of coating adhesion tests with and without sinter are also distin-
guishable from one another in Fig. 5.21. The agglomeration is utilized to join two
objects in Fig. 5.22.

Fig. 5.21 Test of bond

strength without an
agglomerant
166 5 Surface Protection from Wear Through Coating

Fig. 5.22 Test of bond

strength using an
agglomerant

Fig. 5.23 Coating shear bond strength test

We can determine the coating’s shear bond strength by pulling the parts to break
the coating. Two parallel plates are utilized as shear specimens in Fig. 5.23b to test
the coating’s adhesive strength. Reference [12] lists further shear testing.

5.8.1.11 Measurement of Internal Bond Strength

The adhesion between coating particles, which represents the adhesion between parti-
cles, also known as coating strength, is the intrinsic adhesive strength of a coating.
The coating’s strength varies greatly whether it is parallel and perpendicular to the
surface. Figure 5.24 depicts the fixture and sample for the parallel strength test. When
applying a primary load at a rate of 9807 N/min, we can quickly attain strength.
5.8 Testing of Coating Performance 167

Fig. 5.24 Test for coating strength in parallel

Figure 5.25 depicts the perpendicular coating’s strength test results. The test
surface coating is sprayed after a layer of low melting point solder has been placed on
one side of the workpiece and the surface roughness has been eliminated using shot
blasting. To remove the coating, heat the solder next. Connect the ends of the two
rods, as indicated in Fig. 5.25b, and conduct a tensile test. The coating’s strength must
be larger than the strength of the utilized agglomerate. To assess the coating’s adhe-
sion strength, a fast-moving particle beam is used. High-speed particles are ejected
from a nozzle, as seen in Fig. 5.26, which can precisely control the particle speed,
flow rate, and collision location. In effect, Particles of the coating can come off. The
degree of the binding between the coating’s particles can be assessed by counting the
number of fallen-off coating particles. The bond strength between coating particles
is measured using this test method, which is incredibly exact. Similar to the perpen-
dicular test, spray coating is not a good candidate for this test. It is mostly used for
ceramic coatings on hard metals. Figure 5.27 illustrates how to test the coating for
torsion using a brush. Pure torsion is applied to the sample. The coating cracking is
used as the test standard.
It measures coverage. The binding strength between the coating and the substrate
is roughly equivalent to the shear stress in the event that the brush coating separates.
The torsion test has excellent reproducibility and great accuracy. However, the same
coating thickness should be maintained because the brush coating thickness has a
significant impact on the observed results. Please be aware that if the coating process
and the standard are different for any of the several test methods mentioned above,
the measurement results will also differ. The adhesive strength varies depending on
the conditions in which the coating is produced [12].

5.8.1.12 Test for Hardness

There are various ways to test a coating’s hardness; however, the results will vary
depending on the test method. Typical techniques for measuring the two categories
168 5 Surface Protection from Wear Through Coating

Fig. 5.25 Testing the vertical coating strength

Fig. 5.26 Impact test with a high-speed particle beam

Fig. 5.27 Torsion test for brush coating strength

5.8 Testing of Coating Performance 169

of hardness are typically static (indentation) and dynamic. Brinell, Rockwell, and
Vickers hardness are all types of static hardness. The coating test also takes into
account the surface’s scratch resistance. Only two types of special hardness tests will
be discussed in this article because typical hardness testing techniques are covered
in standard textbooks [11, 12].

5.8.1.13 Test for Microhardness (HM)

The sample is stored on a small scale in the microhardness test, which is typically used
to assess the hardness of material compositions or collections of phases. Additionally,
it works well to employ the technique for determining the microhardness of a single
aerosol particle. The microhardness tester operates on the same principles as that
although the applied load is lower than that of the Vickers hardness tester. The
loading 2, 5, 10, 20, 50, 100, or 200 g are frequently utilized. Except for plastic
coatings, suitable for all coatings, especially for brushes that are less than 0.3 mm
thick. In order to understand the phase structure of deposited coatings, microhardness
is frequently used [12, 13].

5.8.1.14 Hoffman Scratch Hardness Test

Through the Hoffman scratch hardness test, a coating’s hardness and wear resistance
are inferred. Although it needs a minimum thickness of 0.89mm, it is appropriate
for coatings on soft metal and plastic. The coating is scratched when employing a
6 mm taper head with a load of 19.60 N. The hardness and wear resistance of the
coating can be represented by the scratch width. The greater the scratch’s width, the
coating’s adhesive strength decreases with decreasing hardness [12].

5.8.1.15 Test of Wear

The most popular strategy for reducing wear is coating. The correlation between the
coating’s microstructure and the metal phase’s hardness determines how resistant the
coating is to wear. Although the macrohardness is not very high, the wear resistance
can be high due to the pores and oxide present in the coating as a thin film between
the coating particles or in other forms (such as granules), a particular degree of
lubricity. Not only is the coating’s hardness closely related to the brush coating’s
wear resistance, but so are the composition and structure of the coating settings for
the electroplating process and the electroplating solution. Additionally, the resistance
to friction and wear of the coating’s characteristics are not those of the material itself;
rather, they depend on a number of tribosystem variables. The wear test data will
considerably change if the operating conditions change. Therefore, it is only possible
to assess the coating’s wear resistance under specific predetermined circumstances
[11–13].
170 5 Surface Protection from Wear Through Coating

5.8.2 Extra Performance Evaluations

5.8.2.1 Test for Fatigue

The four-point bend test is a typical fatigue test. The capacity of a coating to tolerate
fatigue damage is represented by the number of cycles at which a crack appears. To
test coating fatigue, deformation, rotation, or other bending techniques can also be
applied.

5.8.2.2 Measurement of Residual Voltage

Remaining stress in the solid can result from solidification shrinkage or imbalanced
crystallization coating. The residual stress in the coating increases when the expan-
sion coefficients of the substrate material and the coating material diverge more. The
residual voltage fluctuates along with changes in the composition of the plating solu-
tion, plating temperature, substrate temperature, and operational parameters for the
plating process. In general, residual stress increases with coating thickness. Addi-
tionally, other parameters like the coating material’s melting point are related to
residual stress. Varied coating materials and thermal spraying techniques will result
in different residual strains. The residual stress of plasma spray coating is greater than
that of oxyacetylene flame coating when the coated material is metal. The residual
stress will be higher if the coating is ceramic and it is more than that of the plasma
flame spray coating for the oxyacetylene flame spray coating [12–14].
• X-ray diffraction analysis technique: Before testing, sand the coated sample’s
surface until it is smooth with a maximum roughness Ra = 40–70 m. Then, from
room temperature to 600 °C, measure the tension in the coating using an X-ray
diffractometer.
• The main benefit of the X-ray diffraction approach is the non-destructive eval-
uation of surface stress; the main drawback is that if the coating is too thick, it
might be challenging to precisely identify the stress distribution and stress level
at the interface. If the coating thickness is less than 0.15 mm, the measurement
will yield very accurate results.
• The curve-bending technique of the annular specimen: Work the sample blank
with a ring and spray or brush a coating on its surface. The sample’s curvature
will alter due to residual stress in the coating. In addition to the methods mentioned
above, residual strain can also be measured using other techniques such as the
load cell, projection method, and trapezoidal groove method. voltage, but they fall
short of the X-ray diffraction approach in terms of quality, usability, and accuracy.
So, it is resumed the following:
• This chapter introduces many types of wear, including abrasive, fatigue, adhesive,
and tribochemical wear. Wear models are used to illustrate the various wear tools.
When triboelements actually wear out, several of these types of wear are activated
5.8 Testing of Coating Performance 171

simultaneously, and because of the wear itself, there are periodic major shifts in
wear types, beginning with one and ending with another.
• Once more, wear is sensitive to changes in the mass, shape, stiffness, material
qualities, and condition of the numerous carcass boundaries. The quantitative
expectation of wear rates is still far from the actual wear rates in the world given
this multi-parameter exposure to wear. In light of the limitations of the wear, it is
crucial to recognize a significant type of wear and its typical wear mechanisms
carcass.
• Surface coating extends segment life and lowers the price of replacement. The
development of functionally appealing surfaces serves as the driving force
behind surface innovation. Numerous coatings can enhance the flow, resistance
to deterioration, and durability of materials.
• It can be said that one of the most crucial tactics in the surface modification
strategy is thermal spray coating. This study served as the catalyst for gathering
crucial information on some of the primary thermal spray techniques, among
which the HVOF coverage measure is the most suitable.
• High hardness, continuous coating layer, and uniform coating thickness may
all be achieved using the HVOF spray method. Due to its superior quality,
hardness, porosity, wear resistance, and erosion resistance as compared to
another cy.

Problems

1. Certain issues that influence the coating or the coated component may arise
during the coating or surface treatment of components. Describe the issue and
its cause for each of the following situations. After that, make recommendations
on ways to solve the issue.
(a) High-strength steels being weakened by hydrogen during electroplating.
(b) After electrodeposition, a component’s coating thickness changes.
(c) The thermally sprayed coating’s high porosity.
2. Explain why, despite the fact that a steel part’s surface can be laser-hardened in
a matter of seconds, carburizing can cause the process to take several hours.
3. The following applications are suggested for the use of surface engineering
techniques to enhance tribological performance. For each situation, I suggest
a workable surface treatment method (and material, if necessary).
(a) Identify and defend a suitable laboratory test technique to aid in coating
application choice.
(b) Identify the benefits and drawbacks of the test technique of choice.
(c) Ascertain any more data you require to improve your testing strategy.
4. How to prevent deterioration between surfaces of bolted joints when vibration is
present.
5. How to make sure that plastic eyeglass lenses are scratch-resistant (spectacles).
172 5 Surface Protection from Wear Through Coating

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Chapter 6
The Friction

6.1 Introduction

In order to initiate or maintain movement, there appears to be a pressure that must

be overcome as well as a force that is lost during relative movement. Dry fric-
tion of substances can be defined as resistance to relative motion between two
contacting surfaces, whereas friction over time reflects the slow loss of kinetic force
for substances or our bodies in relative motion. From an engineering perspective,
friction is the primary factor in component and tool failure as well as the most signif-
icant source of electricity loss in the thermal system. The resistance that a body
encounters can be characterized as the frictional force. after transferring to another
This inclusive definition includes two slipping and rolling teach us vital lessons
about relative movement [1]. When two stiff surfaces are put together, sliding almost
always occurs; contact typically only happens on distant parts of the nominal contact
area. Forces between two bodies act through these small areas of contact, and these
forces are what cause friction. We will examine the fundamentals of friction in this
chapter and make an effort to comprehend how much friction interacts with metals,
polymers, ceramics, and other materials. We also demonstrate how to calculate the
temperature rise in sliding contact due to energy loss from friction. We shall attempt
to comprehend the scale of the frictional interactions between metals, polymers,
ceramics, and other materials in this chapter, which will give the impression that we
are at the frictional pressure’s infancy. Next, we will look at how to calculate the
increase in temperature caused by the loss of frictional force in the sliding contact
[2]. The impact of friction on contact stresses and surface plastic deformations will
first be discussed in this chapter. Following that, asperity adhesive interactions and
local plastic deformations will be taken into account jointly. As a result, we will be
able to gain a comprehensive understanding of the causes of friction, emphasizing
the importance of clutch effort, transfer phenomena, and initial surface roughness.
The stick-slip phenomenon, rolling friction, the impact of abrasion on friction, and
friction-induced surface heating will all be taken into consideration.

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2024 175
R. A. Al-Samarai and Y. Al-Douri, Friction and Wear in Metals, Materials Horizons:
From Nature to Nanomaterials, https://doi.org/10.1007/978-981-97-1168-0_6
176 6 The Friction

6.2 The Basics of Tribology

6.2.1 Contacting Surfaces

The properties of the two sliding surfaces are the fundamental determinants of fric-
tion and wear. As can be seen from material characteristics like microstructure, the
presence of organic molecules and oxides, water vapor, geometric irregularities, and
other impurities that can be adsorbed from the atmosphere, the complexity of surfaces
is evident in the difficulty of predicting and better explaining such phenomena. Due
to the creation of stress in the slip zone and the strong construction of physical or
chemical interactions, the basic characteristics of two entities’ sliding surfaces that
come into contact dictate the nature of their interaction [3]. The idea of a smooth
surface, or a surface devoid of geometric irregularities, can be used to compute
contact stresses. In general, at the molecular level, smooth surfaces are challenging
to create. Hertz’s theoretical analysis for linear elastic bodies can be used to deter-
mine the link between contact stresses and strains. If the radius of the contact body
is greater than the size of the contact area, this can be used when two bodies are in
frictional or elastic contact.

6.2.1.1 Friction Effect on Contact Stresses

The relative motion between two bodies and that are being kept in close proximity
by a normal force, F N , must first be initiated by a tangential force, F T (Fig. 6.1a).
To counteract the static friction force, F f , which opposes the motion, a force known
as friction force is necessary.
The static friction coefficient is represented by the ratio F T /F N = s. In general, s
is independent of the nominal area of contact, whereas F N , the characteristics of the
mating materials, and the surfaces of those materials can all affect it takes a tangential

(a) (b)
FN
μ
μs

μ
FT
Ff

Time or sliding distance

Fig. 6.1 Diagram illustrating the motion of two bodies in contact and defining the static and kinetic
friction coefficients as necessary [4]
6.2 The Basics of Tribology 177

force to balance off the kinetic friction force in order to keep the two bodies sliding
past one another at a certain pace. The coefficient of this situation is the ratio F T /F N
= friction that is generated in motion. Although it may be affected by F N , the sliding
speed (especially at high speeds), the materials in contact, and the surfaces of the
materials in contact, this coefficient is also typically independent from the nominal
area of contact. As seen in Fig. 6.1b, the coefficient of static friction is frequently
greater than the coefficient of kinetic friction, though this is not always the case
[5, 6].

6.2.1.2 Viscoelastic Contact

Polymers are susceptible to deformation behavior that is influenced by plastic, elastic,

and viscoelastic processes. For instance, the polypropylene (PP) sphere is firmly
forced against a clear plane while being affected by time and contact deformation
displacement. The influence of viscosity in polymer plates is the heat release may
be above the glass transition temperature and is primarily perceptible when holding
the amorphous phase. Additionally, viscoelastic loading and unloading processes are
linked to energy loss. Due to the material’s reduced thermal conductivity, this energy
loss can raise the temperature of the material. However, stable plastic deformation
can be produced. Additionally, because plastic and viscoelastic processes depend
on temperature, they become more intense as the temperature rises [5]. Depicts
the motion and passage of different loads as polypropylene is slid across a plane.
The material exhibits plastic behavior, and the applied contact load may result in
plastic deformation. The material’s uniaxial yield strength is also impacted by the
equivalent stress at the critical point. Although the material is not at its most elastic
in this situation, it should be in an elastoplastic state [6]. The elastic–plastic contact
with spherical and flat contact is depicted in detail. In this instance, the sphere is more
difficult than the plane. The size of the plastic zone might grow as the applied load
rises. At a contact pressure below the particular limit, the applied load is released,
and then at the same additional load, which most likely just causes an increase in
elastic deformation.

6.2.1.3 Friction and Plastic Deformation

It is possible to distinguish between positive and poor friction forces. Without friction,
it would be impossible to walk on the ground, lift objects, or utilize automobile tires
on the road. Friction can rise in specific situations, such as with machine applications
like clutches, car brakes, and power transmission (belt drives). Friction is undesirable
in many situations, such as with rotating and sliding parts like seals and bearings.
The rate of material loss (also known as wear rate) and energy loss increases with
increasing friction. Friction is decreased in these types of working environments
[5]. Real surfaces are not perfectly flat, as is discussed in Chap. 1, and when they
are forced together, contact patches form at their asperities. Like in metals, plastic
178 6 The Friction

(a) (b)

Fig. 6.2 Illustration of the deformations at each junction of bumps; a static contact, b sliding
contact

makes up the majority of these contacts in most situations. With reference to the
scenario where Ar/An << 1, i.e., p0 << pY, we shall assess the significant effects
of friction using a straightforward method. When two bodies in contact slide at a
velocity v, the junctions frequently break off and then reform at new locations. Thus, a
dynamic equilibrium is achieved, which is characterized by a constant rate of junction
formation and dissolution. At critical shear stress (τ m), operating at the interface
between two asperities, each junction detaches a connection. Due to adhesion, this
shearing procedure is required, and it is also connected to the plastic deformation
at the asperities. Each volume element at the asperity junction is subjected to a
compressive stress, c, determined by σ c = F N /Ar, and a shear stress, m, determined
by τ m = F T /Ar, in the straightforward method shown in Fig. 6.2. Shear stress causes
yielding to occur.
As an illustration, Fig. 6.3 displays a cross section of a Ti–6Al–4V specimen’s
surface after it has dry slid against a counterface made of the same alloy. The applied
load is 100 N, and the highest contact pressure is 325 MPa. The sliding speed is
0.063 m/s. A friction coefficient of roughly 0.5 is reported under these circumstances
[7]. The grains at the surface exhibit significant shear deformation in the sliding
direction, as seen in the micrograph. For a thickness depth of about 20–25 m, which
is on the order of the size of the plastic junctions, the degree of plastic deformation
decreases as one moves inward. Therefore, we can conclude that friction caused a
significant surface microplastic deformation by shear, which is with an estimated
increase in Ar from 100/(350 9.81) = 0.0291 mm2 after the initial static contact
to 0.0291 1 12 0:52 14 0:0582 mm2 during sliding (with an increase of 100%),
the surface plastic deformation is estimated to have been confined at the asperities
(the comparison with the undeformed grains allows an estimation of surface plastic
deformation of more than 200%).
Given that this titanium alloy’s uniaxial yield strength is around 980 MPa, it
is apparent that y 490 MPa (according to the Tresca yield criterion) and pmax/y
0.66. However, plastic yielding is unquestionably accomplished at asperity contact
points. Additionally, due to the repeated contacts and cyclic loading during sliding,
6.2 The Basics of Tribology 179

Fig. 6.3 Dry sliding (F N =

100 N, v = 0.063 m/s) of the
Ti–6Al–4V alloy caused
plastic deformation at the
asperities [7]

the asperities may experience an accumulation of plastic deformation by ratcheting,

which when combined with the local compressive state of stress results in plastic
deformations that are significantly larger than those typically observed following
tensile test.
The additional plastic contribution from shearing is often minimal if the coeffi-
cient of friction is low, which is typically less than 0.15. However, if the friction
coefficient is relatively high more than 0.3, plastic deformation at the asperities can
be quite noticeable because local ratcheting effects start to matter. Such deformations
cause a significant junction growth and have a depth corresponding to the junction
size. As detailed in the next chapters, they may also encourage local wear processes
by amplifying the consequences of damage. The experimental relationship between
and W 12/H for several metal pairings is depicted in Fig. 6.4a [8]. Figure 6.4b illus-
trates a related idea. In the case of dry sliding against SiC, it exhibits a function of
Ar for various metals [9]. Here, Ar represents the actual area of contact that has been
evaluated and is the metal’s surface energy. As a result, the product Ar is propor-
tional to W 12/H. It is further discovered by contrasting Fig. 6.4a, b that metals such
as aluminum, iron, and nickel exhibit a higher coefficient of friction when moving
against one another than when moving against a ceramic (SiC) counterface. This
can be explained by the fact that W 12 has a lower resistance to SiC. The friction
coefficient versus the pull-off force for low-frequency plasma-deposited Si3 N4 films
in contact with monolithic substrates is shown in Fig. 6.4c—Si3 N4 pins. At temper-
atures ranging from ambient temperature to 700 °C, the adhesion and friction tests
are conducted. Both parameters depend on adhesion, so there is a clear proportion-
ality between them. Specifically, the author claimed that the elimination of a surface
contaminant layer caused an increase in adhesion as temperature rose. Such a result
is especially useful at temperatures above 400 °C.
The smooth surface hypothesis, which forms the basis of the evaluations outlined
in the preceding paragraph, must be used with caution in engineering evaluations
when the friction coefficient is greater than 0.3. The asperities also exhibit plastic
deformation in ting [1].
180 6 The Friction

Fig. 6.4 Coefficient of friction for several metals sliding against each other with respect to W 12/H
(modified from [9]); b for some metals sliding against SiC, friction coefficient versus Ar; for low-
frequency plasma-deposited Si3N4 films in contact with monolithic Si3N4 pins, friction coefficient
versus pull of force [8]

Contact experience localized heating and may communicate with the counter and
the surroundings. All of these events, which will be discussed in more detail in the
following paragraphs, result in the production of a surface tribological layer (also
known as a friction layer), whose characteristics help to predict how the system will
react to tribological loading in terms of friction and wear. In fact, the determination
of the coefficient of friction is often regarded as a quick and simple method for
evaluating adhesion (and adhesion work) between two surfaces [8]. There are some
notable documented examples in this regard.
A sliding contact between metals with high W 12 values and under vacuum circum-
stances, when the majority of impurities are eliminated from the surfaces, is another
intriguing scenario from a design perspective. In these circumstances, extremely
high experimental values are frequently recorded, sometimes reaching 10 or more
for some pure metals.
It should be understood, are merely suggestions for understanding the extremely
complex phenomenon of friction. In actuality, a number of factors make using them
rather challenging. First, surface contaminants have a significant impact on adhesion
performance. Such contaminants are removed from the mating surfaces during sliding
and especially during running-in, recontacting the counterbody with the sample’s new
irregularities. It may be entire or partial, though, as the level of actual contaminant
removal cannot be predicted. As a result, even the part played in the friction process
6.3 Friction of Metals, Polymer, and Ceramics 181

Body 1: high H

Body 2: high H
Surface skin that reduces W12

Fig. 6.5 Concept for minimizing friction in sliding bodies illustrated schematically

is still not entirely understood. Second, as is seen in the previous section, adhesion is
influenced by local plasticity, which arises with each touch. In coupling hysteresis,
which is caused by this effect, the work of more effort goes into making contacts than
actually approaching them [10]. Simply said, thermodynamic clutch work provides
a broad overview of the sliding adhesion phenomenon. Despite these drawbacks, can
still be very helpful because they offer a strong means of explaining experimental
findings, as is demonstrated by the examples in Fig. 6.5 and others that will be shown
in the following sections. In order to raise H (the hardest contact material) and/or
E*, it is first necessary to decrease the actual contact area. Second, it is essential to
lower m and afterward W 12. Both issues must be resolved simultaneously by making
the contacting materials harder and/or stiffer and developing a surface layer that can
lower W 12. Figure 6.5 depicts a conceptual sketch of this idea. It serves as the basis
for the creation of what are known as solid lubricants.

6.3 Friction of Metals, Polymer, and Ceramics

In order to give a general explanation of the coefficients of friction measured in the

case of dry sliding (i.e., without lubrication) between metals, polymers, and ceramics,
the adhesive friction theory principles established in the preceding section will be
applied. The impact of the typical load will also be considered.

6.3.1 Metals

In metals, the contact roughness is often ductile. Friction should be proportional

to W 12/H. This assertion is supported by the experimental data in Fig. 6.4a for a
number of different pure metals, as can be shown. Figure 6.4b also demonstrates
the involvement of the counterbody in the W 12 modification and, consequently, in
friction by comparison with some of the data shown in figure. Cobalt, titanium,
182 6 The Friction

and magnesium are three metals that display unique behavior due to their closed-
packed hexagonal (hcp) crystal lattice structure. They produce a friction coefficient
of roughly 0.5 while moving against one another, which is far less than what the
experimental figure in Fig. 6.4a suggested. For instance, the W 12/H ratio, which is
comparable to the ratio and characterizes the Ti/Ti pair, which, however, has a friction
coefficient greater than 1 and is of the Fe/Fe pair. If we consider that hcp metals have
a lower capacity to plastic deformation (at least at relatively low temperatures), this
behavior can be explained. Since the adhesion forces in the joints cannot fully develop
during sliding, the joints of irregularities deform with less force [11].
The coefficient of friction is lower while moving between metal alloys than when
moving between the corresponding pure metals. For instance, a value of 0.6 is
recorded in a dry slip between two bronzes (Cu-8% Sn), as opposed to a typical
value of 1 for a Cu/Cu pair. The increase in alloy is the main cause of this hard-
ness. When using W 12 = 1 J/m2 and assuming a typical hardness of 115 kg/mm2
for bronze, for instance, the result obtained from the data in Fig. 6.4a means 0.6,
which is in agreement with the experimental result [11]. Another illustration relates
to steels, where the values are substantially lower than the typical values of the Fe/
Fe couples, falling in the range of 0.6–0.8 (Fig. 6.4a).
Since there are no transfer phenomena during sliding, as will be demonstrated in
the following section, the coefficient of friction in the joining of different metals is
determined by the ratio W 12/H. In light of this, it is anticipated that the coefficient of
friction will drop as tribological compatibility and the harder the softer metal (which
influences the degree of increase in actual touch). For instance, a value of roughly
0.5 can be estimated for the partially compatible Cu/Fe pair, where W 12 = 0.8 J/m2 .
Figure 6.4a supports this claim and shows good agreement with the experimental
results. The same calculations can be used to determine that the value is unquestion-
ably smaller than 0.4 in the instance of sliding bronze on steel. A fixed experimental
value of 0.18 is chosen for this dependence, as will be demonstrated in the next
sentence. As shown in Fig. 6.5, metal surfaces are easily prone to oxidizing while
sliding, generating an oxide layer (or scale) that can lower the coefficient of friction
and serve as a lubricating film. This happens, for instance, in iron, copper, and nickel
alloys. The coefficient of friction reduces as a ceramic/ceramic contact rather than a
metal/metal contact if sliding creates an oxide layer covering the metal (the mecha-
nism is illustrated in Sect. 6.2 when considering tribo-oxidative wear). This causes a
decrease in W 12 as a result. Figure 6.6, for instance, illustrates how the sliding path
affects the change in friction for a steel/steel contact [12]. A friction coefficient of
roughly 0.6 is attained during steady-state air testing. Hematite (Fe2 O3 ) is typically
described for this kind of test as coating the steel surface as it is sliding. Magnetite
(Fe3 O4 ), which contains less oxygen, is the most common oxide for experiments in
medium vacuum (1.3 Pa). The coefficient of friction decreases to 0.3 after 2000 m of
sliding, highlighting the lubricity of magnetite (possibly required for the development
and compaction of oxides).
There are no oxides generated throughout the sliding if the tests are conducted in
a high vacuum (5 × 10–3 Pa), i.e., without oxygen, and metal-to-metal interactions
remain predominant throughout the test. The friction coefficient rises to roughly 0.8
6.3 Friction of Metals, Polymer, and Ceramics 183

Fig. 6.6 According to the

graph caption, the coefficient
of friction changed during
experiments with sliding
steel on steel in air, medium
vacuum (1.3 Pa-MV), and
high vacuum (5 ×
10–3 Pa-HV) [12]

as predicted. Equation in general, as shown in Fig. 6.4a, friction in metals should

not be dependent on the typical load. Figure 6.7a, which displays the findings of
well-known tests conducted by Whitehead in 1950, provides an illustration. They
discuss the sliding of steel on aluminum in air and demonstrate that the coefficient
of friction is approximately 1.25, which is in line with the information in Fig. 6.4a,
and that it is virtually completely independent of the load across a very broad range.
Normal loading can be a factor, and some slip situations can alter the situation. There
are two basic ways that increasing the load might change the local hardness of the
mated metals. Due to these factors, the hardness may rise in work hardening (with
a drop in) or thermal softening-related hardness loss (with an increase in). One of
these impacts might predominate, and the other might cancel out. Two situations that
can be described in this way are shown in Fig. 6.7b, c which depict the sliding of
nodular cast iron over pearlitic cast iron following tempering [13].
The experiments are run with two loads and a sliding speed of 1 m/s. The graph
also displays the equivalent microhardness of the worn surfaces. It should be observed
that when the load increases, the surface’s microhardness rises and friction reduces.
A 36NiCrMo4 steel that has been hardened to a yield strength of 900 MPa is shown in
Fig. 6.7c on high-speed steel, dry sliding [14]. It is evident that when load increases,
the coefficient of friction rises, which may be a result of softening heat generated at
the contacting asperities having an effect. The fact that friction increases with sliding
speed and also contributes to local heating further supports this.

6.3.2 Ceramics

Ceramics typically uses mixed contact on imperfections. If the surface roughness

is minimal enough, it can be entirely elastic. Otherwise, if the surface roughness is
high, it might be ductile. The coefficient of friction should be independent of the
normal load even for elastic connections. An illustration of sliding alumina balls on
184 6 The Friction

Fig. 6.7 Influence of normal load on the coefficient of friction. Steel moves over aluminum;
tempered nodular cast iron moves over pearlitic cast iron (the microhardness of worn surfaces
is also mentioned) [13]); c sliding steel 36crniMo4 versus tool steel [14]

a flat alumina sample is shown in Fig. 6.8. This demonstrates that there is roughly
0.4 friction. In reality, when the usual load is relatively low and the temperature
is below 200 °C, the coefficient of friction in ceramics and under dry conditions
is low (approximately 0.3–0.7). Although it may seem surprising, these values are
actually very similar to those displayed by metal alloys unexpected [15]. In fact,
ceramics exhibit high hardness and elastic modulus values and low surface energy
values. Additionally, the reaction of the surfaces with water vapor or other substances
present in the working environment frequently further reduces the surface energy of
ceramics atmosphere. However, sliding noticeably increases the real contact area,
which increases friction. Two main effects result from cracking at the scale of asper-
ities, which is brought on by surface tensile stresses at the contacts of asperities.
First of all, it reduces roughness while smoothing out imperfections. Second, during
sliding, the resultant pieces can be compressed to create surface flakes that can bear
standard loading. Figure 6.9 illustrates this last consequence as an example. A signif-
icant factor in ceramic materials is the usual load. The friction coefficient can even
rise to 0.8 with an increase above the critical value, creating a macroscopic brittle
contact.
Brittle contact happens when frictional shear stresses are substantial because there
are crucial surface microcracks present. These cracks are frequently found on the
ceramic materials’ surfaces as a result of processing flaws like flaws, inclusions,
and grain boundary porosity. As a result of repetitive contact loads during sliding,
6.3 Friction of Metals, Polymer, and Ceramics 185

Fig. 6.8 Coefficient of

friction of alumina moving
against itself under standard
load [15]

Fig. 6.9 Aluminum oxide

wear surface following dry
sliding on a silicon carbide
surface. You can see in the
image that there are
protecting scales on the right
that support the imposed
force. Additionally, you can
see areas of macroscopically
brittle contact on the left,
which indicates an
intergranular fracture (the
arrow points in the direction
of sliding) [8]

abrasive microcracks can form and cause cracks as well. Areas of intergranular brittle
fracture that developed during dry sliding are shown on the left side of Fig. 6.9.
Energy dissipation is linked to the development of cracks and fragments, as well as
the grinding of such pieces trapped in the contact area, which leads to an increase
in the tangential force that must be applied to maintain relative motion at a constant
speed a steady rate of sliding [15].
When Ar is close to An, a unique dependence of friction on normal load is seen.
In this instance, μ = τ m. An/FN = τ m/p0 where p0 is the nominal pressure. A
common instance of this is when a sphere with a modest radius is forced up against a
flat surface. Thus, it turns out that m F 1/3 when applied to the Hertz relations is thus
obtained that μ ≈ τ m F −1/3 , Fig. 6.10, which depicts the coefficient of friction for a
hemispherical diamond pin (radius 0.3 mm) sliding across a SiC single crystal [8],
provides an illustration of this.
186 6 The Friction

Fig. 6.10 Coefficient of

friction of a hemispherical
diamond pin as a function of
stress when sliding on SiC
[8]

6.3.3 Polymers

Some polymers, like PTFE (polytetrafluoroethylene), behave like solid lubricants

because they have very low coefficients of friction (below 0.1) when sliding on
themselves or other materials, particularly metals [16]. However, in dry sliding, the
friction coefficient of polymers typically ranges from 0.2 to 1, and as a result, it does
not significantly deviate from the values displayed by metals and ceramics. In fact,
the adhesion work of polymers is less than that of metals and ceramics, but this is
also accompanied by a decrease in their hardness and stiffness, with both impacts
being almost proportional. Figure 6.11 depicts the connection between the work of
adhesion and the coefficient of friction for various polymers moving on PA 6 [17].
In order to prevent heat effects which are crucial in polymers, the tests are conducted
under planar conformal contact and at a very slow sliding speed (v = 0.24 m/s). As
can be observed, clutch work increases as the coefficient of friction rises. According
to reports, adhesion is the crucial factor affecting friction under these circumstances.
Viscoelastic effects can also be significant in linear or point contacts, where local
deformations can be extremely considerable. As a result, it requires the addition of a
viscoelastic factor, called visco, to the adhesive friction term. According to this, this
viscoelastic contribution is based on the sentence [17].
This term is particularly significant when the temperature is close to the polymer’s
glass transition temperature T g , where the loss factor is at its highest. In Fig. 6.12,
the coefficient of friction is demonstrated as a function of test temperature during
a scratch test on polymethyl methacrylate (PMMA); in this case, the plowing
contribution introduced is removed from the friction [18].
To prevent heat consequences, the sliding speed is 16 µm/s. It should be noted
that friction peaks at a temperature of about 120 °C, which is the polymer’s glass
transition temperature. The coefficient of friction is virtually independent of the
load at relatively low loads. However, the coefficient of friction drops as the load
rises In fact, Ar tends to An because to the low stiffness polymers if the contacts of
irregularities are primarily elastic (which occurs rather frequently under relatively
light normal stresses). As is previously demonstrated, in this instance, depends on F
6.3 Friction of Metals, Polymer, and Ceramics 187

Fig. 6.11 For several

polymers sliding against PA
6, friction coefficient versus
work of adhesion is observed
[17]

Fig. 6.12
Temperature-dependent
friction coefficient (removed
from the plowing
component) in a scratch test
on PMMA [19]

via the following relationship: μ ≈ τ m F −1/3 . However, the following relationship

is typically seen: μ ≈ τ m F −1/3 , where n typically falls between 0.1 and 0.3 because
of contacts.
While sliding, some plastic joints may still form because the bulges are not entirely
elastic. A steel ball sliding across two polymers at a speed of 250 m/s is depicted
in the example in Fig. 6.13. The importance of plastic deformation on irregularities
increases as the load is increased more, and the friction coefficient may start to rise
[20]. Metals and other materials are frequently combined with polymers in industrial
settings. Surface abrasion can have a plowing effect that raises friction since metals
are harder than polymers, it can be said that if the surface roughness is sufficiently
low, this contribution is insignificant. The transfer phenomena from the polymer, on
the other hand, are crucial to the counterbody. This material transfer is made easier
by the mechanical plowing of imperfections and the adhesive connections formed by
the head between the polar polymer molecules and the counterface. As sliding occurs
between similar materials, the transition layer’s formation modifies the coefficient of
friction. Because of the way fluorine interacts with the metal counterbody in PTFE
(polytetrafluoroethylene), the transfer is rather simple. When a macromolecule is
188 6 The Friction

Fig. 6.13 Friction

coefficient dependence on
normal load for a steel
sphere sliding at 250 m/s
against two polymers [19]

stretched in the direction of sliding, a transfer layer forms, which reduces friction.
Polymers are frequently reinforced with fibers or particles in engineering to boost
their mechanical strength. Depending on how they are used, these additives can alter
the coefficient of friction as well. For instance, a friction value of 0.28 is found when
PA 6.6 is dry slid over steel [17]. The friction coefficient of PA 6.6 increases to
0.31 when reinforced with 30% glass fiber (because to the plowing action of glass
fiber) and drops to 0.2 when reinforced with 30% graphite particles (due to the solid
lubricating effect of glass fiber).

6.3.4 Final Remarks

Equations are used in this section to express the adhesion theory of friction. The
usual values of the coefficient of friction in metals, ceramics, and polymers. Since
friction is a system property that strongly depends on sliding conditions, lists of fric-
tion coefficients are not provided here [21]. We discussed the function of oxidation
(which results in the production of a friction layer), roughness, processes associated
with material transfer, applied load, thermal heating, and other factors. In the parts
that follow, we will list and talk about some more factors that influence friction, such
as lubrication. During sliding, these variables may also behave differently, changing
the coefficient of friction. A very early sliding stage, from the so-called running-in
stage (including surface preparation), is typically followed by the changeover to the
fixed step) polishing and contamination removal. As a result, it is not surprising that
multiple friction coefficient estimates for the same sliding materials can be found in
the literature, and data sets can sometimes be contradictory or even deceptive [22].
Choosing the appropriate coefficient of friction for a given technical application is
therefore a highly challenging task. The adhesion theory of friction and the connec-
tions and justifications discussed in this part serves as the foundation. Although the
literature is also very helpful, it is crucial to have a thorough understanding of the test
conditions in order to make the best decision (and to avoid errors). Conducting tests
6.4 Phenomena of Friction and Transfer 189

for friction in the lab is an additional option. The selection of test equipment in this
scenario is crucial because it must try to replicate contact situations as closely as you
can in the real world. In some circumstances, such as metalworking, it is possible to
infer the coefficient of friction indirectly from manufacturing data. For instance, one
can determine the coefficient of friction during cold or hot rolling by measuring the
breakout force in the rolls. Thus, experimental data can be gathered under a variety
of operating conditions and used as a database for subsequent analyses.

6.4 Phenomena of Friction and Transfer

When discussing friction in polymers in the preceding section, the idea of transport
is first introduced. Typically, soft materials like polymers or relatively soft metals
like aluminum and its alloys that are used to make plastics are linked to transfer
phenomena joints in sliding contact with imperfections. On the harder countersur-
face, a transferred layer of soft material usually forms. Figure 6.14 depicts the mech-
anism’s schematic layout. The irregularities of the softest contacting material, or the
material with the lowest mechanical strength, accumulate plastic damage due to the
re-formation of plastic joints during sliding. When critical damage is attained, this
may result in the formation of a shard. It may either separate into wear fragments (in
which case it would be adhesive wear) or it could stay attached to counteract material
imperfections, which support the transfer layer. The wear surface of AISI D2 tool
steel, which has a hardness of 800 kg/mm2 , is shown as an example in Fig. 6.15a
after dry sliding it for 5 min on bronze (Cu-8% Sn; hardness: 230 kg/mm2 ) [11]. It is
easy to observe that there are several bronze particles that have been firmly bonded to
the surface of the steel. It has been noted that as slip time grows, drift intensity does
as well. About 30% of the counterbody is covered by the transferred particles at the
end of the test (10 min). The variation in friction over time is depicted in Fig. 6.15b
(normal load: 50 N, sliding speed: 0.04 m/s).

FN
v

Plastic junction

Transferred
layer (and
possible wear
fragment)

Fig. 6.14 Schematic showing how the transfer layer is created [19]
190 6 The Friction

Fig. 6.15 Cu-8% Sn alloy sliding dry over AISI D2 tool steel. a The steel surface’s look. The arrow
points in the sliding direction. Keep in mind that there are a lot of black particles present, which are
bronze particles that have been transferred to steel. b Friction coefficient evolution [11]

Two tests’ outcomes are displayed because Ra = 0.02 and 0.22 m modalities of
surface treatment of the steel counterbody are investigated. One can see the first stage,
which has a low coefficient of friction roughly 0.18 for both clutches and is present.
But after gliding for about a minute, the friction starts to rise, peaking at about 0.3
(in both cases) at the end of the test. The mating surfaces actually make bronze/steel
contact at the beginning of the sliding process. The 0.18 friction coefficient is in good
agreement with the justifications presented in the preceding section. The coefficient
of friction also rises as the portion of the contacts changes as transfer phenomena
start and gradually become more significant steel/bronze to bronze/bronze transition.
So, using the mixture rule, it is possible to estimate the coefficient of friction.
Where 11 is the copper alloy’s self-sliding friction coefficient (approximately 0.6),
12 is the copper alloy/steel pair’s friction coefficient, and is the degree of coverage.
By assuming that 11 = 0.6 and 12 = 0.18, we get to the conclusion that = 0.3 and,
subsequently, = 0.29, which is in good agreement with the experimental estimates.
Predicting the transfer phenomenon is challenging. The incubation period typi-
cally lasts for a certain amount of time, depending on the load factors (normal load,
sliding speed, and type of contact). The creation of a transition layer (or third body)
between mated surfaces is one of the reverse transfer events in dynamic equilibrium
that can happen when sliding. The frictional and wear-resistant capabilities of the
tribosystem are determined by the parameters of such a transfer layer. For instance,
practically all solid lubricants work and have associated properties based on the
development of a transfer film that can lessen clutch work, in line with the idea
shown in Fig. 6.5.
6.5 Effect of Sliding Speed and Temperature 191

6.5 Effect of Sliding Speed and Temperature

The mechanical characteristics of materials and, as a result, the coefficient of fric-

tion, are greatly influenced by temperature. The temperature in the contact zone is
primarily influenced by two factors:
(1) the environment (consider, for instance, the heating of gears close to internal
combustion engines or the interface between the cutting tool and the workpiece,
heated by vigorous plastic shear of the chips);
(2) heating resulting from the dissipation of friction energy (due to the adhesive
shift at the joints).
Usually, a rise in temperature results in a reduction in both stiffness and hardness.
As a result, it is reasonable to anticipate a rise in the coefficient of friction. However,
other phenomena can also be accompanied by an increase in temperature, which also
affects the contact conditions. Examples include surface oxidation or some material
transformations. First, the impact of ambient heating will be taken into account. The
experimental relationship between the friction coefficient and the test temperature
during the dry sliding of different materials against one another is shown in Fig. 6.16.
High-strength steel (hardening approximately 500 kg/mm2 ; data culled from a
variety of literature sources); aluminum alloy (Al 6061; data [23]); polymer (PEEK;
data [24]); and ceramics (alumina; data [19]). High-strength steel exhibits a coeffi-
cient of friction that decreases with temperature (at least up to a temperature of 600 °C,
which corresponds to a homologous temperature of about 0.5, determined by the
relationship between the temperature and the metal’s melting point, as measured in
Kelvin). In fact, the steel has an oxide coating that is solidly supported by the primary
high-strength element. This indicates that at room temperature, the coefficient of fric-
tion is rather low. The degree of covering likewise increases with temperature and
reaches almost totality at 500 °C. The temperature is the friction coefficient leveled
off at about 0.3.
Even in the case of an aluminum alloy, the coefficient of friction does, at least
up to a temperature of approximately 150 °C, which again corresponds to a homol-
ogous temperature of around 0.5, decrease somewhat with increasing temperature.

Fig. 6.16 Friction coefficient sensitivity to temperature for various materials [15]
192 6 The Friction

The lowering of the friction coefficient for this alloy can also be correlated with the
development of an oxide layer. However, the coefficient of friction starts to rise at
higher temperatures. The alloy is unable to support the surface oxide layer due to this
behavior, which is linked to the commencement of a discernible thermal softening
that is aided by creep phenomena. The coefficient of friction for a polymer (PEEK:
Polyetheretherketone) barely varies up to a temperature of around 125 °C before
beginning to rise. If the material has an amorphous phase, this behavior is typical of
polymeric materials and is linked to their high-temperature sensitivity. Glass transi-
tion temperature (T g ) of this partly crystalline polymer is around 148 °C. As a result,
at about 130 °C, it starts to soften and its loss factor also rises, which, as mentioned in
the previous section, increases the dissipation of viscoelasticity and causes friction.
The T g of a material composite can be raised with the addition of reinforcing fibers
(such as carbon fibers), ensuring that the coefficient of friction is maintained even at
higher temperatures. 100% crystalline polymers have a nearly constant coefficient of
friction all the way until melting. Ceramic substances can maintain a reasonably low
coefficient of friction up to temperatures of about 1000 °C since they have a much
higher melting point than polymers and metals. The temperature evolution of the
coefficient of friction for sintered alumina, which has a hardness of around 1500 kg/
mm2 , is depicted in Fig. 6.16 and is fairly typical for the majority of ceramics,
including nitrides and carbides. The desorption of hydrides or other tribochemical
reaction byproducts results in an increase in surface energy, which leads to an initial
rise in friction with temperature. The commencement of melting in the contact zones
of the sintering additives segregating along grain boundaries causes the friction coef-
ficient to subsequently drop. At the sites of contact, this process creates a thin coating
of glassy substance which serves as a lubricant and lowers the amount of shear force
necessary to separate the contacting asperities.
The material is severely weakened at very high temperatures (over 1000 °C), and
the friction coefficient inevitably rises to even greater values than 1 as a result of the
melting of sintering additives at the grain boundaries [24]. As indicated, an increase
in sliding speed and normal load can also result in heating in the contact zones.
Figure 6.17 depicts the relationship between the coefficient of friction and the sliding
speed v for high-strength steel, polymer (PP: polypropylene), and ceramics (silicon
nitride). If v is small enough, the coefficient of friction for steel is mostly independent
of v. Even so, due to two main factors, a rise in v causes the friction coefficient to drop.
First of all, there is a shorter contact period on uneven surfaces, which lessens the
likelihood of adhesion-based strong connections forming. In addition, at extremely
high speeds of the order of 100 m/s, there is an intensification of surface oxidation
that results in the formation of a highly plastic oxide. If the applied load is likewise
very high (at a notional pressure of roughly one at these sliding speeds).
Local melting is possible in cases of unevenness (up to one-tenth of the hardness
of steel), and because the liquid metal coating works as a lubricant, the coefficient
of friction decreases to extremely low values, even below 0.1 [19]. However, the
accompanying wear increases dramatically. Rough melting conditions can be attained
for polymers at rates (and pressures) that are substantially lower than for metals.
The melting of the asperities is precisely what causes the drop in the coefficient of
6.6 The Phenomenon of Stick–Slip 193

Fig. 6.17 Dependence of

the coefficient of friction on
sliding speed in the case of a
polymer (PP sliding against
steel), a ceramic (silicon
nitride sliding against itself),
and high-strength steel
against itself [19]

friction observed by PP for sliding speeds larger than approximately 1 m/s. Since
no lubricating layer is formed while sliding, polymers typically exhibit a continuous
increase in coefficient of friction with sliding speed until melting conditions are
reached at the asperities. The fairly typical behavior of ceramic materials is a decrease
in friction coefficient with sliding speed, as seen by silicon nitride in Fig. 6.17.
This behavior is correlated with a rise in contact temperature, which results in the
production of interfacial layers with lubricating properties.

6.6 The Phenomenon of Stick–Slip

FN is the definition of the tangential force needed to start relative motion between two
bodies in contact, where µs is the static friction coefficient. Usually, µs is roughly
20–30% bigger than. The cause is that a significant relaxation of joint tensions during
rest before movement can begin can result in an increase in the actual contact area
and the full development of adhesion forces. When the mating surfaces are clean and
the contacts are primarily made of plastic, this effect is more significant. Stick–slip
phenomena can happen when the static coefficient of friction is noticeably higher
than the kinematic one. Due to the intermittent motion in this instance, the tangential
force encounters intermittent slip instability. As a result, the development of the large
oscillations around the average value of the resulting friction coefficient is a defining
feature. For instance, Fig. 6.18 depicts the relationship between the coefficient of
friction and time in the case of the Cu-8% Sn alloy sliding against itself (under
the identical tribological coupling conditions as in Fig. 6.15b). It is evident that the
friction varies dramatically around an average value of about 0.6. The stick–slip
phenomenon can be explained in this way. Strong joints can arise as a result of
heavy clutch work and slow sliding speeds, which prolong contact time at the joints
and significantly increase tangential force [11]. Such circumstances may result in a
time when there is no relative motion between the surfaces As a result, at this point
194 6 The Friction

Fig. 6.18 Time-dependent

coefficient of friction for the
joint for dry sliding, use
Cu-8% Sn/Cu-8% Sn [11]

(the rod stage), μs approaches. However, the joints are torn and the sliding speed
dramatically rises when a tangential force is applied.
The slide stage so starts. The connections are fragile at this point since the adhesive
forces have not had enough time to strengthen enough. The friction coefficient thus
decreases to a low value (definitely below µs). At this point, the system slows down
to keep the sliding speed constant. The cycle will continue after this halt if strong
connections start to form once more. As can be seen, stick–slip results from processes
that occur in the contact zone, yet it is unmistakably influenced by the tribosystem’s
stiffness, which can either enhance or attenuate vibrations. Stick–slip motion is a
result of the stick–slip phenomenon, which is typically inappropriate for the proper
operation of mechanical systems. Additionally, it makes an audible thump and squeal,
both of which can be extremely unwelcome. By minimizing clutch work, it can
be avoided or at least minimized so that static friction coefficient is lower than
kinematic friction coefficient. This can be accomplished by carefully choosing the
components of the tribological system, including the appropriate lubricants when
necessary. Altering the mating bodies’ stiffness and/or sliding speed can have further
positive effects. The slip-stick A mass forced against a block held by a spring and a
damper attached to a support can be used to represent the phenomenon. By doing so,
it is feasible, for instance, to determine whether harmonic oscillations can happen at
fast sliding speeds and, as a result, to build the tribosystem to prevent them [19].

6.7 Wear Abrasion Contribution to Friction

Abrasive interaction, which is characterized by significant surface plastic deforma-

tions, can also occur when two bodies in touch and sliding against one another. Such
an interaction takes place when a solid body exerts a plowing or grooving effect on
the surface of a softer body (generally, an abrasive interaction requires a difference
in hardness of around 20–30%). It is possible to distinguish between two-body wear
6.8 Initial Roughness Effect 195

(a) (b) 2
1

Fig. 6.19 Schematic for a two- and b three-body abrasion

and three-body wear, as shown schematically in Fig. 6.19. Hard particles that are
securely attached in one body allow plastic to penetrate the counterface and groove
on it, causing two-part abrasion (Fig. 6.19a). Such sharp particles could be a compo-
nent of the material’s microstructure (for instance, in ceramic-reinforced composites
or in.
Hard carbides found in steel or cast iron can also arise from the environment
(common examples include sand particles infecting tribological systems). The rough-
ness of a hard surface gliding over a softer surface can also lead to two-body abrasion.
The following section will address this unique case. When solid particles caught
between two contact surfaces are allowed to roll freely, triple abrasion (Fig. 6.19b)
results. This typically occurs when two stiff bodies come into touch and the parti-
cles cannot stay steady in either of them. Even one of the two bodies’ damaging
(wearing) action can cause solid particles to manifest. Ceramic particles often make
up hard abrasive particles. Table 6.1 first column includes a list of several objects’
hardnesses ceramic materials that, in a variety of tribological settings, can be abra-
sive. For instance, soil resuspension can produce sand (silica) particles, which can
contaminate mechanical systems. Typically, silicon carbide (SiC) or aluminum oxide
(Al2 O3 ) particles are used as grinding media, where bilateral abrasive interaction
(increase in friction and particularly wear) plays a beneficial role. Some of the hard
carbides or nitrides that may be found in the microstructure of different steels, cast
irons, or hard metals. The third column, which contains the hardness ratings of several
metals that can be abraded by hard particles, is the last one. It should be noted that
abrasion is possible even with heat-treated steels having a hardness of 900 kg/mm2
by sand fragments. Hard abrasive particles are angular in shape. Rabinovich [25]
suggested a straightforward model for assessing the effect of two-body friction on
friction. A cone with a specific angle of attack serves as the model’s representation of
the angular particle. The cone penetrates the softer material to a depth that is dictated
by its hardness (or yield pressure) following the application of the normal load.

6.8 Initial Roughness Effect

The roughness of a solid body and the softer countersurface can interact with one
another, as mentioned in the section before this one. It is thus possible to calculate how
much plowing contributes to friction. The corresponding values of abr are quite low
and vary from 0.010 (or less) to 0.056 due to the roughness profile’s average slope,
196 6 The Friction

Table 6.1 Typical hardness ranges in different materials (data taken from [26] and other sources
of literature)
Material Hardness (kg/ Material Hardness (kg/ Material Hardness (kg/
mm2 ) mm2 ) mm2 )
Diamond 6000–10,000 Cr carbide 1600 Ferritic/ < 350
(Cr7 C3 ) pearlitic steel
Boron 2700–3700 Cr carbide 1300 Heat-treated 500–900
carbide (Cr3 C2 ) steel
Silicon 2000–3000 Mo carbide 1500 Al alloy 100–200
carbide
Alumina 1100–1800 Ti carbide 2000–3200 Cu-Be alloy 150–400
Si nitride 1400–2000 W carbide 2000–2400 Hard Cr 500–1250
Sand 750–1200 V carbide 2460–3150 Au 30–70
(quartz)
Glass 500 Cr nitride 2200 Ag 25–80
Ti nitride 1200–2000 Pb 5

which is typically between 1° (or less) and 5°. It turns out that the coefficient of friction
is only marginally (if at all) affected by the initial roughness. Although the issue is
still up for debate, more sophisticated models have suggested that the abrasive’s
contribution to friction caused by surface roughness may actually be greater than
what the Rabinowitz model predicts.
Several prime examples of the following section will outline the crucial part that
initial roughness plays in friction. We will revisit dry sliding between Cu-8% Sn
alloy and AISI D2 tool steel first. The decrease in the coefficient of friction for two
experiments, employing solid counterbodies with roughness values of Ra = 0.22 µm
and Ra = 0.02 µm (mirror polished), is shown on Fig. 6.15b. The similarity of the
friction marks attests to the minimal impact of roughness on friction. Dry sliding
studies of pure copper on heat-treated steel with two distinct beginning roughness
values Ra = 0.045 m and Ra = 0.42 µm but with an extremely slow sliding speed
of 0.003 m/s [27] paint a different image. It is discovered that the coefficient of
friction is 0.18 for 1 represents the highest roughness and 1 represents the least
roughness. As may be seen, the value = 0.18 is actually normal for adhesive friction
between copper and steel. However, the transfer failed in the test with the highest
disk roughness copper immediately became in touch with copper, increasing the
coefficient of friction in the process. The Cu/Cu contact is truly characterized by
the value = 1. This finding emphasizes how friction is influenced by roughness and
sliding conditions, including sliding speed and possibly normal load.
Roughness can influence friction by either activating or not activating transport
phenomena, which confirms that it does not directly alter friction by its plowing
action. The study provides additional information on this subject of pure aluminum
dry sliding at various initial roughness values on a harder steel 080 M40 [28]. In
this study, the scientists created steel surfaces with various Ra values by employing
6.8 Initial Roughness Effect 197

various grinding techniques. In particular, they used sandpaper to grind the steel in
one direction to produce a unidirectional surface texture; they moved the steel plate
in the shape of a “8” while grinding to produce an 8-ground surface texture; and
finally, they used random grinding to produce a random surface texture on the steel
surface.
In Fig. 6.20, the results of the slip tests are displayed. It should be observed that
for each grinding procedure, the coefficient of friction is independent of the starting
roughness. But generally speaking, it rises when switching from random grinding
to 8-grinding, followed by unidirectional texturing using sliding that is both parallel
to and perpendicular to the grinding marks (U-PL and U-PD, respectively). Consid-
eration of transport phenomena can be used to explain such transitions. The sliding
surface of a steel plate is depicted in Fig. 6.21 under two different conditions: after
the U-PL test and with an initial roughness of Ra = 0.22 µm; and after testing on
a surface that has been randomly ground with Ra = 0.2 µm. In the first instance,
there is significant aluminum transfer during sliding (black areas in the SEM image),
which accounts for the high coefficient of friction values that are obtained (approxi-
mately 0.7), as the majority of sliding contact is between aluminum and aluminum.
The second instance had virtually little transmission. The resulting measured coef-
ficient of friction is extremely low, about 0.28 since steel and aluminum have the
most sliding contact. These findings demonstrate that initial roughness can influence
friction through altering transport processes even when it does not directly increase
friction (due to plowing). When sliding polymers across hard surfaces like steel, the
initial roughness is crucial. To reduce the coefficient of friction, the initial hard (steel)
surface roughness of polymers must be optimized.
Since the work of adhesion (and subsequently friction) decreases as the polymer
slides over polymer particles transferred to the counterface with macromolecules
that are stretched in the direction of sliding, friction is also controlled by transfer
phenomena in this situation [20]. When the steel’s initial surface roughness is too low,
the roughness will not be able to transfer polymers in a sufficient manner. However, if
it is too high, plows may cause friction to rise. For instance, in the case of dry sliding

Fig. 6.20 Variation of the

coefficient of friction
depending on the grinding
process and the average
roughness [28]
198 6 The Friction

Fig. 6.21 After dry sliding tests on pure aluminum, SEM images of steel plates in electron backscat-
tering. Initial roughness Ra = 0.22 µm in U-PL mode; Ra = 0.2 µm under random conditions
[28]

between high molecular weight polyethylene (UHMW-PE) and stainless steel, the
ideal roughness value of Ra = 0.2 µm yielded the lowest friction value.

6.9 Friction of Rolling

Think of a sphere or cylinder rolling on a plane (Fig. 6.22a). According to experi-

mental findings, free rolling motion cannot start and must be maintained without the
application of a tangential force, or FT. The rolling friction coefficient, abbreviated v,
is the ratio FT /FN . Since rolling is much simpler than sliding (as is well known since
the invention of the wheel), it is significantly lower than static and kinetic friction.
Rolling friction is caused by a variety of contact-region processes, including adhe-
sion, contact deformation, and localized slip. In any unique circumstance, one of
these is typically in control. A rigid cylinder in contact with an elastically malleable
plane is depicted in Fig. 6.22b.
For the sake of understanding, deformation in the contact region is exaggerated.
The asperities of the two surfaces come into contact while rolling and create sticky
connections. When contact is released, or at the trailing end of the rolling contact,
such junctions are then separated by a tension stress. When lubricated circumstances
are present, such a contribution is minimal, but it becomes significant when large
W 12 values are present, such as in dry contact between metals. In these situations,
the kinetic friction coefficient is proportional to W 12/H and v. Rolling is further
hampered by elastic deformations in the contact zone.
In fact, the resistive torque F N a must be overcome by a tangential force, F T
(calculated with regard to point A in Fig. 6.22b), where an is the half-width of the
Hertzian contact (rectangular) (Table 6.1). Assuming equilibrium F T R cos = F N a.
Considering that is very small, cos may be set to 1, leading to v = a/R. For this reason,
6.9 Friction of Rolling 199

(a) (b)
FN
FT FN
μv =
FN

FT
Θ
a
A

Fig. 6.22 a Definition of rolling friction coefficient is given, and b a diagram of a cylinder rolling
on a flat has been intentionally enhanced for clarity [19].

in a line contact, v is proportional to F1/2/(R1/2 E1/2), whereas in a point contact,

v is proportional to F1/3/(R2/3 E1/3). Localized microslip may also occur at the
point of contact while rolling. As can be observed, non-conformal connections also
result in the establishment of a notional region of contact. The contact points within
this region lie on several planes when a spherical rolls on a flat. As a result, only
select contact points achieve pure rolling, while the majority of the area of contact
experiences a combination of it is proven that rolling and microslip exist [29]. For
evaluating v, a number of empirical relationships have been suggested. A helpful
relation for mechanical rolling components in point contact [30]: where F N is in N.
For instance, the value of v varies between 0.0011 and 0.0015 in lubricated hardened
steel ball bearings on steel. Additionally, empirical relationships are put forth for the
wheel-rail system, which contains a theoretical line contact, where R is the wheel
radius in meters and is a typical relationship for steel wheels freely rolling on steel
rails. The value of v for this tribological system ranges from 0.001 to 0.0024. The
contact in the case of polymers could be viscoelastic. The hysteresis losses during
rolling (repeated) contact in this scenario contribute to v. an intricate system of Since
pneumatic tires are typically made of elastomers, this contribution is predominating
in the road surface. When correctly inflated and aligned, common automobile tires
exhibit v-values between 0.009 and 0.012 [31], which are ten times greater than those
of steels. Due to the increased tire deformations on bumpy road surfaces, which in
turn increase the hysteresis losses, v rises by 5–20%.
Tractive rolling results in a specific circumstance. Two cylinders are shown in
rolling contact in Fig. 6.23a, with the upper cylinder being driven at a specific angular
velocity by a torque imparted to the lower cylinder. If the tangential force, F T , is
less than the static friction coefficient, s F N , the It transmits torque. Because there is
some slip in the contact region during tractive rolling, v is greater than it is during
free rolling. As a result, the length, c, of the slip region created at the trailing edge
affects v (Fig. 6.23b) [29]: where an is the (rectangular) Hertzian contact’s half-width
(see Table 6.1). It must be remembered that in some applications, sliding conditions
200 6 The Friction

(a) FN
Load axis
(b)
Load
torque
stick
FT FT

Driving
torque 2a

FN

Fig. 6.23 Load torque applied to the driven cylinder while two cylinders are rolling respectively;
b Stick and slip zones in the contact region [19]

in the contact zone may be different and more extreme. The contacts between gear
teeth are one instance. Depending on the distance from the pitch line, sliding may
also be rather significant here.

6.10 Friction and Heating of Surface

Adhesion and plastic deformations at the contacting asperities, two dissipative

processes, are what cause friction. More than 90% of the energy lost during dissi-
pation is lost as heat, raising the temperature of the surfaces with which it comes
into contact. The remaining portion is recorded as structural flaws in the materials.
The amount of heat produced by friction every second of sliding (in J/s). Figure 6.24
demonstrates that, if the actual section is less than the connections, the heat flux
(measured in units of J/s m2 ) is larger. The nominal area of contact, however, is
reduced in the subsurface region. As a result, the connections experience a higher
temperature during sliding. Flash temperature (T f ) is the name given to such a temper-
ature since it is achieved for a very brief period of time, as indicated by the junctions’
contact times. The average surface temperature (T s ) is the average temperature that is
achieved immediately underneath the asperities. It moves less quickly inside the two
bodies in contact and falls below T f to reach the bodies’ reference bulk temperatures.
Thus, the temperature of the heat sink, which is typically at room temperature, is the
temperature that exists far from the surface where heat flows. Surface heating has
the potential to lead to microstructural changes that are crucial for the tribological
behavior of the bodies in contact. For instance, the flash temperature can cause the
6.10 Friction and Heating of Surface 201

Fig. 6.24 Diagrammatic representation of the heat produced by friction in relation to the contact
asperities

asperities to directly oxidize or melt. When it comes to steels, it can lead to austenite
formation locally.
If quickly cooled, it could become martensite. Other phenomena are encour-
aged by the average surface temperature and require greater thermal activation. For
instance, thermal softening caused by thermal recovery, tempering, or even recrys-
tallization; secondary phase precipitation or aging; and prolonged surface melting
(occurring when T s is higher than the melting point). Polymers may experience form
distortions, softening, or even localized melting as a result of surface heating. The
tribological performance of these materials is restricted by all of these phenomena.
Surface heating may eventually contribute to lubricated contacts, as will be seen in
the following chapter, and must be appropriately taken into account when designing
lubricating systems.

Problems

1. According to some, friction is a “non-conservative” factor. Give another example

of a non-conservative force and define what the phrase “non-conservative” means.
Describe three conservative forces in action.
2. Give four instances where high friction is preferred and four instances where low
friction is preferred. Give a justification for each example’s high or low ratio.
Friction is crucial. Give examples from as many different fields as you can.
3. Discuss “connection development” and what it means in the context of rolling
metal friction.
4. Is it ever preferable to reduce friction?
5. Is minimizing wear always desirable? Name a few surfaces and interfaces in
the human body that are tribologically important. Provide possible outcomes in
the event of a trim failure, such as wear damage or lubrication failure, at these
locations.?
202 6 The Friction

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Chapter 7
Lubrication and Lubricants

7.1 Introduction

Due to surface characteristics including reactivity, lesser hardness, mutual solubility,

and higher surface energy, the sliding of two solid components or parts between
surfaces is typically viewed through of maximum coefficient of friction and higher
wear rate. The surfaces that are spotless and free of rust can absorb traces of other
pollutants from the air. Additionally, compared to clean surfaces, newly constructed
surfaces often have less wear and friction. However, there may be a chance for
infiltration of outside material at the bulk material interface, which could raise the
coefficient of friction during the ongoing sliding process. As a result, lubricants can
be utilized to lower the friction coefficient and wear rate [1]. Solid lubrication and
liquid film lubrication are two separate states that fall under the umbrella term “lubri-
cation” (liquid or gaseous) [2]. Any material can benefit from the application of a
solid lubricant, such as hard film or powder, to prevent unanticipated damage to the
sliding surface during sliding and to lower the wear rate and coefficient of friction.
Sliding mechanisms employed solid lubricants. For instance, while hydrodynami-
cally lubricated bearings required start-up and stop processes, a bearing operated at
low speeds and larger loads. With a wider selection of materials, a solid lubricant
can offer a lower wear rate and friction coefficient [3]. Hard materials have addition-
ally been employed as lubricants to lessen wear and friction in challenging working
environments. As lubricants, a wide range of substances (gases, liquids, or solids)
can be utilized. It is practical to distinguish between several lubricant varieties. In
hydrodynamic lubrication, a liquid film that is typically thicker than the height of the
surface roughness on the bearing surfaces separates the surfaces. By adding a chem-
ical that can lessen the shear stress, m, required to permit the relative motion, one can
reduce the friction between two sliding surfaces. The term “lubricant” refers to this
substance, which can be solid, liquid, or gaseous. Solid lubricants are substances that
can firmly attach to one or both of the surfaces that need lubrication and therefore
realize sliding planes with low m values. Liquid lubricants are positioned between

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2024 205
R. A. Al-Samarai and Y. Al-Douri, Friction and Wear in Metals, Materials Horizons:
From Nature to Nanomaterials, https://doi.org/10.1007/978-981-97-1168-0_7
206 7 Lubrication and Lubricants

(a) (b)
Λ>3

h min

Λ<0.5
h min

Fig. 7.1 Instance of two steel disks moving in a rolling-sliding motion with mineral oil as a lubri-
cant, friction coefficient is shown as a function of the lambda factor in a scheme that explains the
significance of the factor [5]

the mating surfaces, and the lubrication regime they establish greatly affects how
they work. Figure 7.1a clearly illustrates the significance of examples of the friction
coefficient ∆ the lambda factor for two steel disks moving in a rolling-sliding motion
with mineral oil as a lubricant are shown in Fig. 7.1b. The friction coefficient is very
low for large values of ∆ (greater than 3), whereas it is relatively high (about 0.1–0.2)
for low values of ∆ (below roughly 0.5). These findings, which are rather generic,
enable us to categorize three lubrication regimes according to the lambda factor [4].
If is ∆ more than 3, there will be
(1) Fluid film lubrication;
(2) Boundary lubrication if ∆ is less than 0.5; and
(3) Mixed lubrication in the middle region.
Lubricants may perform several tasks in addition to lowering friction. It may
cool the tribological system by removing heat from it (a duty that is necessary, for
instance, during machining operations), or it may shield the surfaces from external
aggression by keeping, for instance, oxygen and moisture from getting to the metal
surfaces and causing corrosion.
Surfaces are separated in boundary lubrication by adsorbed molecules although
there may be obvious contact with the roughness, films, which are typically generated
from oil or grease containing a sufficient boundary lubricant, may be present. The
primary characteristics of solid lubricants and solid lubrication will be discussed first
in this chapter.
The key characteristics of the primary liquid lubricants as well as the fluid film
lubrication theory will next be discussed. Since gas lubricants (air, N2 , H2 , and He)
are only used in a few specific situations, they won’t be discussed in this article. After
that, boundary and mixed lubrication will be discussed, and the crucial phenomena
of scuffing will be explained. An introduction to lubrication when significant plastic
deformations are involved concludes the chapter.
7.2 Solid Lubricants 207

7.2 Solid Lubricants

Typically, solid lubricants are used in the following circumstances [6]:

(1) When the lubrication points are inaccessible (such as in machinery operating in
a vacuum or with toxic gases);
(2) When the absence of contaminating materials is required (as in food-processing
machines, optical equipment, space telescopes, etc.); and
(3) When the operating temperatures are unusually high (as in hot metalworking)
or low (as in cryogenic systems) for liquid lubricants.
Because solid lubricants can operate at temperatures above 250 or 300 °C, they
are frequently used when liquid lubricants cannot be used. To illustrate this point,
consider that the typical operating temperature range for lubricating oils is between
20 and 120 °C. The drawbacks of using solid lubricants include their low-wear
resistance and limited capacity for heat removal from the tribological system. Solid
lubricants can be applied to a surface as loose powders (by rubbing the powder onto
the surface, by dipping or spraying the powder suspended in a suitable evaporating
medium, or by using a binding resin), as powders dispersed in oils and greases, or in
the form of coatings, typically produced using various vapor deposition techniques.
The mechanism of friction reduction by solid lubricants [4, 7–9]. The production of
skin (i.e., a powder layer or a coating) that can lower the work of adhesion (and thus
m) is paired with the use of hard and stiff materials, which are necessary to minimize
the real area of contact. Most of the time, the solid lubricant may In order to create
a sliding plane between the solid lubricant and itself, transfer to the counterface is
necessary. This significantly reduces the adhesion work. The percentage of the real
contact area that is covered with lubricant determines the friction coefficient. The
rule of mixture can therefore be used: It is difficult to predict in advance the degree
of coverage that will be attained during sliding. The type and quantity of lubricant
used, the lubricating technique, the ambient conditions (primarily temperature), and
the tribological parameters (normal load and sliding velocity) all play a role.
Solid lubricants can be divided into four primary categories [6]:
(1) First, there are carbon-based materials (such graphite and diamond-like coat-
ings, or DLCs);
(2) Transition metal dichalcogenide compounds (TMDs, like MoS2 );
(3) Polymers, like PTFE; and
(4) Soft metals, including Ag, Pb, In, and Au. The primary traits of a few signifi-
cant solid lubricants will be discussed in the paragraphs that follow. Table 7.1
provides a summary of them as well.

7.2.1 Graphite

A hexagonally organized arrangement of several parallel planes of carbon atoms

forms the graphite crystal (Fig. 7.2a). Strong covalent connections between carbon
208 7 Lubrication and Lubricants

Table 7.1 Principal properties of various popular solid lubricants [6]

Methods of use Common Temperature Typical applications Comments
graphite coating operating
thickness range (°C)
range (µm)
Graphite
• Powder 0.2–5 − 200 up to Bearings, seals, pumps and * Increasing
(burnished, 400 valve parts, electrical friction with
sprayed, with contacts increasing
binder; as temperature
additive in oil, Effective only
grease and in the presence
composites) of water vapor
• Coating: and oxygen
vacuum
evaporation
• Monolithic
parts
DLC
Coating (CVD, 0.005–1 − 200 up to Magnetic media (protect Friction
high energetic 400 head slider and disk), coefficients are
PVD techniques) bearings, bushings, seals, very dependent
gears, razor blades, car on operating
engines (e.g., fuel injectors, conditions
camshafts, valve tappets
and piston rings), femoral
heads for hip implants
MoS 2
• Powder (like 0.2–2 − 150 to 350 Widely used in industry Basically
graphite) (MoS2 ) and (specially in resin-bonded effective in the
• Coating (PVD 400 (WS2 ) in coatings); as PVD coating absence of
techniques) air. In N2 is mainly used in aerospace water vapor and
applications oxygen
(continued)
7.2 Solid Lubricants 209

Table 7.1 (continued)

Methods of use Common Temperature Typical applications Comments
graphite coating operating
thickness range (°C)
range (µm)
PTFE
• Powder (in 2–10 − 70 up to Bearings; seals; automotive Tg around − 90
composites, 200 (seat belt clips, fasteners) °C
co-deposited in
Ni layers)
• Monolithic
(reinforced)
parts
• Less used as
coatings (by
spray,
sputtering,
CVD)
Soft metals (Ag,
Pb, In, Au)
Coating 0.2–1 (or Bearings; rolling bearings
(electrochemical, more in (in lubricated conditions)
PVD techniques) some cases)

atoms in the planes contrast with the weak van der Waals forces that held the planes
together. The shape of typical graphite particles is depicted in Fig. 7.2b. The planes
simply slide one over the other and transfer to the counterface when a shear load is
applied. Gaseous molecules are adsorbed on the planes, particularly on high-energy
edge sites [9], if air and water vapor are present in the surrounding environment. As
a result, the effort of adhesion between the sliding planes (one graphite plane against
another graphite plane) is significantly reduced, hence the coefficient of friction to
normal values under 0.2. Thus, for graphite to function as a solid lubricant, there
must be enough gaseous moisture (> 100 ppm) to lower the surface energy of the
planes as well as the edge sites.
As seen in Table 7.1, carbon-graphite blocks manufactured using specific
processing pathways can be machined into loose particles, thin layers, monolithic
components, and other shapes. For instance, this method is used to create specific
braking pads and graphite seals. For a variety of reasons, low-friction solid materials
can be utilized as lubricants in place of liquid or gas films. In order to construct a “self-
lubricating” system (i.e., a system with low interfacial shear strength) that doesn’t
require an external source of lubrication over the whole service life, one bearing
component may be manufactured of, coated with, or contain a solid lubricant. These
bearings provide a definite reduction in lubrication and maintenance costs [4]. When
liquid lubricant contamination must be avoided, as in food processing or medical
equipment, or when liquid lubricant may evaporate in space (or other high vacuum
settings), solid lubrication may be the only solution. Liquid lubricants deteriorate or
210 7 Lubrication and Lubricants

(a) (b)

carbon

Fig. 7.2 a Graphite crystal structure and b a typical graphite particle shape [10]

degrade at high temperatures; appropriate solid lubricants enable sliding systems to

operate at operating temperatures of up to 1000 °C while maintaining relatively low
frictional coefficients. Under the right circumstances, graphite, molybdenum disul-
fide (MoS2 ), and (PTFE) all exhibit a low coefficient of friction. These three materials
are utilized in the great majority of applications that call for solid lubricants. They
can be employed as bulk-bearing materials, as thin coatings, or as components of
composite-bearing materials. Graphite and PTFE are examples of the latter. You can
also use graphite and MoS2 as refillable dry powder lubricants. They can also be
found as suspensions of tiny particles in lubricating oils and greases, where they act
as boundary agents under heavy contact conditions. All three materials, though, have
drawbacks. In each case, the breakdown or oxidation in air limits their use at high
temperatures: PTFE up to 250 °C, MoS2 up to 300 °C, and graphite up to 500 °C. In
addition, high air humidity has a negative impact on friction and the pace at which
MoS2 wears down, and the lubricating characteristics of graphite depend on the pres-
ence of condensable vapors. Other substances are employed in some applications and
have been proposed as solid lubricants. They can be broadly categorized into soft
metal films, lamellar solids, various inorganic materials, and organic polymers [6, 9].
On tougher substrates, PTFE is the sole polymer that is frequently utilized as
a lubricant for thin films. Nylon, polyimides, acetals, ultrahigh molecular weight
polyethylene (UHMWPE), and polyimides are a few other polymers that when sliding
over hard surfaces, polyetheretherketone (PEEK) exhibits relatively low friction and
good wear resistance (usually metal). Like PTFE, they are frequently utilized as
bearing materials or as bulk components of composites rather than lubricants [11].
Other than graphite and MoS2 , many substances have a lamellar structure, and while
this does not always mean that the substance will function as a solid lubricant, many
of them do. NbS2 , TaS2 , WS2 , and diselenides of the same metals function as solid
lubricants. These transition metal dichalcogenides have been researched and have a
structure comparable to MoS2 . None, although some having advantages like lower
7.2 Solid Lubricants 211

friction, are as popular as MoS2 . In some situations, such as when using hot forging
steels, it is not possible to add additives to the lubricant because liquids evaporate
and volatile hydrocarbons burn easily. Even if the liquid survived, its effectiveness
would be minimal low rates. In these circumstances, lime or ZnO may be an excellent
(solid) lubricant, but their removal in order to make room for a subsequent procedure
may be expensive. Additionally, liquid lubricants may be prohibitively expensive in
some locations. Pumps, seals, and a method to cool the lubricant are necessary [11].
In the 1800s, graphite and MoS2 were used in tiny amounts as solid lubricants,
but between 1950 and 1965, a wide variety of free-flowing powders, metals, oxides
and molybdates, tungstates, and lamellar salts are the subject of increased research,
produced by the aerospace sector. Additionally, combinations of graphite with salts
and soft oxides in various media as well as silica coatings on duplex-structured
ceramics with calcium are examined as a bond of fluoride in ceramic. In order to
be effective for any significant amount of time, solid lubricants have often been
discovered to need to adhere to one or both sliding pairs. MoS2 does not lubricate
glass or titanium fumes, possibly because these substances do not chemically react
with the sulfur in MoS2 , which is why mica, for example, does not cling to steel and
is inefficient as a lubricant. Given the variety of solid lubricants available, it becomes
clear that it is highly challenging to create a rational and consistent classification of
solid lubricant types [12]. However, solid lubricants can be functionally categorized.
Solid lubricants should be taken into consideration in the proper context because their
efficacy is greatly influenced by operating conditions. Solid lubricants are frequently
utilized in applications where fluid availability is restricted and the likelihood of
parts jamming is low (resulting in shaft locking or poor roll or drawing surface
finish). These lubricants are therefore thought to be extremely effective in these
circumstances. Unfortunately, it is simple to assume that these lubricants will be
beneficial even in situations where they are not. For instance, worried people may
add graphite or MoS2 to engine oil to further minimize wear if the oil is operating as
intended (i.e., there is some wear). Naturally, the cost of such devices can be more
than the savings from the engine’s longer lifespan. In the worst-case scenario, even
quicker engine wear be accomplished at a costlier price. Solid lubricants can wear
down engine-bearing surfaces faster than dirt or they can remove material faster than
it is lost to corrosion due to oil additives because they are relatively abrasive [9].
Working in an automotive plant with worn bearings in the differential case is an
example of the abrasiveness of a solid lubricant. It was discovered that a differential
kits included components that had been boldly marked with a pencil at some point
during the verification process. ZnO is present in these pencils, some of which found
its way into the lubrication and destroyed the bearings. This occurred despite the
efficiency of the EP additives often included in differential gear lubricants and despite
the fact that ZnO is thought to be softer than bearings (> 60 Rc). The question of
whether ZnO eliminated boundary lubrication or gradually stripped the steel of its
oxide has never been resolved. With the exception of graphite, these materials operate
in accordance with the Tabor-described mechanism, where the “soft” surface layer
has a low shear strength but the hard substrate prevents it from being forced in. One
of the most works as a lubricant and contains all three types of carbon. (Diamond,
212 7 Lubrication and Lubricants

Fig. 7.3 Impact of various atmospheres on graphite friction [11]

the hardest material on Earth and another type of carbon has a covalent tetragonal
structure. Amorphous carbon is a third kind.) Similar to MoS2 , graphite is made up
of sheets arranged in a hexagonal matrix with strong sheet bonds and weak van der
Waals bonds connections. Low shear strength between sheets is provided by bonding
between sheets [11]. Using graphite as a brush material to gather electrical current
from generator commutators is one of its principal applications [4]. Aircraft utilized
alternators until they could fly high enough to stop the flow of air and water vapor to
the graphite brushes. High-altitude flights had to reduce their frequency because the
brushes at such altitudes wore out so quickly. At partial pressures higher than 3 Torr,
oxygen and water vapor turned out to be the most significant gases. Data found by
Bowden and Young are depicted in Fig. 7.3. According to Fig. 7.4, temperature has
an impact on the friction of both graphite and MoS2 . MoS2 is often administered as
a powder.

Fig. 7.4 Temperature

against friction between
graphite and MoS2 [11]
7.2 Solid Lubricants 213

To create bound MoS2 , it is possible to galvanize the surface of Mo and then treat
it with a sulfur-containing gas. But most of the time, carbonated corn syrup is the
finest method for bonding. MoS2 can also be coated utilizing a variety of processes,
including PVD and MOCV. Slipping the clutch while keeping the tires from slipping
is essential for drag racing success. One of the alloys used in drag racing has the
following composition: Fe + 6% Cu + 5% Pb + 1% Sn, which causes chipping
while sliding. The plan is to “prepare” the tires by locking the clutch for a brief
period of time and then quickly manipulate to prevent the tires from spinning, the
clutch. About 1/8 of the metal is broken off per second when the clutch slips [11].

7.2.2 Diamond-Like Coatings

Although they contain the same element as graphite, diamond-like coatings (DLCs)
have a different crystal structure. Actually, they are composed of amorphous
metastable carbon with varying levels of short-range diamond (sp3 -type) and
graphitic (sp2 -type) hybridization. High hardness, high elastic modulus, and good
tribological characteristics, such as minimal friction and great wear resistance, are
all displayed by DLCs. They are typically doped with hydrogen to enhance their
capabilities under certain circumstances. They might also contain N, Si, or SiO
dopants, which lessen residual stresses that could otherwise cause the coating to
spallate. Amorphous DLC (a-C) with the bulk of sp2 -bonds and hydrogenated amor-
phous carbon (a-C:H) with typically 10–50 at.% H that stabilizes the sp3 bonds are
distinguished based on hydrogen content and stops them from becoming graphitic
bonds while being deposited. The solid-lubricating performance of DLCs during
sliding is a result of various, most likely interrelated elements. The first occurs at the
contacting asperities due to the local temperature rise during the run-in stage, known
as the sp3 –sp2 transition. Due to the sliding between graphitic planes, a coating of
graphite is thus transmitted to the counterface, and low friction is achieved. The
second causes of reduced surface energy are contamination of the surface and, if it
occurs, hydrogenation of carbon atoms [12, 13].
This latter situation results in reduced friction without the development of a
transfer layer. However, an excessive temperature increase could result in both a
degradation of DLCs and a with a hydrogen release decline in performance quality.
Friction increases at temperatures beyond 100 °C, and above 300 °C, the charac-
teristics of DLCs virtually completely disappear [6]. The friction coefficient, which
depends on the working parameters, including the contact load, sliding speed, temper-
ature, counterface material, and environment, can generally range from 0.01 (a very
low number) to 0.5 (no effect of a solid lubricant). Therefore, each engineering
application needs to be properly chosen and optimized. For instance, H-free DLCs
function better in humid air while hydrogenated coatings function better in situations
with dry or inert gas [6]. Figure 7.5 depicts a DLC coating in action. It is easy to see
how smoothly the coating’s surface is following deposition.
214 7 Lubrication and Lubricants

Fig. 7.5 Illustration of DLC

coating [9]

7.2.3 Disulfide of Molybdenum

Graphite and MoS2 have very similar layered structures. Van der Waals forces that
hold a sandwich of S-Mo-S hexagonally packed layers together are not very strong.
The planes slide and create a transfer layer as a result of shear loads. A strong
lubricating effect can be achieved without the use of water vapor molecules. MoS2
exhibits a low coefficient of friction even in vacuum and dry conditions [12]. In
fact, the presence of oxygen or water vapor may cause molybdenum to oxidize,
resulting in the formation of H2 SO4 and MoO3 , both of which may cause corrosive
phenomena in the tribological system and increase friction. MoS2 can be sprayed
with a volatile solvent, burnished onto the surface of the component, or utilized as a
powder. Additionally, a binder material may be used to deposit it (Fig. 7.6 provides
an example), employed in precision components as a sputtered coating (PVD). MoS2
coatings yield the best results in terms of friction and wear. WS2 , a different member
of the TMD family, behaves similarly to MoS2 and is a TMD.

7.2.4 PTFE

Another significant class of solid lubricants includes certain polymers with

unbranched molecular chains, such as PTFE (polytetrafluoroethylene), several
polyamides, and acetal resins. The formation of a thin transfer layer by PTFE on
the counterface occurs during sliding, as previously discussed in Chap. 2 (the pres-
ence of fluorine atoms substantially increases the adhesion to the metal surfaces).
Due to the absence of unsaturated bonds, there is very little friction. This is made
possible by the low surface energy. Unfortunately, PTFE has very little mechanical
strength and wear resistance. To take advantage of PTFE’s ability to lubricate solid
7.2 Solid Lubricants 215

Fig. 7.6 MoS2 powder and

epoxy resin are joined [11]

objects, many strategies are used [14]. It is strengthened, for instance, by the addi-
tion of appropriate fillers or particles. Figure 7.7a, for instance, displays the fracture
surface of a PTFE seal that has been strengthened with bronze flakes. Additionally,
polymeric composites and Ni-coatings both use PTFE particles (Fig. 7.7b). As seen
in Fig. 7.7c, it may also be impregnated in the open porosity of layers created by
sintering bronze powders. In this instance, the bronze skeleton provides the wear
resistance, while the PTFE continually provides the solid lubricating action.

7.2.5 Soft Metals

Low coefficients of friction (even lower than 0.1) can be obtained with thin coatings
(thickness in the 1 µm range are commonly used) of the so-called soft metals, such
as lead, silver, gold, and indium. The lubricant capacity of such metals is due to
their low surface energy. For example, the surface energy of the lead is around
0.45 J/m2 . If a thin layer of lead is deposited on a steel with a hardness of 400 kg/
mm2 , during transfer allows for the realization of sliding Pb-Pb contacts, with a W12/
H ratio of 0.0023 × 10 m. Therefore, an anticipated friction coefficient of less than
0.2 is possible. It is obvious that the film thickness needs to be low enough to prevent
increasing the actual contact area. PVD processes, such as vacuum deposition and
ion plating, and electrolytic procedures are typically used to create soft coatings.
The removal of mild metals is simple during the tribological contact, and it should
be noted. As a result, their use is typically limited to specific applications (such as
under boundary lubricated circumstances), and it is important to adequately evaluate
their wear life. In Fig. 7.8, for instance, sliding specific wear rates for various solid
lubricant coatings against AISI 440C stainless steel balls are plotted against friction
coefficient [8]. Both high hoover and humid air are used in the testing. The lead and
silver coatings behave in the worst way in humid air and in a middle-ground way
216 7 Lubrication and Lubricants

Fig. 7.7 Cross sections of a nickel coating on steel that comprises, in the outer portion, a dispersion
of PTFE particles, a fracture surface of a PTFE gasket reinforced with bronze particles, and a surface
bronze skeleton created by sintered particles with an impregnation of PTFE are also shown [14]

in a hoover. As previously mentioned, the DLCs perform best in humid air, but the
MoS2 coatings exhibit an exceptional behavior in vacuum.

Fig. 7.8 For a variety of solid lubricant coatings rubbing up against a stainless steel ball, specific
wear rates are plotted against steady-state friction coefficients. a Humid environment and b an
extremely high hoover [15]
7.3 Lubricants of Liquid 217

7.3 Lubricants of Liquid

When a liquid lubricant is used, understanding the lubrication regime acquired via
service is crucial for a proper design, which includes making the right lubricant type
selection. If ∆ > 3 (fluid film lubrication), the mating region’s lubricant thickness is
such that interactions between the asperities are not permitted (Fig. 7.1a). Since the
lubricant is under pressure, it can exert the necessary force to keep the two surfaces
completely apart. The lubricant’s physical characteristics, such as viscosity, are what
matter most in this situation. A thin lubricant film covers the asperities if ∆ < 0.5
(border lubrication), but it makes no effort to separate the surfaces. The effectiveness
of the lubricant in this instance is mostly reliant on its chemical characteristics, or
on its capacity to chemically interact with surfaces and create a tribofilm that can
minimize wear and friction [16].

7.3.1 Oils of Mineral and Synthetic

Mineral and synthetic lubricating oils are the two basic types. Due to their excellent
price/performance ratio, mineral oils are widely used. More than 95% of all lubri-
cants are produced by them [15]. Depending on where the petroleum came from,
the basic oils are made by refining petroleum crude oil and may contain organic
macromolecules and contaminants (like sulfur). Paraffinic mineral oils make up the
majority of them. Alkanes (CnH2n + 2) with branching or linear chains are paraf-
fins. Mineral oils can also be aromatic or naphthenic, which means they include
molecules with very stable aromatic rings or cyclic molecules, respectively. Mineral
oils are less expensive than synthetic oils. They are created for particular uses (such
high temperature applications) and are formed by polymerizing organic compounds.
Artificial oils hydrocarbons (polyolefins, ester oils) may serve as their base [16].
They might be based on polymers (such as polyglycols) or silicones (with a –Si–
O–Si chain that is particularly well suited for use at high temperatures). Synthetic
oils outperform mineral oils in terms of thermal qualities including stability, decom-
position temperature, and oxidation resistance [16]. To enhance certain functions of
base oils, special additives are often added (in levels typically ranging from 1 to 5%
by weight). Fatty acids are an example of an addition that increases the lubricant’s
capacity to adhere to surfaces. These molecules are found in most oils, but they are
also added specifically to lubricants for boundary lubrication, where the lubricant’s
adherence to the surfaces is crucial. These molecules have polar ends (OH) that
can stick to the metal surface the plan in Fig. 7.9. Since a chemisorption process
is involved in the bond formation between hydroxyl groups and the oxides present
on the surface of the steel, this adhesion is particularly strong in the case of steels.
To guarantee comprehensive covering of the surfaces that will be moistened by the
lubricant, there should be enough additive [17].
218 7 Lubrication and Lubricants

Fig. 7.9 Diagram showing how lubricating macromolecules adhere to the surfaces of materials.
The lines represent the macromolecular chains, and the little circles are the polar ends [5]

The anti-wear and extreme pressure (EP) additives are further groups of additives
for boundary lubrication [16]. Because of the high local flash temperatures, they
contain sulfur, lead, and zinc compounds that can react at the asperities during sliding
and produce protective solid lubricant layers. ZDDP (zinc dialkyl dithiophosphate),
which has multiple uses including anti-wear and antioxidant effect, is a significant
anti-wear additive [17]. During sliding, this additive reacts with the steel’s surface
(the oxides) and creates an oxy-sulfide layer, on top of which a glassy phosphate
layer develops.
The entire tribofilm serves as a wear-resistant barrier and ranges in thickness from
100 to 1000 nm. Since oxidation significantly reduces lubricant performances as
temperature rises, ZDDP’s antioxidant effect is especially crucial. In fact, oxidation
causes a rise in viscosity and acidity, making the lubricant chemically hostile to the
surface it is intended to lubricate. Various oxidation inhibitors are available to prolong
the life of the oil when an increase in temperature may be a serious concern. Organic
sulfate and phosphorus compounds with a significant affinity for metals (such as
steels) are the key components of EP additives, which during sliding stimulate the
production of substances with a potent solid lubricating effect, like sulfides. Viscosity,
a measurement of a liquid lubricant’s resistance to flowing, is a very significant
characteristic. If we take into account two planes with a liquid lubricant between
them (Fig. 7.10).
The shear stress τ m (given by F T /An ) necessary to maintain the relative motion
for a sliding surface with thickness h and relative velocity v is given by
v
sm1/4 g (7.1)
h

where is the dynamic viscosity of the lubricant (1 cP = 103 Pa s; units: Pa s). The
kinetic viscosity, which may be assessed in laboratory studies (keep in mind that
oil density is around 0.9 g/cm3 ), is determined by the relationship between dynamic

Fig. 7.10 Oil viscosity v

definition in a schematic [18]
FT
An
h
7.3 Lubricants of Liquid 219

Fig. 7.11 In the case of

some industrial oils
classified by the ISO, the
dependence of dynamic
viscosity on temperature [18]

viscosity and liquid density. It is frequently denoted by the letter v and is usually
expressed in millimeters per second (1 mm2 /s = 1 centi Stokes, cSt). For instance,
water has a kinematic viscosity of about 1 cSt at room temperature, whereas engine
oils for cars have a kinematic viscosity of about 200 cSt. Temperature and other
factors strongly influence viscosity for some industrial oils, in particular, it falls as
temperature rises, as depicted in Fig. 7.11. In some lubricating oils, a temperature
increase of just 25 °C causes a viscosity loss of 80%. An exponential equation can
be used to describe how viscosity changes as a function of temperature:
Where β is the viscosity at the reference temperature, T r (usually 20 °C), and
is the temperature ηr viscosity coefficient. When a lubricant’s viscosity is two, the
Walther equation, which is also incorporated into the ASTM D314 standard, can
be used to calculate the oil viscosity at a temperature T x . A lubricant’s viscosity is
also influenced by pressure, particularly if it is relatively high as it may be in non-
conformal contacts [19]. The dependency of viscosity on pressure has been expressed
in a number of proposed connections. The exponential equation is the most basic.
Where is the so-called Barus coefficient and 0 represents the air viscosity? Industrial
oils are categorized by the International Organization for Standardization (ISO) based
on viscosity ranges at 40 °C (some examples are illustrated in Fig. 7.11).
Other classifications, including the SAE classification for automotive applications
and the AGMA classification for gears, are applied in real life. The viscosity index,
VI, is a helpful measure that takes into account the relationship between viscosity
and temperature. It is calculated in comparison with two reference oils that have
been assigned VI-values of 0 and 100. As temperature rises, viscosity typically falls
significantly for oils with low VI-values and increases for oils with high VI-values.
The traits of a few mineral oils are listed in Table 7.2. The lubricant may be provided
in many circulation systems, in which oil is pumped from a reservoir in the contact
region, employing baths, and then rings or chains to supply the oil in the zone of
contact [16].
220 7 Lubrication and Lubricants

Table 7.2 Barus coefficient and viscosity for several commercial mineral oils [16]
Lubricant ISO VG VI Dynamic viscosity at Barus modulus (10−9 m2 /N)
atmospheric pressure (cP)
30 °C 60 °C 100 °C 30 °C 60 °C 100 °C
High VI
32 108 38 12.1 5.3 18.4 13.4
100 96 153 34 9.1 23.7 20.5 15.8
150 96 250 50.5 12.6 25 21.3 17.6
460 96 810 135 26.8 34 28 22
Medium VI
15 18.6 6.3 2.4 20 16 13
32 68 45 12 3.9 28 20 16
68 63 107 23.3 6.4 29.6 22.8 17.8
75 84 122 26.3 7.3 27 21.6 17.5
100 38 171 31 7.5 28 23 18
Low VI
22 −6 3.7 8.6 3.1 25.7 20.3 15.4
100 −7 165 30 6.8 33 23.8 16
150 8 310 44.2 9.4 34.6 26.3 19.5
1000 2000 180 24 41.5 29.5 25

7.3.2 Greases

Greases are thickening agents (5–20%) found in lubricating lubricants. They have a
semi-fluid viscosity and behave primarily as liquid lubricants, performing well for
fluid film lubrication and excellently for boundary lubrication. Grease thickeners
cause the dispersion of stabilized solid particles in the oil, creating a colloidal struc-
ture. Mineral oils with well-controlled viscosities are typically used, allowing the oil
to be distributed gradually into the area that needs lubrication.
The thickeners can be clay minerals or metallic fatty acid soaps, and grease is
typically mentioned in relation to the type of thickener. Commonly used greases
include those made from sodium, calcium, and lithium. Since lithium greases can
withstand temperatures of up to 200 °C, they are typically used. To enhance the
performance of the grease, anti-wear, anti-oxidation, and EP additives, as well as
solid lubricant powder (such as graphite or MoS2 ), may be added [4].
In addition to having superior lubricating qualities, greases can be left in place
for an extended period of time to shield the tribological system from corrosion and
outside contaminants. Roller bearings frequently use greases. The complex systemic
structure of lubricants makes it difficult to describe their rheology (liquids, solid
thickeners, additives, and soap thickeners). It is unusual for professionals to use an
apparent viscosity formulation in mathematics. Under low shear loads, lubricants
7.3 Lubricants of Liquid 221

Fig. 7.12 a–c Various lubricant structures with high shear stress sensitivity

Fig. 7.13 Thixotropic

lubricant flow properties [5]

behave as fundamentally viscous materials; but, under large shear pressures, they
behave like Newtonian basic oils (Figs. 7.12 and 7.13).

7.3.3 Lubricating Fluid Film

The lubricant in the meatus must be under pressure and able to produce a thrust force
that maintains the entire separation between the two surfaces in order to provide
fluid film lubrication (∆ > 3). Hydrostatic or hydrodynamic forces may be involved
[19]. In the case of hydrostatic lubrication, an external pump supplies and maintains
the lubricant under pressure. Even in the absence of relative motion between the
surfaces, the separation between the surfaces is still possible as long as the pump
supplies lubricant into the contact region. This lubricant type is used in speciality
222 7 Lubrication and Lubricants

bearings where it’s crucial to attain exceptionally low static friction coefficient values
(together with gaseous lubricants like air).
When it comes to hydrodynamic lubrication, the surfaces in contact must be
moving in relation to one another for the lubricant to be able to impart a thrust
force. The simplest way to portray the state of hydrodynamic lubrication is with the
tribological system shown in Fig. 7.14. It consists of an inclined upper plane and a
bottom plane that is horizontal and moving at a velocity of v. The lubricant adheres to
both surfaces and is drawn to the contact region, which has a converging shape in the
motion direction. The departure section’s height, h0, is lower than the entry segment’s
height, h1. This design results in a pressure profile along the contact that represents
the hydrodynamic thrust force. The change in pressure, p, in the meatus for incom-
pressible fluids, usually liquids. Thrust and journal bearings, for instance, feature
hydrodynamic lubrication. Elastohydrodynamic lubrication, commonly known as
EHD, is a unique instance of hydrodynamic lubrication that takes place in non-
conformal contacts [20]. In this situation, the lubricant in the contact area interacts
with the elastic deformations of the mating surfaces, causing local variations in
section that result in a converging shape in the motion direction. Thus, the elastic
deformations, lubricant viscosity, dependence on pressure, and relative motion are
all related to the thrust force that results. In Fig. 7.15, a diagram that depicts the
development of contact pressure and the deformations in a non-conformal contact.
It should be noticed that pressure evolution is altered in relation to the semi-
elliptical Hertzian contact, with a new pressure peak forming at the contact’s exit
being of particular note.
Such a pressure spike may even be 20–30% higher than the Hertzian pressure,
which affects the tribological system’s performance because it causes a highly local-
ized stress concentration near the surface [20]. In the case of EHD lubrication,
the calculation of hmin is often done using the relation presented by Hamrock and
Dowson [20], which makes the assumption that the lubricated surfaces are smooth.
The following factors encourage a liquid lubricant’s capacity to generate fluid film

h1
h y
h0
x
v

Fig. 7.14 Hydrodynamic lubrication Principle [5]

7.4 Scuffing and Boundary Lubrication 223

Fig. 7.15 Hertzian pressure

distribution is depicted by
the dotted line in the
hydrodynamic pressure
distribution in an EHD
contact [5]

lubrication: fast tangential speeds (this is the most crucial factor; if they are exces-
sive, however, the lubricant’s entrance into the meatus may be challenging); a low
load; and a high lubricant viscosity. Another crucial criterion is the temperature of
the lubricant at entrance. In reality, when the temperature rises, the viscosity and
Barus coefficient both falls, lowering the hydrodynamic thrust force and, thus, hmin .
The oil temperature at entry is typically kept between 40 and 60 °C in mechanical
systems.

7.4 Scuffing and Boundary Lubrication

May be very low (less than 0.5) when the load is high and/or the speed is low,
and the lubricant has no supportive effect. The surface asperities come into close
touch with one another, and local plastic connections form—at least in the case of
metals. The boundary layer, or the film that is created on the surface to be lubricated
by physical absorption, chemical adsorption, or chemical reaction, plays a more
significant function in this situation. As an illustration, Fig. 7.9 schematizes how a
boundary absorption layer forms on the metal surface as a result of the lubricant’s fatty
acid content. The boundary layer works as an adhesion barrier, preventing sliding
since it involves the true area of contact (Ar) metal-to-metal contact asperity. The
formula for friction coefficient is thus = m/H, where m is the average shear stress
necessary for a shear slip to occur in the boundary layer [21].
Since the surface energy of organic lubricants is of the order of 0.02 J/m2 , the
friction coefficient in boundary lubrication is typically between 0.1 and 0.15. Wear,
or the gradual removal of material from surfaces (often a mild kind of wear), may be
seen throughout this lubrication regime. A reduction in roughness and an increase in
the factor frequently result from the highest asperities wearing down during jogging.
The following chapters will go into great detail about the phenomenon of wear.
224 7 Lubrication and Lubricants

MostAs is already mentioned, the lubricants used in boundary lubrication contain

certain additives to improve the friction and wear performances. In reality, collisions
at asperities during sliding can actually cause the layer that absorbs. As a result,
many dry asperity contacts are formed, and the local temperature rise may bring
about an avalanche effect that causes the lubricant to gradually desorb. The results
could be drastic, resulting in extreme wear (commonly referred to as scoring, galling,
or seizure) [20]. Scuffing is the collective term for the phenomena, which is one
of the most troublesome failure modes in tribology. A stronger boundary layer is
generated when certain lubricant additives (such as anti-wear or EP additives) are
present, frequently following an interaction with the metal surface (such as secondary
boundary layer is another name for the layer [21]. As mentioned, atoms in anti-
wear and EP additives have high reactivity with the metal substrate, encouraging the
synthesis of lubricating compounds. These boundary layers are composed of a blend
of polymeric materials, wear debris, and functional molecules and have a complicated
structure. The temperature of the surface is crucial in this regard. In fact, the asperities’
chemical processes, the byproducts of which constitute the protective border layer,
must be brought to a critical flash temperature during sliding. However, a secondary
boundary film may not form quickly if the temperature is too low and the reaction rate
is insufficient. On the other hand, if it is excessively high, the reaction rate could be
too fast. Instead, chemical corrosion takes place, which causes excessive wear [22].
In order to study the scuffing phenomenon, lubricated testing in line or point contacts
are typically used. In order to achieve very high Hertzian pressures, a point contact
test is generally recommended; in this regard, the four-ball test, is frequently used
to examine a lubricant’s scuffing resistance. To change the lubrication regime, or to
lower the factor and raise the local pressure, the applied load is increased in this type of
test either stepwise or continuously. The friction coefficient is also being watched as a
function of time at the same time. The typical behavior while employing a lubricant
is schematized in Fig. 7.16 with EP additives, anti-wear additives, and additives
without [21]. Since the lubrication regime shifts from mixed to boundary lubrication
at first, the friction coefficient is observed to increase. Friction begins to significantly
rise at a crucial load known as the scuffing load (shown with arrows in the graph).
When utilizing oil lubricants without additives, scratching is then seen to spread, and
the friction coefficient quickly increases up to values typical of dry sliding, at which
point severe wear begins, which is characterized by significant material removal
and substantial increases in surface roughness. However, the scuffing load is raised
and, more crucially, the propagation stage is made more challenging because of the
production of a secondary boundary layer, which is able to shield the surface and
to enable a successful lubricating system. According to the results in Fig. 7.16, the
friction coefficient significantly rises for lubricants that contain anti-wear compounds
before the secondary boundary layer forms. On the other hand, when EP additives
are used, a protective layer like these forms quickly, and the friction coefficient
does not increase significantly as the applied load increases. It would be crucial to
foresee scuffing in a given tribological application, especially when using lubricants
without specified additives. However, it is a highly challenging undertaking, and the
models that are now available are only applicable to specific applications. As can be
7.5 Mixed Lubrication 225

observed, scuffing happens when the asperities of the mating surfaces meet, causing
the lubricant to be removed locally. Both the border and mixed lubrication regimes
are susceptible to this. An EHD breakdown criterion may be applied on this basis by
specifying that scuffing occurs when the factor drops below a critical value and the
lubricant viscosity is decreased below a critical value due to frictional heating [23].
The examination of, however, raises a considerable amount of uncertainty: Scuffing
could start at the greatest asperities, where collisions are more often and severe.
Additionally, the equation frequently employed to calculate hmin is approximative
and does not completely account for the real asperity height distribution due to the
fact that it is predicated on the idea that the two surfaces in contact are smooth. Models
based on temperature are also suggested. Block first proposed a very typical criterion:
Scuffing happens when the contact flash temperature reaches a critical value, which
for most lubricants is around 150 °C and relies on lubricant resistance to desorption
[24]. The friction coefficient for the upper limit of boundary lubrication (around
0.1) and the friction coefficient for dry sliding (around 0.7 for steels) can be used to
estimate the flash temperature, respectively, to a first approximation. Scuffing begins
once collisions have removed the lubricant from the surface a few irregularities. But
even in this situation, employing improved temperature models does not eliminate
a lot of uncertainties. In actuality, the desorption temperature is influenced by the
chemical makeup of lubricants, as well as by pressure and other operational factors.
The effectiveness of tribological systems working in boundary lubrication conditions
may be significantly increased by the use of solid lubricants such as soft metals,
DLC, or MoS2 coatings. In reality, solid lubricant can sustain the load when the
boundary film collapses, preventing the metal-to-metal interactions that cause acting
as a backup lubricant due to wear and potential for scuffing [25, 26]. As an illustration,
this effect is frequently used in lubricated bearings with soft metal coatings. under
fact, the system operates under boundary-lubricated conditions during the run-in
because the sliding speed is low and, consequently, so is the hydrodynamic force
that the lubricant exerts. A liquid lubricant combined with a solid lubricant layer
can also have advantageous synergistic effects. As an illustration, Fig. 7.17 depicts
the progression of friction between an uncoated and an Ag-coated silicon nitride
sample at 200 °C in a synthetic oil [26]. In this regard, it is possible for some
applications to obtain a significant reduction in S, P-base additions, favoring the
successive methods for reusing oil. At least for a portion of their operational cycles,
several systems operate in boundary lubrication conditions. The piston ring and cam/
follower systems are two examples.

7.5 Mixed Lubrication

Mixed lubrication refers to the transitional phase between boundary lubrication and
hydrodynamic mode. Both boundary lubrication and hydrodynamic lubrication are
capable of operating in this mode logical condition. Higher solid contacts are achiev-
able, however because of the partial hydrodynamic film, a minimal portion of the
226 7 Lubrication and Lubricants

Fig. 7.16 Using chromium

steel balls and oil lubricants
without and with additives,
four-ball testing is conducted
to measure the evolution of
friction coefficient with the
applied load. Scuffing loads
are indicated by the arrows
[5]

Fig. 7.17 Uncoated and Ag-coated Si3N4 friction evolution in a synthetic oil at 200 °C [25]

supporting surface still exists [27]. The production of wear products, the clinging of
particles to the counterparty, the transfer of metal from the array to the counterparty,
and finally jamming might result from rigid solid interaction between fresh metal
surfaces. However, in the liquid state, chemically created coatings prevent surfaces
from staying together while doing the sliding experiment.
Thin-film lubrication, partial fluid, and quasi-hydrodynamic lubrication are the
names for this mixed regime. As shown schematically in Fig. 7.18, mixed lubrication
happens when a border lubrication layer and a hydrodynamic film work together
to maintain the normal applied load, FN. The friction coefficient in this situation
normally lies between 0.07 and 0.1 [27]. The friction coefficients for the valley
regions and the areas of contact are c and v, respectively. The contact area ratio is the
comparison of the actual contact area to the nominal contact area. The coefficient of
friction at the boundary is c.
7.5 Mixed Lubrication 227

FN

v
Lubricant in
pressure
Boundary layer

Fig. 7.18 Illustration of the mixed lubrication situation

Whereas v is the friction for the hydrodynamic lubrication and is obtained by

(μv = F T /F N ), τ m /H provides the lubrication. When δ the contribution from the
contact areas predominates, that is, when is high and close to 1, a problem occurs.
This scenario, which is common in metalworking operations, will be discussed in the
paragraph after this one. Surface asperities are, on average, the same height as the
lubricant thickness if the value is ∆ ≈ 1. As a result, some accidents could happen
when moving between the highest asperities. Local shear plastic deformations are
simple to produce under these circumstances [28]. They might cause scuffing (as
mentioned in the preceding sentence), wear, or be the precursors to further fail-
ures brought on by contact fatigue, as demonstrated in the following Chapter. Such
localized surface plastic deformations are additionally referred to as surface distress.
Surface distress does not always happen, however, even when the tribological
system is working at low values, well inside the mixed lubrication zone, according to
a number of experimental experiments [27]. There are two rationales that have been
put forth. In the first, so-called micro-elastohydrodynamic lubrication (micro-EHD)
is taken into account. It is postulated that the lubricant interacts with elastic defor-
mations at asperities to produce local variations in section that result in a converging
shape in the direction of motion. As a result, there is established an EHD force
between two mating asperities. The local rise in lubricant pressure that causes an
increase in viscosity is a second hypothesis that is likely related to the first one.
The lubricant becomes so thick because of this local increase in pressure virtually
like a solid lubricant in behavior. It is obvious that in such circumstances neither
surface discomfort nor scuffing may happen. There are currently no models that can
accurately forecast the development of surface distress (including scuffing).
228 7 Lubrication and Lubricants

7.6 In Case of Large Plastic Deformations, Lubricated

Friction

When the usual load is very high and the real area of contact is near to or equal to the
nominal area of contact, metals exhibit specific behavior. The friction force tends to
be independent of the normal load, as schematized in Fig. 7.19, and adding a load
often causes a decrease in friction coefficient [29].
The circumstance in which Ar An occurs is typical of mechanical contacts, such
as those that take place in gears or cams. The scenario in Ar An is typical of metal-
working activities, which are frequently carried out in lubricated environments. In
such procedures, a work piece is plastically deformed using hard (undeformable)
tools to get the desired shape [16].
As a result of significant plastic deformations in one of the contacting bodies,
it is still unclear which lubrication mechanism is actually in use when the contact
area ratio is close to 1. Undoubtedly, there is a border lubrication process at work,
perhaps helped by the high local pressure. But there might be further contributions.
For instance, when squeezed, the trapped oil in the valleys might provide hydrostatic
support by the die, or it could exert a hydrodynamic pressure by being squeezed in
the contact areas (often referred to as plasto-hydrodynamic lubrication). The pattern
shown in Fig. 7.19 can be easily explained by only taking border lubrication into
account. The tangential force is F T = τ m An since Ar ≈ An , and as a result, μ =
τ m An /F N = τ m /p0 (where p0 is the nominal pressure) indicates the average shear
stress necessary to have shear slip in the boundary layer. This demonstrates that
a further rise in load (or pressure) is accompanied by a decrease in friction when
normal load is such that Ar An . Calculating the lubricant thickness can be used to
estimate the lubrication regime when a work piece comes into contact with a tool
while being subjected to significant plastic deformations utilizing the Wilson and
Walowit’s connection [30], h, and finally the value. A drawing of an aluminum alloy
sheet with a thickness of 6 mm and a surface roughness of Rq = 0.2 µm is shown

Fig. 7.19 Schematic

demonstrating how the
friction force in metals
depends on the normal load
[10]
7.7 Lubricant Selection 229

(a) (b)

strip

die

Fig. 7.20 Friction coefficient vs smooth film thickness and a factor for strip drawing an Al sheet
(reduction between 0.1 and 0.15; lubricants: V68, M320, HVI 650) are shown in the schematic
below [10]

in Fig. 7.20b as an illustration of the experimental values of friction coefficient as a

function of h.
Different h-values are obtained using half die-angles. Friction coefficient is shown
to decrease with h as expected. The fact that the obtained h-values are so low supports
the theory of border lubrication. This is supported by the determination of the corre-
sponding factors, which are all less than 0.2, as well as by observations of the surface
topographies made after drawing, which showed the existence of notable surface
distress phenomena. The friction values in Fig. 7.20b are substantially lower than
would be anticipated for boundary lubrication conditions when compared to the fric-
tion statistics presented in the preceding paragraphs (see, for example, Fig. 7.1b).
Since strip drawing is done while the work underwent significant plastic deforma-
tion, the outcome is consistent with the expectations of Fig. 7.19, component, and
consequently in heavy loading circumstances.

7.7 Lubricant Selection

The lubricants discussed in this chapter are primarily created to lubricate ferrous
alloys and metallic surfaces in general. Additionally, tribological systems constructed
of ceramic materials employ lubricating lubricants [4]. Given the temperature restric-
tions of oil lubricants, it is evident that the full potential of ceramics is not utilized
in this instance. Solid lubricants based on MoS2 or TiO2 should be chosen for use
at high temperatures. Such a temperature restriction does not apply to polymers;
hence, it is advised to use lubricants with organic polar molecules because they are
particularly efficient. It can be challenging to choose the best lubricant for each
unique application; thus, it’s important to consult the relevant specialized literature.
230 7 Lubrication and Lubricants

Table 7.3 shows the key characteristics of several lubricant kinds which are listed.
They might be helpful as a starting point for making the right lubricant choice.
Problems
1. What does the differences between the lubrication for “hydrodynamic” lubricant
and the assumptions used to forecast film thickness in “solid” lastohydrodynamic
lubrication (rigid EHL).
2. What does “viscosity index” mean? Give two instances where a high viscosity
index oil should be used as lubrication. What circumstances would make a low
viscosity index acceptable? Although many oils and fats from animals and plants
are great lubricants, they are rarely employed. Why is this the case?
3. At 20 °C, water has a dynamic viscosity of 1 mPa s and essentially doesn’t vary
hydrostatic pressure viscosity, or baric viscosity coefficient of zero. Give two
examples of situations in which water works well as a lubricant.as opposed to oil
made of carbon. In your response, take into account additional lubricant qualities
a liquid’s viscosity.
4. There is a tendency to reduce engine oil viscosity in order to increase the
economy of gasoline (gasoline) or diesel road vehicles. Why is this advanta-
geous? A reduced oil viscosity’s effects on the lubrication of the following
components are discussed: the cam/follower contacts in the valve train; the piston

Table 7.3 Comparison of lubricants‘ primary characteristics [11]

Property Solid lubricant Oil Grease
Hydrodynamic Nil Excellent Fair
lubrication
Boundary lubrication Good to excellent Poor to excellent Good to excellent
(depends much on (depends much on
additives) additives)
Cooling Nil Very good Poor
Ability to lubricate Very poor Excellent Poor
systems operating at
high velocity
Ability to lubricate Good Poor (excellent in Excellent
systems operating at hydrostatic
low velocity lubrication)
Ability to lubricate Good Depends on additives Fair
highly loaded systems
Protection against Poor to fair Fair to excellent Good to excellent
atmospheric corrosion
Temperature range Good to excellent Fair to excellent Good
Cost Fairly high Low to very high Fairly high to very
high
Life determined by Wear Deterioration and Deterioration
contamination
References 231

ring contact with the cylinder bore at the top of the stroke; and the main bear-
ings on the crankshaft. To comprehend the purpose of these components and the
circumstances they encounter, you might need to conduct some investigation.
5. Give three instances where a solid lubricant might be more suitable, an oily
liquid. Give the advantages of using a solid lubricant for each case and suggest
one or more qualified contenders. Defend your suggestions.

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Chapter 8
Surface Topography

8.1 Introduction

Surface interactions are influenced by the contacting materials and the surface’s form
as well. An engineering material’s surface shape is influenced by both the manufac-
turing method and the nature of the raw. When analyzed at a small enough scale, all
solid surfaces are asymmetrical. The roughest surfaces will eventually have surface
flaws that are smaller than individual atoms or molecules; for instance, meticulously
divided samples of the mineral mica can be really atomically smooth over an area of
many square centimeters [1]. However, imperfections that are substantially greater
than atomic dimensions are discovered on the surface of even the most meticu-
lously polished technical parts and numerous techniques have been employed to
explore their relief. Some of them include looking at the surface with electron or
light microscopy or other optical techniques, while others depend on fluid leakage
between the surface and the opposing plane, electrical measurements, or fine needle
contact. Atomic force microscopy (AFM) can be used to resolve individual atoms,
although, for the majority of technical surfaces, less sensitive techniques are sufficient
to examine their topography [2]. In this chapter, we will first examine the measure-
ment of surface roughness before examining what transpires when two surfaces come
into contact and are subjected to a load. The study of action and change between rela-
tively moving surfaces is known as tribology. Therefore, analysis of friction, wear,
and lubrication provides the foundation for comprehending and researching surface
and contact morphology. Surfaces’ geometrical characteristics are essential and the
key part in how lubrication, dry friction, and wear interact. When all solid surfaces
turn out to be rough when closely examined on a very small scale, and the roughness
is defined by irregularities of varied amplitudes and distances [3].
When the finishing process is direction-dependent, such as turning and milling,
the roughness distribution seems to be directional, and uniform when the finishing
process is non-directional, such as lapping and electropolishing. Understanding

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2024 233
R. A. Al-Samarai and Y. Al-Douri, Friction and Wear in Metals, Materials Horizons:
From Nature to Nanomaterials, https://doi.org/10.1007/978-981-97-1168-0_8
234 8 Surface Topography

Fig. 8.1 Showing the surface topography a grinding; b round grinding; c superfinishing; and
d polishing [5]

measuring techniques and descriptions of surface shape in general, and surface rough-
ness in particular, is required to investigate tribological behavior [4]. Roughness
(nano and microroughness), waviness (macroroughness), roughness, and fault are
all possible surface textures. The surface texture: superfinishing, polishing, grinding,
and round grinding is shown in Fig. 8.1. Short-wavelength oscillations that are char-
acterized by irregularities (local maxima) and troughs (local minima) of different
amplitudes and separations between them are what cause roughness. Included are
characteristics that are inherent to the manufacturing process. Longer wave surface
imperfections known as waviness can be caused by deflection of a machine or work-
piece, vibration, heat treatment, or strain deformations. Lay, which is primarily
dictated by the manufacturing process, is the primary direction of the surface pattern.
Defects are interruptions to a texture that are unanticipated and unplanned. Addi-
tionally, the surface may deviate significantly from its intended form with a very
lengthy wavelength, also referred to as a form mistake [3]. They aren’t thought
of as a component of the surface texture. Figure 8.2 depicts a very broad general
surface topology. Simple analytical techniques can be used to study deterministic
surface textures. However, the majority of manufactured surfaces have random,
anisotropic isotropic, Gaussian, or non-Gaussian textures; the precise kind depends
on the processing technique used. Techniques are referred to as cumulative, like
hardening, lapping, and electropolishing, where the ultimate form of each region is
[6]. Any friction surface has numerous peaks and valleys of different forms. The
surface may appear smooth and flat from a macroperspective, but when examined
under a microscope, topography, or irregular peaks and valleys, can be seen. Due to
the fact that any production as seen in Fig. 8.1, this process results in the formation of
variously shaped peaks and valleys on the surface. Typically, topography parameters
are employed to define a surface’s geometry.
The roughness of a surface, which is represented by its cross-sectional profile,
is the surface topography characteristic that is utilized for tribological research the
8.2 Properties of the Surface Layers 235

Fig. 8.2 General surface tropology [5]

most frequently. Topography parameters can be categorized as one-dimensional, two-

dimensional, or three-dimensional depending on how they are represented. Typically,
one-dimensional topographical parameters are utilized frequently in practice and
only indicated by height. We often draw the height contour along the cross section,
as illustrated in Fig. 8.2, and choose the x-axis so that the top and bottom areas are
equal. The central line is the x-axis. Surfaces that follow a Gaussian form are produced
as a cumulative outcome of a vast number of discrete random local events, regardless
of the distribution that describes each individual event. The central limit theorem of
statistical theory has a direct bearing on this. Anisotropic and non-Gaussian surfaces
are often produced by extreme operations like grinding and milling as well as single-
point processes like turning and shaping [7].

8.2 Properties of the Surface Layers

The geometric separation between a solid and its surroundings is represented by the
solid’s surface. However, the surface contains near-surface material at a significant
depth from a tribological perspective. A typical metal has a number of layers on its
surface, each with distinct physicochemical characteristics from the bulk material as
a whole. Figure 8.3 depicts a typical metal surface with many layers. The molecular
layers that are machined into the top layer, also known as the layer, are then quenched
to become harder as they are deposited onto the cool underlying material. The layer
is usually 1–100 nm thick and has an amorphous or microcrystalline structure.
236 8 Surface Topography

Fig. 8.3 General surface layers [8]

Following this, the complicated oxide layer results from the metal’s chemical inter-
action with the environment. Additionally, absorbed coatings may form as a result
of the physical or chemical absorption of oxygen, water vapor, and hydrocarbons.
There is no electron transfer between the molecules of the absorbent and the absorbate
during physical sorption [8]. There are van der Waals forces at play. The solid surface
is very tightly linked to the adsorbing particles by covalent bonds in chemisorption
when the actual sharing or exchange of electrons between the chemisorbed particles
and solid surfaces takes place. While the physisorbed layers might be either mono-
or polymolecular, the chemisorption layer is always monomolecular. The temper-
ature of chemisorption during absorption and chemisorption requires a particular
activation energy but physisorption does not, with chemisorption having a higher
calorific value (between 10 and 100 kcal/mol) than physisorption (1–2 kcal/mol).
The oxide and chemically reactive layers are between 10 and 100 nm thick [7].
This is followed by loose material that is distorted and contains some impurities and
trapped lubricants. The distorted layer has a thickness that spans from 1 to 100 m.
Chemical reactivity and molecules’ propensity to absorb on a surface are examples
of the surface’s exterior qualities.
Surface tension, also known as free surface energy, is a crucial characteristic of
surfaces. It is the reversible work necessary to produce a unit surface area at constant
volume, temperature, and chemical potential, developing a new [2]. If the operation
is isothermal, the surface entails both mechanical work and heat consumption. The
characteristics of the medium on the other side of the material boundary determine
how much surface energy a material has. Commercially available surface analytical
techniques for describing surface layers abound. Cutting the surface and using a
high-resolution optical microscope or a scanning electron microscope to examine
the cross section will reveal metallic features such as the grain structure of the
deformed layer (SEM). The microcrystalline structure and dislocation density can
be investigated using the transmission electron microscope (TEM). X-rays and high-
energy, or low-energy electron diffraction techniques can all be used to examine the
8.3 Surface Topography Measurement 237

crystal structure of the surface layer. Elemental evaluation of the top layer X-ray
energy dispersive analysis (X-REDA), Auger electron spectroscopy (OES), electron
probe microanalyzer (EPMA), etc., are methods that can be used to do the analysis.
Utilizing secondary ion mass spectrometry and X-ray photoelectron spectroscopy
(XPS), surface layers can be chemically analyzed (SIMS). By measuring the residual
stress on the surface, it is possible to determine the thickness and severity of the
deformed layer, and by deeply profiling the surface, it is possible to determine the
thickness of all the layers. The two most used techniques for determining the thickness
of organic layers are ellipsometry and depth profiling using XPS [8].

8.3 Surface Topography Measurement

A dataset containing the coordinates of points located on a surface can be used to

represent the topography of that surface. However, the distance between consecutive
measurement sites must be much smaller than the size of these features in order
to accurately resolve the components that make up the surface topography. The
coordinates of points on a surface must be measured and recorded using the proper
techniques. In techniques like atomic force microscopy and needle profilometry,
points on a surface’s coordinates are measured by interacting with a probe; this
sequential measuring process slows down the rate at which measurements may be
recorded [9]. An array of these coordinates along a line or region describes the
topography of a surface. In touch In profilometry, a narrow probe moves evenly
and without resistance across the surface being analyzed. A motion control system
typically determines the stylus’ position in the plane of the surface, and a sensor
regulates its vertical position. Note the coordinates of points along the line are spaced
equally apart. Simply record individual profiles along a row of parallel lines to record
a dataset that uses data from an area of a surface (rather than just lines on a surface).
AFM uses a considerably thinner stylus on a flexible piezo-powered cantilever to
keep a constant force between the surface and the tip of the stylus itself (attractive
force is kept in non-contact mode and repulsive force is kept in contact mode) [10].
In non-contact mode, force is maintained. In contact mode, force is maintained.
However, the concepts for measuring line profiles or surface topography are the
same as for stylus profilometry. With AFM, surface coordinates may be measured
with much more accuracy. The form of the needle is an unavoidable restriction with
contact profilometry. The diamond style used for conventional contact profilometry
has pyramidal or conical tips with a minimum contact angle of around 60° and
a tip radius of 1–2.5 m. This is due to strength concerns. This style can’t fully
penetrate deep and narrow surface features because of their tip radius and contact
angle. In some applications, this can result in a serious error. Special style with
0.1 m minimum tip radius and sharp edges can All stylus methods invariably lead
to some “smoothing” of the profile owing to finishing, but they can all be used to
inspect very fine surface features where a typical pen would be too blunt, stylus
tip measurements, as displayed in Figure 8.4. In stylus profilometry, the shape of
238 8 Surface Topography

Fig. 8.4 Illustration of the effect of the needle’s final shape on the recorded surface profile; the
trough depth is recorded with a 4d reduction and the vertices are rounded

the tip, which is typically 200 nm, limits lateral resolution. A 10 nm or so vertical
resolution is present. The lateral resolution of an AFM is normally less than 10 nm,
although it can achieve a vertical resolution of 0.1 nm. A challenge occurs when
using styli to probe extremely flexible or sensitive surfaces because, despite its small
load, the stylus can nonetheless generate enough local stress to distort or harm the
surface. Non-contact optical surface measurement techniques are appealing for these
applications [9].
The other primary class of techniques for determining surface coordinates is
based on optical measurements, with the two primary techniques using either optical
focusing or interferometry to pinpoint a surface’s location. Both of these techniques
rely on the usage of a microscope and compute the height of a surface on a per-
pixel basis using data from the complete field of view. For each pixel’s surface
position, they both employ computer image processing algorithms (using maximum
fringe contrast in interferometry methods and maximum image sharpness in focus
methods). The methods using a microscope typically have a 3 nm resolution for
height. The employed lens and magnification affect lateral resolution, however,
restricted to 1 m. Using high-magnification lenses can improve lateral resolution
but lower the measurement area [3]. The majority of systems can combine data
from many measurement areas to provide high-resolution analysis on huge areas.
Transparent or translucent surfaces need to be handled carefully and may require
metal coating in order to be fully reflective; a thin sputtered coating (typically 2–20
nm thick) has minimal practical impact on the measurement of the surface profile.
The processing software commonly calculates the surface location at those pixels
based on measurements of the surrounding pixels because it is generally noted that the
surface position cannot be obtained for every pixel. The person using such techniques
must be certain that the ratio of pixels where the height must be conscious of this
while presenting the results has been calculated in this manner remains acceptable
[11]. After being gathered, topographic data is frequently represented graphically or
as one. Using an interpolation technique, single-line profiles can be produced from
measurements of the area-based profile. For a number of reasons, the surface profile’s
graphical representation and its real cross-sectional form are different. The primary
distinction is due to the various magnifications utilized to depict the data set in both
8.4 Measurement of Surface Roughness 239

the horizontal and vertical axes. Surface characteristics nearly always have a signif-
icantly smaller vertical extent than they do horizontally. Consequently, adopting a
higher magnification to condense the graphic recording of a surface profile is conve-
nient than magnification in the surface plane in the direction normal to the surface.
Depending on the surface roughness, the magnification factor ranges between 10 and
5000. The magnification effect is demonstrated by profilometer readings of the same
surface at various magnification ratios, including 50:1, 5:1, and 1:1. As a result, the
slopes of the surface on a typical profiler record appear much steeper than they really
are, and interpretation of these slopes must account for the distortion caused by this
horizontal compression, which is present in almost all profiler traces [9].

8.4 Measurement of Surface Roughness

8.4.1 Measurements Quantitative for Surface Topography

It is useful to make the distinction between roughness, which refers to minor surface
abnormalities, and shape error, which measures how much a surface deviates from
its intended ideal shape (such as flat, cylindrical, or spherical) profile; the data used
at lower magnifications is the same as at higher magnifications, as shown by the
positions of the lines.
As a result, despite surface slopes rarely being steeper than 10° on a profiler trace,
surface features on opposing surfaces that appear sharp rarely are so sharp to interlock
with one another. Although it is obvious that the distinction between shape error and
roughness is related to the horizontal scale of roughness, it is arbitrary (Fig. 8.5). The
presence of periodic surface waviness, which is scaled halfway between roughness
and shape error and is contained within the sample length, can further complicate
the situation. The results of each of these sample lengths are appropriately integrated
to give a representative value. These measurements can be done at various sample
lengths, which together make up the estimated length (see Fig. 8.6). By specifying
surface coordinates by area, it is possible to completely characterize the topography
of an array of surfaces. The spatial distribution of surface heights may be seen in this
view, which enables you to identify elements like flaws and directional features like
grinding marks [10].
These datasets are frequently visually represented in 3D, as illustrated in Fig. 8.7.
If the surface has no direction, as in Fig. 8.7a, then a linear profile may be suffi-
cient to represent it, but if the surface has a dominant direction, as in Fig. 8.7b,
caution must be given when presenting the line profile as representational. Despite
the fact that surfaces can be graphically represented (whether in planar or linear
profiles), despite being helpful, they don’t offer a sufficiently straightforward and
simply compared way to describe surface topography. A dataset depicting a surface
profile can yield a wide range of quantitative indicators that can be used for this
purpose. The most widely used parameters are first generated from line profiles;
240 8 Surface Topography

Fig. 8.5 Magnifications of

a 50:1, b 5:1, and c 1:1 are
used to display a line surface
[12]

Fig. 8.6 Example of a phrase used in the analysis of profilometric data [12]
8.4 Measurement of Surface Roughness 241

Fig. 8.7 Plots in three dimensions of a a sandblasted steel surface and b a brushed steel surface.
The scale for both graphs is the same [12]

however, recently assessing surface topology based on area has become more popular
[11].
Where L is the length of the profile being considered, and z is the height of
the surface above the midline at a distance of x from the origin (i.e., the length of
the sample, as shown in Fig. 8.8). Typically, evenly spaced distinct dots are written
along the profile (as opposed to a continuous function). Additionally, established and
standardized conventional equivalent measures for area-based datasets have been
developed and are increasingly in use. The average roughness Ra is the unit of
surface roughness that is most frequently used. The arithmetic means divergence
of the surface height from the center line traversing the profile is used to define
average roughness. In practice, the median line is the line of best fit with equal
profile regions above and below it. The median line is defined as the line matching
to the long wavelength components of the surface profile [11].

8.4.2 Engineering Surface Topography

Many surfaces of engineering components have a directional direction as a result

of the manufacturing methods utilized (such as turning, milling, or grinding). The
dominant surface pattern’s direction is what is meant by the directionality known
as overlay. Engineered surfaces have varying degrees of roughness and are far from
being completely smooth. The placement, shape, and size of discrete features, such
as bumps (which are minuscule hills and valleys), are used to characterize the texture
qualities of surfaces. Figure 8.9 depicts the topography of the surface schematically.
Vertical surface sectioning can be used to obtain surface profiles. Information on the
bearing area can be found in horizontal sections along the surface topography. Due
to surface roughness, contact between two rigid bodies is typically discrete, that is,
at specific locations where individual point interactions occur. Standard measuring
techniques typically call for the linear profile to be transverse to the surface topog-
raphy when solid surfaces are characterized by a linear profile (i.e., perpendicular to
the formation).
242 8 Surface Topography

Fig. 8.8 Profile is recorded on the length of the sample, L; a raw data with the line of best fit
(middle line) shown by the dotted line; b a profile relative to the midline, from which the roughness
parameters can be computed from the line profile [12]

As a result, the profile and the roughness indices derived from it reflect the roughest
possible surface, but they do not reveal how the surface elements are distributed over
the layer parallel to the machining marks. Figure 8.9 depicts the ground’s great
relief and, in contrast, the lack of directionality on the surface after shot blasting.
The area of contact between surfaces can be studied by numerically simulating their
approximation and height data obtained by profilometry can be used to produce
contour maps of surfaces, analyze the statistics of the distribution of features over
two-dimensional regions, and investigate these topics [11].
A freshly machined surface’s topography is influenced by both the material’s
properties and the machining technique employed to make it. The topography of the
worn surface also depends on the circumstances surrounding the wear. Skewness
and kurtosis values can be used to convey a lot of information; however, the rough-
ness of manufactured surfaces is frequently stated only using values for average
roughness (Ra). The typical Ra value ranges for manufactured surfaces treated in
various ways are given in Table 8.1. There are many optical and mechanical tech-
niques accessible measurement of geometric feature surfaces, whether microscopic
8.4 Measurement of Surface Roughness 243

Fig. 8.9 Surface imperfections are schematically [12]

or large. In profilometry, probe devices are frequently employed, utilized to produce

surface profiles. The vertical displacements of a fine diamond needle as it crosses the
surface are fixed. Profiles consist of a single linear pass through a random 3D surface.
Contour plots can be created from the numerous cross-surface texture areas (links 1
through 5). The three-dimensional picture contour plots properties of texture [14].
To represent the surface roughness of three-dimensional properties, new measuring
systems have been developed. Profilogram portions are shown in Fig. 8.10.
Following electropolishing, the Ti-6Al-4V’s maximum phase angle rose from 60°
to above 80°, with the maximum phase angle being roughly 10° below 90°. Other
researchers on studies for films of titanium or titanium alloys have also reported such
a divergence [15, 16]. It was also reported that the Ti-6Al-4V alloy made additively

Table 8.1 Roughness values

Ra (µm)
characteristic of technical
surfaces processed in various Planning, shaping 1–25
ways [13] Milling 1–6
Drawing, extrusion 1–3
Turning, boring 0.4–6
Grinding 0.1–2
Honing 0.1–1
Polishing 0.1–0.4
Lapping 0.05–0.4
244 8 Surface Topography

Fig. 8.10 shows the surface profilometer curves of Ti-A1 alloy after turning, electrolytic polishing
[12]

showed better corrosion resistance than the alloys produced conventionally. The Ti-
6Al-4V created by additive manufacturing had less time for grain formation and
precipitation because of its quick cooling rate.
Surfaces of the Ti-A1 alloy collected with a stylus. It is possible to polish, turn,
or mill surfaces. The mean of the midline or arithmetic mean deviation profile (cla
Ra), the roughness value (rmse R4, 1.25R), the peak-to-minimum (Rt), or the highest
peak-to-trough height are frequently used values to describe surface texture (Rmax).
Surface imperfections are recorded using surface profilometers, with varying magni-
fication in both the vertical and horizontal directions (see Fig. 8.10). Vertical scaling
tends to be more horizontal. This disparity in magnification causes recorded profiles
to not accurately depict the true shapes of surface imperfections. Actual image Instead
of steep peaks, the terrain is made up of hills with a broad base and tilt angles from
the baseline less than 15°. It is crucial to consider the variations in surface while
evaluating the wear pattern, actual surface, and recorded image [13].

8.5 Surface Contact

A nicely brought-together pair of surfaces that are technically level and parallel will
initially only make contact at a few locations. The surfaces approach each other and
more of their higher sections or imperfections come into touch as the typical load
rises. Since these bumps are the only places where the surfaces come into contact,
they are in charge of keeping the surface’s regular load in place and producing
any frictional forces that may exist between them [14]. Electric current must pass
through the points of contact if it is to flow from one surface to another. Any study
of friction, wear, or electrical contact resistance must therefore comprehend how the
asperities of two surfaces interact under various loads; this is the idea of A physical
basis for many frequent tribological phenomena is interaction with roughness (for
example, the fact that for many materials the coefficient of friction is independent of
the nominal contact area).
8.5 Surface Contact 245

When thinking about subsurface deformation and damage caused by phenomena

like plastic deformation, fracture, or fatigue, macroscopic elastic stress distributions
that develop when surfaces are loaded in relation to one another are helpful can be
found using feature extraction techniques. It should be noted that not all options
must be used to define surfaces [17]. For identifying specific subsets of appropriate
parameters, statistical techniques like significance tests and correlation analyses are
helpful. Examples of this methodology are provided in the case-by-case chapters
that follow; in addition, discusses a comparison of 2D and 3D roughness parameters
[18].

8.5.1 Surface Wavelength Bandwidth

Real surfaces have surface characteristics at various scales and sizes. Not all of these
surface items will provide relevant information for observing the surface-creation
process or make a major contribution to the surface’s functionality. Before surface
is evaluated, the size range of surface elements containing meaningful information
must be established. For instance, the surface wavelengths between 1 and 8 mm of
unpainted body panels are of importance because they are correlated with the paint
appearance, particularly the “orange peel effect” on the finished body panel of the
car. The “orange peel effect” can be controlled during the production process with
the aid of an appropriate surface analysis at these wavelengths [19]. As a method
of defining the range of characteristics the bandwidth is through the surface sizes,
waves at the surface. Specifically, point out two intriguing directions where the
surface’s wavelength range can be found. When this range is specified, the filter
can be adjusted to only take in certain wavelengths at the surface using its cutoff
wavelengths (embedding index).
By assuming that the contact surfaces are smooth at the microscopic level, it is
possible to calculate these macroscopic stresses. Many nominal connections occur
over a very limited area because the real contacts are insufficient (such as those
between a ball or roller and the raceway in a rolling bearing). The resulting contact
pressure can be extremely high for very light loads. When two ideal surfaces that is,
surfaces without microscopic imperfections are forced against one another, they will
first deform elastically. Heinrich Hertz originally considered the analysis of elastic
stress fields for such mismatched contacts; as a result, the field is also known as
Hertzian contact mechanics [14]. There may be a significant disparity between the
apparent and true areas of two flat solid surfaces pressed against one other, according
to several types of experiments (Fig. 8.11). The distribution of the surface contact
pressures and the yield strength of the surface layer in question determine the ratio of
real to apparent contact area, which can be low. In a static condition, the true contact
area is larger than the sliding one.
246 8 Surface Topography

Fig. 8.11 Seeming and real area of touch [12]

8.6 Numerical Parameters for Topographic

Characterization

Engineering drawings often include numerical surface texture parameters as a way to

communicate design, production, and functional details as well as between suppliers
and customers [14]. These parameters are utilized to forecast functional qualities,
particularly in the case of 3D parameters, in addition to serving as a reference for
manufacturing and surface tolerance criteria. Early in the 1990s, the so-called Birm-
ingham 14 parameters, which are depicted in Fig. 8.12, were produced as the first
set of numerical terrain surface texture characteristics.
Expansions of the amplitude parameters previously employed in 2D character-
ization methods include the spatial parameter Sd and amplitude parameters Sq.
Other spatial parameters are derived from the areal autocorrelation function and the
areal power spectral density. Although many people regarded this set of criteria as
successful, others said they were only theoretical in nature and lacked adequate proof
for practical applicability [20]. Determining these characteristics still presents chal-
lenges, though. There are times when mathematical descriptions are unclear. How
can the number of peaks or valleys and their average be determined, for instance,
where there is connectivity between peaks, valleys, or pits on a random surface, size
in relation to the height from the middle or base surface, how do valleys connect, or
how do summits join to produce ridges? Second, is it improving, the correctness of
definitions and developing more beneficial hybrid parameter algorithms? To char-
acterize broad functional features, such as area and bulk geometric properties, or to
8.6 Numerical Parameters for Topographic Characterization 247

Fig. 8.12 Specifications of the Birmingham 14

describe wear and tribological properties, appropriate parameters pertaining to the

material ratio curve should also be more suggestive [21]. Work on landscaping and
verification is done as part of the SURFSTAND project, with a particular on consid-
erably more solid empirical support and applications that are more realistic. The
set of numerical parameters has been revised and improved as a result, constructed
for the project. CEN/TC 290 received a report about this in June 2001. Presented
in February 2002 to ISO/TC 213. A new foundation for the standards of three-
dimensional surface texture is currently being created by European and worldwide
organizations for standardization [22].

8.6.1 Sampling Conditions

Real surfaces are a continuum, whereas digital computers can only handle digital
data with a finite number of points. This means that surface data must first be sampled
before it can be used by a digital computer. Real surfaces must be smoothed to elim-
inate all minute characteristics in order to ensure that the sample surface accurately
represents the real surface and to prevent issues like offset. The true surface can be
sampled after it has been smoothed [23]. For a specific amount and type of smoothing,
sample conditions set up the parameters for tolerable sampling against persistent loss
248 8 Surface Topography

of surface information. For instance, the Nyquist sampling condition stipulates that
if a set of infinitely long profile data has high frequency limiting (which establishes
the degree and kind of one sample is smoothed, then no information loss happens
(consistent information loss).

8.7 Field Parameters

A set of S-parameters and a set of V-parameters make up the field parameters. Options
for describing amplitude and spatial information rely on the height of the ampli-
tude and the interval frequency. Based on the material ratio curve (also known as
the Abbott-Firestone curve or bearing ratio curve), V-parameters provide essential
information [14].

8.8 S-Parameter Set

There are five categories and 15 parameters in the S-parameter set. Parameters as
illustrated in Fig. 8.13 for amplitude, spacing, hybrid, fractal dimension, and other
variables.

Fig. 8.13 S-parameter set

8.9 Solid Surfaces 249

Geometric attributes, specifically the characteristics of fields and features, are

solved by a new numerical parameter set for the 3D surface texture. To categorize
readings of means, deviations, extrema, interval information, and general functional
features, utilize the field parameter set as explained in this chapter. Methodologies for
extracting peculiarities will be presented in the following chapter and will let topo-
graphic items be amenable to cataloging and identification. Peak/valley parameters
and their mean size [24].

8.8.1 Parameters for Amplitude

For the purpose of describing the amplitude characteristics of the surface, the ampli-
tude parameters depend on the height deviation. The amplitude attribute of surfaces
is described by six factors. They can be divided into two groups: average ordinates
and parameters of extremely high and low points [23].

8.9 Solid Surfaces

For some time, it has been known that using electron beams to examine the chem-
ical and structural properties of solid materials can concurrently change or harm the
sample. These effects are presumably initially identified in electron probe analyses,
particularly in biological material transmission electron microscopy [14]. However,
it is increasingly evident that similar effects also appear in metallic, ionic, and cova-
lent inorganic materials, in addition to biological and other organic materials. Since
electron microanalysis and microscopy employ high energy, high-current density
electron beams damage typically happens in bulk. The physical effects of surface-
sensitive techniques like Auger electron spectroscopy (AES), electron energy loss
spectroscopy (EELS), and low-energy electron diffraction (LEED), despite the fact
that they frequently impose greater restrictions on the actual implementation of these
techniques, electron beam damage may be less severe. The causes are evident enough.
First, because nuclear power plants have sensitive surfaces, damage is frequently
localized to the outermost surface of a solid, where it is instantly apparent. Second,
as opposed to the surface are more vulnerable to many of the mechanisms linked
to damage from electron beam radiation in terms of volume [25]. The near-surface
region’s composition is changed as a result of electron beam irradiation, which plainly
restricts the main objective of the majority of NPP analyses, which is to determine
the elemental composition at the surface. NPP is a potent radiation source because
it is incredibly sensitive to electron beam radiation, a technique for researching the
effects of surface irradiation with electrons and other radiation. Because of this, there
is a wealth of literature on the behavior of solid surfaces under electron irradiation.
These investigations have demonstrated how intricately the experimental parameters
250 8 Surface Topography

utilized in the study, the particular material, and the surface state affect the mech-
anisms and degree of damage. Since nuclear power plants are frequently used to
investigate and characterize unknowns, it is particularly important to understand how
electron beam damage depends on the surface’s initial state [26]. This chapter’s goal
is to familiarize readers with the mechanisms of electron beam damage, their depen-
dency on instrument characteristics and material type, and descriptions of actual
instances of electron beam damage in use in this manner, and the surface specialist
is able to anticipate and account for the effects of electron beam damage in the study.
Samples are impacted by electron beam damage and its aftereffects in various ways
during analysis. Although these impacts frequently combine, the following list offers
a useful foundation for the presentation’s objectives:
. Compositional changes
. Chemical structure changes
. Lattice or other structural modifications
. Creation or elimination of electronic flaws and color centers heating or melting
. Electrical charging.
Peak shape alterations, peak shifts, peak intensity changes, and instability are the
most common manifestations of these impacts in the spectra. If the damage penetrates
deeper into the composition, the depth profile may also be altered. Occasionally,
you might see alterations, staining, or etching on the sample surface. This chapter
aims to present instances of how each of these impacts appears in AES and related
analyses, clarify the underlying mechanisms underlying each of these effects, and
provide some advice for limiting or recognizing harm, or both. When available, a
quantitative evaluation of the degree of damage has been provided along with the
materials that are most likely to be harmed by the electron beam. When using high-
current density beams for microanalysis, it will become clear that insulating, ionic,
or organic materials are particularly vulnerable to these events [18].

8.10 General Aspects of Surface Functional Modifications

Four general categories can be used to classify surface engineering treatments:

Surface coatings (including metallic plating, thin and thick coatings), thermo-
chemical diffusion treatments, chemical conversion coatings, and treatments for
microstructural alteration. The primary surface treatments employed in tribology
are outlined in Table 8.2.
Some unique factors that should be carefully taken into account during the
selecting process are
(1) the kinds of materials that must be processed using the chosen technology;
(2) the process temperature, or the temperature that the substrate reaches during
processing;
(3) the maximum hardness of the surface layer; and
8.10 General Aspects of Surface Functional Modifications 251

Table 8.2 Main characteristics of some widely employed surface treatments [27]
Treatment Metals treated Processing Maximum Typical thickness
temperature (°C) surface hardness (mm)
(kg/mm2 )
Treatments for microstructural modification
Surface rolling Steels, Ti, and Ni Room
alloys temperature
Shot peening Steels, Ti, and Ni Room
alloys temperature
Flame hardening Hardenable steels 850–1100 500–600 1–6
and cast irons
Induction Hardenable steels 850–1100 500–700 0.2–2
hardening and cast irons
Laser hardening Hardenable steels 850–1100 500–700 0.1–0.6
and cast irons
Thermochemical diffusion treatments
Carburizing and Low carbon steels 800–1100 700–900 0.05–1.5
carbonitriding
Nitriding Nitriding steels 500–600 800–1200 0.025–0.5
Tool steels (hot
working and HSS)
Ion implantation All 200–600 600–1100 < 10−3
Chemical conversion coatings
Phosphate Steels, Al alloys 25–95 (drying at – Up to 0.01
coatings 200 °C)
Hard anodizing Mainly Al alloys 0 > 1100 0.04–0.05
Surface coatings
Hard chromium Most ferrous and < 70 700–2000 0.001–0.5
non ferrous alloys
Electroless nickel Most ferrous and Room Up to 1000 0.001–0.025
non ferrous alloys temperature
(ageing between
200 and 500 °C)
Physical vapour All metals 150–500 2000–2500 0.001–0.003
deposition (PVD) (TiN)
coatings
Chemical vapour All metals (with 800–1000 (lower 2800–3000 (TiC) 0.001–0.01
deposition the limitation of temperatures in
(CVD) coatings the process new techniques)
temperature)
(continued)
252 8 Surface Topography

Table 8.2 (continued)

Treatment Metals treated Processing Maximum Typical thickness
temperature (°C) surface hardness (mm)
(kg/mm2 )
Thermal spray All metals < 200 700–1200 0.5–1
coatings
Hardfacing by Steels and non 1200–1600 800–2000 3–10
welding ferrous alloys
with melting point
greater than
1100 °C

(4) the thickness of the hardened surface layer.

To confirm whether the substrate can actually withstand the treatment, it is
crucial to determine the highest temperature the substrate will attain during the
treatment cycle. For instance, because they would lose their mechanical strength,
steels shouldn’t be subjected to a coating treatment using the CVD technique at a
temperature of 1000 °C (in actuality, CVD coatings are typically achieved on hard
metals). Also, to be taken into account is the ease with which geometrical distortions
in the treated portions can be brought about by treatments carried out at temperatures
above about 500 °C. To reduce the consequences of excessively high heating and
cooling rates, it may be required to perform the proper preheating or post-heating
cycles [26].
The two most critical factors from a tribological perspective are unquestionably
the hardness and thickness of the treated layers. Some processes, including the ther-
mochemical diffusion processes, achieve a hardness gradient rather than a uniform
hardness the topmost layer. As an illustration, Fig. 8.14 displays the usual hardness
profiles that arise from steels being carburized and nitrided. The profiles are from
microhardness testing on cross sections that had been metallographically produced. It
has been demonstrated that hardness is greatest at the material’s surface and gradually
declines as it moves inward, eventually reaching the normal value of the substrate.
The asperities are where the highest contact stress is obtained due to adhesion,
tribo-oxidation, and abrasion. Therefore, choosing treatments capable of inducing a
very high hardness directly in the outer layer of the treated part is important to offset
the damage caused by these mechanisms. For instance, the PVD technique’s ceramic
coatings on high-speed steels are especially well suited for enhancing the tribological
resistance of cutting tools that experience adhesive (and sometimes abrasive) wear
while in use [26]. As a general rule, a high hardness should be guaranteed for at least
2 mm of depth. Two more factors that apply to coatings to be carefully considered
are
(1) The substrate’s capacity to hold the coating securely;
(2) The coating’s adherence to the substrate.
8.10 General Aspects of Surface Functional Modifications 253

Fig. 8.14 Microhardness

patterns in carburized and
nitrided steels that are typical
[27]

Harder and less bendable than the substrates are wear-resistant coatings. If they
must stand tall and straight localized stresses, such as those found in angular or
non-conformal connections might cause the substrate to deform plastically, which
the coatings may not be able to handle. The resulting brittle fracture of coatings is
schematized in Fig. 8.15. This process can be controlled.
The hardness of the abrasive particles must obviously be taken into account when
choosing a surface treatment for abrasion, together with the ability to produce a
suitably high surface hardness (as well as a suitable fracture toughness in case of high-
stress abrasive wear). When contact fatigue causes damage, the maxima the depth
zm is where contact stress is located, so it’s important to pick a treatment that can
provide an acceptable effective thickness. The potential existence of residual strains
in the treated areas is a unique component of surface engineering to take into account.
Residual stresses can be either compressive or tensile in character and are elastic in
nature. In general, tensile residual stresses may hasten the tribological damage, while
compressive residual stresses are advantageous. While coatings may have either
compressive or tensile residual stresses, surface modification, and thermochemical
diffusion treatments primarily produce compressive residual stresses at the surface
[19]. Decreasing the discrepancy in hardness and deformability between the coating
and the substrate will increase the hardness of the substrate. As a general guideline, for
ceramic coatings, this difference shouldn’t be greater than 800 kg/mm2 . Increasing

Fig. 8.15 After the load

application of a concentrated
contact load, a hard coating
that is applied to a soft
substrate began to fragment
[27]

plastic deformation
254 8 Surface Topography

the coating’s thickness is an additional option. The likelihood of discovering a crucial

flaw for brittle contact would grow with coating thickness; thus, it must be kept in
mind that an excessive thickness could not be acceptable, especially if the coating is
ceramic.
Surface coatings can only be used to their full potential if they are firmly attached
to the substrate, substantially influenced by the existence of faults and contami-
nations. A multitude of mechanical tests, such as pull-off, indentation, scratch, or
fracture mechanics tests, can be used to measure the adhesion. The coated specimen
is attached to two rods and put through a tensile test until the coating detaches in
the pull-off test (see the schematic in Fig. 8.16a). The coating-substrate adhesion
is reflected in the tension for separation. When there is a great deal of adhesion,
the detachment takes place inside the adhesive resin (usually, an epoxy resin with a
strength of around 300 MPa is utilized). This is obviously a test constraint [25].
The adherence of coatings created using thermal spraying processes is frequently
assessed using this test, or if the adhesion between the coating and the substrate
is high enough. The physic-chemical interactions at the interface, which take place
there, are what cause the adhesion which frequently exhibits little adherence. A
very straightforward test that is frequently used to assess the adhesion between thin
ceramic coatings (such as those generated using the PVD and CVD processes) and
the indentation test (Fig. 8.16b) measures the substrate. Typically, it is done with a
Rockwell C indenter. The critical load for the separation of the coating is established
after several tests with increasing applied stresses. Compressive radial stresses that

(a) (b)

rod

adhesive resin

Coating
substrate
Plastic zone

Detachment

Fig. 8.16 Examples of the pull-off (a) and indentation (b) tests in schematic form [28]
8.10 General Aspects of Surface Functional Modifications 255

are communicated back to the coating from the substrate after the plastic deforma-
tion are what lead to this detachment. If the coating’s adherence to the substrate is
relatively low, it may then separate due to compressive instability. If the ceramic
coatings are thin. The work of adhesion, W12, on metal substrates typically varies
from 15 to 100 J/m2 [24]. Since the adhesion between a coating and the substrate
is mostly caused by strong chemical-physical interactions rather than weak van der
Waals interactions as it occurs at the contacting asperities during sliding, these values
are obviously much greater than those. The so-called scratch test is another method
for determining how well the coatings adhere. A diamond stylus with a spherical tip
and a 200 m radius of curvature is pushed against the coating and made to slide as the
applied load is increased until detachment or fragmentation (Fig. 8.17b), as schemat-
ically shown in Fig. 8.17a. The prevalence of coating deterioration is demonstrated
by a rise in the acoustic emission, which is monitored with a microphone throughout
the test. The critical load at which the coating detaches then provides a clue as to
the coating’s adherence to the substrate. The test is qualitative in nature because the
critical load also depends on the substrate’s hardness (see Fig. 8.15), the type and
magnitude of residual stresses, the coefficient of friction between the stylus and the
coating, and the possibility that the coating may be harmed by fragmentation, or
by brittle contact. All of these issues are avoided through fracture mechanic tests.
These experiments involve propagating a fracture at the coating/substrate interface
and measuring the energy expended in the process. These tests clearly show highly
expensive and complex [20].

(a) increasing applied (b)

load

scratch Scratch direction

direction

Critical load

Fig. 8.17 Schematic representation of the scratch test for evaluating coating adherence [27]
256 8 Surface Topography

8.11 Microstructural Modification by Treatments

This sort of treatment modifies a material’s surface microstructure without changing

its chemical makeup. Usually, the goal is accomplished by work hardening the mate-
rial through mechanical processes like rolling or shot peening, or by initiating a
martensitic transformation via surface heating.

8.11.1 Treatments of Mechanical

A hard cylinder that rolls on the surface while applying a load sufficient to cause a
fully plastic contact causes plastic deformation in surface rolling, a procedure that is
uncommonly utilized in tribology. With a typical velocity between 40 and 120 m/s,
a stream of tiny spheres (with a diameter in the range of 0.2–2 mm) formed of steel,
ceramic, or glass is directed toward the surface to be treated in shot peening. Each
ball creates an elastic–plastic or entirely plastic surface contact.
It is possible to achieve the right level of surface hardening by modifying the treat-
ment’s intensity. Shot peening is more commonly employed to treat case-hardened
steel parts than it is to work harden soft metal’s purpose, as will be seen in the para-
graph after this one, is to convert the remaining austenite into martensite. In order to
increase the sliding or contact fatigue resistance of sintered components produced by
powder metallurgy, surface pores on those components can be closed by shot peening
and surface rolling. The treatment must be followed by a re-sintering procedure to
weld the surface of the pores that the plastic deformation had brought into close
proximity. Otherwise, the closed pores can nonetheless behave as cracks and make
it simple for contact fatigue to wear something down.

8.11.2 Heat Treatments of Surface

Hardenable steels with enough carbon (0.3–0.5%) to produce surface hardening by

martensitic transformation typically undergo surface heat treatments. While rela-
tively large parts can be manually treated with flame hardening, smaller parts are
often treated with automated induction hardening. In the process of induction hard-
ening, a copper coil with a water-cooling system’s magnetic field rapidly austenitizes
the surface of a steel item, which is then quenched with water or another liquid. Forced
cooling is not required after heating with a laser or electron beam [29].
The surrounding material acts as a low-temperature thermal reservoir and directly
induces quenching because the heating is actually quite intense and limited to a
narrow surface layer. Surface critical machine parts like gears, shafts, and bear-
ings that could be harmed in use by contact fatigue frequently undergo heat treat-
ments. In actuality, the relatively high case depth and rather high surface hardening
8.11 Microstructural Modification by Treatments 257

(a) (b) (c)

Core
hardness
τ max
Treatment τmax (by eq. 5.11)
thickness (by Hertz)

depth depth depth

Fig. 8.18 Surface hardening: a typical microhardness profile, b endurance limit profile with
overlaid Hertzian max-profile, c compressive residual stress, and rs (schematization) [27]

generate favorable effects on contact fatigue resistance, which may be understood by

taking into account the schematization of Fig. 8.18. A typical microhardness profile
produced by surface hardening is shown in Fig. 8.18a. It is capable of becoming an
endurance limit profile.
In reality, by defining end = cH, where c is a constant and H is the hardness
of the material, the endurance limit, which is typically defined in terms τ max of the
Hertzian pressure, may also be expressed in terms of max. The endurance limit for
heat-treated steels at 108 cycles and ∆ > 3 is provided by pend = 3 H. If there is
a line contact, the end result is H since max = 0.3 pmax , i.e., c1 (pend = 2.25 H
and c = 0.75 for mixed lubrication). If max end τ max < τ end [21] is present at each
depth z, it can be said that a life of 108 cycles is exceeded. However, this is not
a complete picture. The potential existence of compressive residual stresses in the
outer layer also contributes to the high contact fatigue resistance of cast irons and
surface-hardened steels. The surface martensitic transformation, which takes place
with volume expansion in relation to the adjoining phases, is what determines them.
The compressive stress field may be built up by adding another mechanical term
from the heat cycle [22]. For instance, Fig. 8.19 displays the...
A disk composed of AISI 4340 steel that had been heat-treated to attain a quenched
and tempered microstructure with a hardness of 367 HV is then quickly induction
heated and toughened [23]. It is described how the circumferential and longitudinal
stress components, t, and z, have changed over time (the radial component is zero at
the disk’s surface and becomes positive, albeit very weakly, as it moves inward). Both
t and z are compressive in the case region, and at a certain depth, they take on similar
values. Both t and z grow in value and turn tensile at the transitional zone between
the case and the core or between a fully martensitic and tempered microstructure.
For the most part, higher compressive by widening the gap between case and core
hardness, stresses are produced. A number of experimental results have led Lang to
propose the relationships shown below [24]:
258 8 Surface Topography

Fig. 8.19 For an

induction-hardened AISI
4340 steel, the
microhardness profile and
residual stress profile [28]

Since the experimental determination of the residual stress profile is time- and
money-consuming, these approximations are nonetheless helpful for a first assess-
ment. It is possible to understand the positive impacts of residual stresses on the
contact fatigue behavior and the schematization of Fig. 8.18c. It can be assumed,
roughly speaking, that no stress relaxation occurs throughout the fatigue loading.
Since the residual stresses can be relieved by plastic deformations at the contacting
asperities, this assumption loses relevance as the factor is reduced.
The surface-hardened pieces exhibit geometrical deformities as a result of the heat
cycle and phase transitions, necessitating a final grinding operation. This should be
handled carefully to prevent the introduction of surface-level residual tensile stresses.
Now think about the tribo-oxidation and adhesion wear damage. Surface heat-treated
steels’ performance can be compared well to that of through-hardened steels. In
reality, the existence of residual tensions at the surface has no bearing. These elastic
stresses are reduced during sliding by the asperities’ large deformations and the
ensuing local heating. The abrasive wear follows the same logic. Surface hardening
is plainly insufficient to address the issue of the abrasion of steels by hard particles
such as silica impurities, given the maximum hardness that can be produced at the
surface. But it might be a really wise decision if the abrasion is caused by modest
stress.
Problems
1. Find out the size and shape of a typical connector used on a smartphone or other
consumer electronics device (such as to connect to a charging source or data
cable) via the Internet or other resources. Concerning tribological difficulties
that might be significant in the creation and use of a plug, submit a device report
to the manufacturer. Your response should take into account the following:
a. The surface topography in which plug and socket slip.
b. Potential techniques for figuring out how much sliding parts have worn.
References 259

2. Coins are made from a variety of metal alloys. Some coins have a metal core
that is covered with another metal. Low cost and ease of fabrication are funda-
mental needs. Low toxicity, good corrosion resistance, and the manufacture of
the coin’s “blank” (including both stamping the coin’s detailed surface properties
and the “blank”) are all factors. It is also crucial that coins maintain their surface
detail over a long period of time when they are in circulation since this indicates
durability. Describe the following:
a. How would you rank the used coins’ surface roughness and wear mecha-
nisms?
b. How would you go about estimating the rate of wear of a new alloy that has
been suggested for use in coins?
3. Describe the measurement of surface roughness available for the following
tribological applications:
a. Some automotive engine camshafts use DLC coatings rather than electro-
plated chromium.
b. Hard facing is utilized to coat the teeth of excavator buckets rather than
ceramic flame-sprayed coatings.
4. Describe Surface Contact Instead of using molybdenum disulfide sputtering,
titanium nitride is used in steel injection molding dies to create pieces made of
polypropylene with glass filling.
5. Will one anticipate that there will be more real points of touch between two
moving objects than between two stationary ones? How may the quantity of
contact sites be impacted by wear and particle transfer?

References

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lubrication. Tribol Int 35(2):123–128
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10. Hamilton GM (1983) Explicit equations for the stresses beneath a sliding spherical contact.
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steel. ASM International, Materials Park
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Chapter 9
Surface Engineering for Tribology

9.1 Introduction

Surface engineering entails altering a component’s surface qualities independently

of the underlying substrate material attributes. Improvements in appearance, tactile
qualities, optical properties, wettability, corrosion resistance, or (the emphasis of
this chapter) tribological properties are all possible. Surface technology in tribolog-
ical applications serves two purposes: increasing a component’s wear or damage
resistance and changing its frictional properties. In some circumstances, both are
accomplished simultaneously as shown in Fig. 9.1, the methods for finishing a part’s
surface can be separated into three major divisions. The first category includes proce-
dures that alter the current surface in some way without affecting its composition,
such as transformation hardening and surface hardening melting [1]. The second set
of processes includes those that alter the existing surface in some way, with a change
in the composition of the surface layer being a critical component of the process.
The processes in this group may alter the existing crystal structure by forming a solid
solution or destroying the lattice, or they may modify the nature of the transformation
(for example, carburization of steels, leading to a change in maximum hardness and
hardenability). However, as a result of the reaction between the elements from the
substrate and the elements injected in the process, they can also directly lead to the
production of new phases that are distinct from the phases of the substrate. In some
circumstances, the designed new phases can form a surface layer as precipitates in
the matrix (for example, aluminum or vanadium nitrides generated by nitriding a
suitable steel), or they can create a distinct layer. This reaction layer may have all of
the qualities associated with a coating (another phase with a clear boundary between
the layer and the substrate), but it differs from coating procedures in that no new
surface phase is added to the layer, but is produced from it. The boundary between
the substrate and the reaction layer is typically fuzzier than the boundary between the
actual coating and the substrate; therefore, the adhesive strength is typically greater.
Anodizing is one example of such a technique boriding and forming an alumina layer

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2024 261
R. A. Al-Samarai and Y. Al-Douri, Friction and Wear in Metals, Materials Horizons:
From Nature to Nanomaterials, https://doi.org/10.1007/978-981-97-1168-0_9
262 9 Surface Engineering for Tribology

m 1) 100

C/W = 100
10
1
Corrosion wastage C (10−13 m3 N

1 C/W = 1

0.1
C/W = 0.01

0.01

0.001
0.001 0.01 0.1 1 10 100
Mechanical wastage W (10 −13 m3 N1 m1)

Fig. 9.1 Stainless and duplex stainless steels, sintered cemented carbides, and thermally sprayed
coatings are just a few examples of materials that might experience abrasion [3]

on an aluminum alloy (in which layers of borides can be formed on alloys based on
iron, titanium, or cobalt). The third group consists of surface application procedures,
often known as coating processes [2]. In this case, a surface engineering layer is
added to the surface (rather than modifying the original material), and so the range
of conceivable procedures and materials is vast. This category includes procedures
like painting, hard facing, electroplating, and chemical vapor deposition.
In this chapter, we will examine all of the primary types of surface treatment
techniques. Stainless and duplex stainless steels, sintered cemented carbides, and
thermally sprayed coatings are only a few examples of materials that may experience
abrasion in Fig. 9.1.

9.2 Surface-Engineered Layer Delamination

Before describing surface treatment procedures, it is critical to understand how a

surface treated by a component differs from a homogeneous component in the context
of tribological contact, as this will help us comprehend the key differences between
the processes [4]. A homogeneous material is distinguished by a set of qualities
that govern its tribological performance (in terms of friction and wear). Component
responsiveness can be improved by engineering the surface layer, which has a mix of
qualities that produce a more favorable tribological response. However, the system is
defined not only by the surface engineering layer’s and substrate’s qualities but also
9.2 Surface-Engineered Layer Delamination 263

Fig. 9.2 Nature of interfaces in surface-engineered components [3]

by the interface’s properties, which can be categorized as acute or diffuse (Fig. 9.2).
When a surface-engineered component is subjected to a tribological “problem,” such
as rolling contact in a bearing, sliding between gear teeth, or abrasion by a rough,
hard counter body, the response is related not only to the behavior of the surface
material but also to the material beneath the surface. If the conditions are severe
enough, the surface engineering layer may fail [5].
Compared to gradual wear, delamination (i.e., separation at the interface) occurs
more frequently, as shown in Fig. 9.3. The strength of the bond between the substrate
and the coating, the intensity of the tribological conditions, the thickness of the
coating layer (which together regulate the stresses at the interface), and any other
driving forces will determine whether delamination happens at the interface, in order
to prevent the coating from peeling [5]. When the interface is diffuse, the chance
of separation between the surface layer and the underlying material is reduced. It
is difficult to explain or measure the strength of an interface in systems with clear
interfaces. In tension and shear, an interface often shows quite distinct properties. The
power of an interface is frequently defined using either uniaxial strength I or surface
energy (Gi). Most surface treatment processes make significant efforts to increase
interfacial strength, for example, by cleaning and etching the surface before coating
(used in electroplating and vapor deposition processes), sandblasting (usually used
before thermal spraying), or applying a bonding layer an intermediate layer between
the coating and the substrate that provides a strong bond to each material (even if
the coating and substrates have low interfacial strength). Residual tensions (induced
by deposition stresses and thermal stresses related to cooling from the processing
temperature) accumulate in the system during coating. Stress gradients are common
in coatings, but only if the coating is thin in comparison to the substrate. The strain
energy density (energy per unit volume) in the coating is determined by the size of
the component, (ii) the stress in the coating is uniform throughout its thickness, and
(iii) the coating is in a biaxial stress condition. Designers are frequently concerned
264 9 Surface Engineering for Tribology

Fig. 9.3 Surface layer pattern showing a gradual wear and b delamination [3]

about coating delamination since forecasting a component’s life based on its wear
rate (or other progressive wear mechanism) will be too optimistic if the failure is
caused by delamination. Because of the risk of early and unanticipated catastrophic
failure, several sectors are not utilizing surface treatment to increase component
performance. Quantifying these hazards and allowing designers to confidently define
coatings remains a challenge in some applications, although surface engineering is
commonly employed in others [4].

9.3 Surface Modification of Component Without Changing

Content

9.3.1 Transformation Hardening

Applying transformation quenching is the easiest way of creating a zone of hard

material on the surface of a softer carbon steel part, in which the surface material is
swiftly and selectively transformed to austenite by heating, which is subsequently
quenched to create martensite and then tempered. As illustrated in Fig. 9.4, in general,
this approach is confined to materials that demonstrate a proper phase transforma-
tion, and only ferroalloys are commonly utilized. As we will see below, the maximum
hardness that can be achieved by this method is not great, but because it is fast and
relatively simple to implement, transformation hardening is widely used for steel
components such as gear teeth, camshafts, crankshafts, cutting blades, and various
details support surfaces [6]. There is no additional material deposited; hence, there
is no interfacial failure. Steels are commonly bulk hardened, which usually entails
austenitizing in a furnace before martensitic hardening. Heat is normally transferred
9.3 Surface Modification of Component Without Changing Content 265

Fig. 9.4 Surface of steel is

rapidly heated to generate
austenite, which is later
quenched to form martensite
during transformation
hardening [8]

into the body from the surface (or from an area extremely close to the surface in
the case of induction hardening); only when heated by electrical resistance, heat is
distributed into the body from the surface heat is distributed rather evenly throughout
the body. The primary distinction with case hardening is that heat is rapidly trans-
mitted to the surface, limiting heat diffusion from the surface into the bulk. This
creates a sharp temperature gradient where the surface portion austenizes, while the
majority of the material remains ferritic (and therefore cannot transform into marten-
site). Because of the localization of heat near the surface, caution must be exercised
to avoid melting. When the heat source is removed after surface austenitization, heat
is removed either by an external colder medium or by transfer to colder bulk material,
resulting in the production of martensite [7].
As a result, the surface depth the rate of heat supply to the surface layer, the time
it takes for this to happen, and the subsequent rate of heat transfer from the surface
and by thermal conduction into the cooler underlying material all influence trans-
formation hardening. A short period of high-energy consumption will encourage the
creation of a thin martensite layer. The power density is determined by the heat source
utilized in transformation hardening. Traditional methods include flame hardening
with oxy-acetylene or oxy-propane, induction hardening with high-frequency elec-
trical induction heating, and lasers or electron beams (laser hardening or electron
beam hardening, respectively).
External hardening is used in both flame and induction hardening to cool the
workpiece following surface austenitization, typically with a water jet or water bath.
Both methods, on average, provide the hardening depth should be between 0.25 and
6 mm [4].
Figure 9.5 depicts the approximate range of process depths and temperatures
employed in steel hardening by flame and induction. A laser is used as a heat source
in laser hardening. Various lasers (CO2 , Nd-YAG, diode, etc.) can be employed, with
the wavelength and beam shape being important considerations (with the wavelength
significantly affecting laser absorption by metal surfaces). A high-power (0.5–15 kW)
laser beam is typically used in a typical arrangement [5] focused on the steel surface.
The laser is concentrated into a 1–2 mm diameter point. The spot can be made to
266 9 Surface Engineering for Tribology

traverse the surface in any desired pattern by moving the source or workpiece. Large
portions are often treated by scanning a beam in a raster pattern, but small areas of
a larger component can also be processed simply. When a laser beam passes over a
location on the surface, it quickly heats up (at up to 106 K s1 ) and then cools down due
to heat conduction into the surrounding and underlying material. Because the rate of
conductive cooling is so fast (usually greater than 104 K s1 ), no external hardening
is required. Figure 9.6 depicts the range of specific power and heating time required
for transition hardening. The surface will melt if the specific power is increased (for
example, due to sharper beam focusing) or the heating time is increased; the processes
in which this is used are briefly discussed. The high-power density and short heating
time used in laser transformation hardening result in high temperatures and shallow
hardening depths. The absence of bulk heating and the related deformation of the
part is a considerable benefit over flame and induction hardening [9]. In a particular
energy density transition, it was also demonstrated that, in pure conduction mode
welding, the depth of penetration was influenced by the circular beam diameter and
the power density as well as the interaction time; however, the significance of the
beam diameter increased as the transition mode progressed. Additionally, the authors
discovered that, within the particular range of process parameters examined, the bead
geometry in the conduction mode was nearly independent of the beam diameter. This
meant that different factors might be utilized to control the bead geometry during
different welding modes depending on which ones were more relevant.

Fig. 9.5 Comparison of the process temperature and depth of hardened material produced by
several methods of steel surface modification [6]
9.3 Surface Modification of Component Without Changing Content 267

Fig. 9.6 Range of laser

processes is proportional to
power density and
interaction time. The
diagonal lines are constant
temperature lines for the
boiling and melting
temperatures of iron [6].
Impact of the energy density
on the welding mode at
various circular beam
diameters (i.e., laser beam
power density times
interaction time)

Higher temperatures in laser hardening result in faster carbide dissolution than

in flame or induction hardening [5]. Electron-beam hardening is similar to laser
hardening in many aspects. Energy is an electron beam focused to a diameter of
roughly 3 mm provides the entrance, resulting in a power density comparable to
that employed in the laser process (10–100 MW m2 —see Fig. 9.6). Electromagnetic
deflection moves the beam over the surface, and the workpiece can be moved to
process the desired area. The electron-beam technique varies from laser hardening
in that it must be performed under moderate vacuum conditions (at a pressure of 1–10
Pa). A hardening depth of up to 2 mm can be attained (see Fig. 9.5).
Figure 9.7 depicts how the carbon concentration affects the hardness of untem-
pered martensite produced in basic carbon steels. Alloy additions to low alloy steels
may result in a further moderate rise in hardness, often up to 100 HV. In theory,
high-carbon steel is preferred for maximum hardness following plastic hardening,
but in practice, other considerations limit the composition. When the carbon level
exceeds 0.5 wt.%, the hardened layer has low impact strength and is more susceptible
to quench cracking. Low carbon concentration (0.3 wt.%), on the other hand, neces-
sitates extremely fast cooling rates (> 400 K s1 ) to generate martensite, which flame
and induction hardening cannot achieve. For these reasons, these two techniques are
typically used exclusively in conjunction with steels with a narrow range of carbon
content: typically, 0.4–0.5 wt. Alloy steels, plain carbon steels, and cast irons with
appropriate matrix compositions can all be employed [2].
Because of the rapid cooling generated by self-hardening in laser and electron
beam hardening, low carbon steels can be successfully hardened; however, the hard-
ness of the resulting martensite will be low. Another characteristic of fast cooling rates
is the preservation of some austenite in the hardened layer, which is more common in
higher carbon steels, residual austenite can lead to an increase in abrasion resistance.
All transformation hardening procedures have low processing durations and are more
or less suited for local processing of small areas. They are all constrained by the mate-
rials that can be toughened and the maximum hardness that can be achieved. While
flame and induction hardening are well suited for hardening vast regions, laser hard-
ening has gained popularity due to its capacity to harden mild steels without distortion
268 9 Surface Engineering for Tribology

Fig. 9.7 Untempered

martensite hardness as a
function of carbon
percentage in plain carbon
steels [6]

and to be selectively placed on specified surface areas. Wherever it is required, use

this component [10].

9.3.2 Surface Melting

Another method for modifying surface properties without changing the composition
is liquid-solid phase change, which involves locally melting and resolidifying the
material. When solidification happens quickly, it causes homogenization and refining
of the microstructure. In suitable materials, it can also cause supersaturation, the
creation of non-equilibrium phases, and even the formation of glass. As previously
stated, transformation hardening necessitates a high specific power in order to provide
local surface melting and a rapid cooling rate. This is normally accomplished by
the use of a laser or an electron beam, but non-consumable electrode arc welding
techniques (such as the tungsten inert gas process—TIG) can also be utilized [10].
There is no risk of interfacial failure since no new material is deposited. Surface
melting by laser and electron beam requires a transformation hardening and has a
higher power density than transformation hardening (see Fig. 9.6). The temperature
profile can be modified by modifying the power and process time, which influences
the rate of cooling after a power interruption. Although simple melting has little effect
on composition, the microstructural refinement generated by quick solidification
usually results in a significant increase in the hardness of the treated surface when
compared to the hardness in bulk. Unlike transformation hardening, this process
can be used on ferrous and non-ferrous alloys, as well as potentially non-metals. In
tribological applications, the effect of microstructure enhancement can go beyond
simply increasing hardness [11].
9.3 Surface Modification of Component Without Changing Content 269

Fig. 9.8 Backscattering scanning electron micrographs of the HVOF-sprayed Stellite 6 coating;
a as a spray; b after laser remelting [7]

Remelting thermally sprayed coatings, for example, can be employed to erase the
droplet-like microstructural properties of such coatings. Figure 9.8 depicts micro-
graphs of the thermally sprayed coating of Stellite 6 both before and after laser
remelting; in this example, laser remelting resulted in a drop in hardness, but an
almost twofold gain in wear resistance when sliding on martensitic stainless steel.
Mild steels are unsuitable for melting surface treatment because soft-ferrite forms
and is retained in the hardened surface layer. However, with a carbon concentration
of 0.4–0.9 wt.%, the treated zone consists of martensite and residual austenite, which
can be reinforced by additional heat treatment, and this technique offers substantial
advantages [6]. Surface melting works well with cast irons, resulting in a fine-grained
structure similar to that generated by conventional die casting. The TIG melting
method, which combines an extremely hard surface with a strong core material,
is commonly employed on the worn surfaces of crankshafts, camshafts, and cam
followers [11].

9.3.3 Surface Texturing

Surface texturing is the process of generating a topographical pattern on a surface,

commonly in the form of grooves or pits, at a scale much smaller than that of a
tribological contact. Such characteristics can influence contact in a variety of ways,
such as altering lubricant flow and lubricating layer thickness in lubricated contacts,
or altering how debris is kept in or removed from a sliding contact. There is a lot of
interest in using textured materials. Surfaces in lubricated bearings with golf ball-like
dimpled texturing are showing significant potential [2]. However, a comprehensive
understanding of how texturing impacts tribological interactions is still lacking, and
there have been instances of texturing being ineffectual or even harmful in some
test programs. It is obvious that texturing effects must be considered in addition
270 9 Surface Engineering for Tribology

to the more general tribological features of touch. The patterned surfaces depicted
in Fig. 9.9, for example, are then coated with low-friction DLC and slid over a
steel ball. Surface texturing interrupted the formation of a transfer film on the steel
counter body under non-lubricated conditions, resulting in more friction than when
the balls are sliding on an identical non-textured surface. However, in the same
system’s boundary slip, some textures (but not all) resulted in lower coefficients of
friction than an identical untextured surface. Surface texturing in this manner can
be accomplished using a variety of techniques, including mechanical indentation,
lithography, electrical discharge machining (EDM), and laser machining engraving.
The important variables are the size and shape of the topographical features, the
proportion of their area, and any orientation of the pattern in relation to the shape
and relative movement of the contact [7].

Fig. 9.9 9.3.3.1 grooves and

b square pits with 25%
surface coverage [9]
9.4 Surface Modification of Components Including Composition Changes 271

9.4 Surface Modification of Components Including

Composition Changes

Surface. The composition of the starting material limits the spectrum of surface
microstructures that can be created by transformation hardening and surface reflow
(without alloying or introducing second phases), therefore the qualities that can be
acquired are constrained. As a result, they are restricted. Methods that alter the surface
composition locally, on the other hand, can produce microstructures and associated
mechanical properties that are completely different from those of the substrate. There
are two types of solid-state processes in which atom transfer by diffusion results in
surface change, the majority of which are thermochemical processes. In the first class,
the diffusion of tiny atoms onto the surface results in the creation of an interstitial
solid solution in the substrate material, and sometimes to the formation of a solid
solution. The production of compounds as exceedingly fine precipitates. Carburiza-
tion and carbonitration are two examples. A chemical interaction happens between
the diffusing atoms and the elements of the substrate in the second type of process,
resulting in the development of a separate layer of a new compound on the surface.
Nitriding, carburizing, boriding, and chromium plating are examples of this sort of
procedure [2].
The diffusion distance (x) (and hence the depth of alteration) depends on the
particle diffusion coefficient (D) and treatment time for all processes that rely on
thermally enhanced particle diffusion (t). Although the ultimate outcome of these
processes is similar to that of the coating methods covered later in this chapter, a clear
distinction can be established in that the surface layer, while different in composition
from the substrate, is created by a chemical reaction with the substrate material. As
a result, the boundary between the surface layer and the bulk material is frequently
more diffuse and stronger than in the case of an exterior covering [7].

9.4.1 Surface Modification via Diffusion Treatment of Solid

Solution and Sedimentation

This sort of process relies on particle diffusion into the component (typically at
high temperatures), resulting in the production of a surface-engineered layer with a
diffuse interface with the bulk of the component. As a result, there are no concerns
about the interface’s strength. The most common thermochemical method for surface
hardening of steels is carburization, which is seen schematically in Fig. 9.10. Carbur-
ization is the process by which atomic carbon diffuses into steel from the surface,
forming a surface region or carbon concentration event that is generally a few millime-
ters thick. This method is used on plain carbon or low alloy steels with a low starting
carbon content of 0.15–0.2% wt. C can give a solid core even when tempered. Carbur-
ization is often performed in the austenite phase zone at temperatures of 900 °C or
higher; at these temperatures, carbon diffuses rapidly in the austenite. Carburization
272 9 Surface Engineering for Tribology

can increase the carbon concentration in the surface layer to 0.7–0.9 wt.%, resulting
in a maximum hardness of around 900 HV. The item is quenched immediately after
the carburizing process in some procedures, while in others it is progressively cooled
and then machined to final soft dimensions before final heat treatment to generate a
hardened shell of weakly tempered martensite [10]. The martensitic transformation,
which provides the hardening process in all carburization procedures, also produces
deformation of the part due to a concurrent change in the volume of the lattice. While
with hard effort, this distortion can be lessened, it cannot be fully removed. As a result,
dimensional tolerances after carburization are smaller than following surface treat-
ment procedures performed in the ferritic phase region. This method is commonly
utilized for spinning shafts and bearings, cam followers, gears, and camshafts [7]. In
addition to high surface hardness and, hence, wear resistance, which is of tribological
importance, martensitic transformation causes a large residual compressive stress on
the surface, extends fatigue life the depth of hardening and hardness achieved are
determined by the time, temperature, and carbon activity on the surface during carbur-
ization, which are determined by the procedure utilized. A popular approach is gas
carburization. Traditionally, the components are heated to 900 °C in an environment
of carbon monoxide, hydrogen, and nitrogen; newer versions use a methanol-nitrogen
mixture. Batch carburizing, which is occasionally employed to manufacture excep-
tionally thick cases, involves heating the components in sealed boxes with a granular
medium containing charcoal, as well as an “activator” (usually barium carbonate).
Carburization occurs in the same way that it does in the traditional gas process, with
the action of carbon monoxide generated inside the box from carbon and residual
oxygen. Because carbon diffusion in iron is thermally activated, it accelerates at
higher temperatures. Despite furnace design and heating time constraints, the gas
carburizing temperature can be increased to 1000 °C with a significant reduction in
process time [9].
High temperatures, around 1050 °C, are required for vacuum and plasma carbur-
izing. Components are heated under mild vacuum before being fed low-pressure
methane or propane into the furnace. Carbon is obtained through the reaction of the
gas on the surface of the hot steel. After saturating the surface with carbon, it is

Fig. 9.10 Carburization is

the process by which carbon
diffuses onto the surface of
an austenitic steel.
Hardening causes the
production of martensite
near the surface with a
higher carbon content than in
the bulk; depending on the
local hardenability and
cooling rate, the underlying
material may transform into
martensite or ferrite [6]
9.4 Surface Modification of Components Including Composition Changes 273

allowed to diffuse inwards for an extra amount of time in a vacuum at high temper-
atures. A glow discharge in methane at low pressure is used in plasma carburization
to deposit carbon on the surface of a hot substrate under a negative potential. A brief
carburization time is followed by a prolonged diffusion period, as in the vacuum
process. Both vacuum and plasma carburizing are energy-efficient procedures [10].
The process’s high temperature provides far deeper carburization than low-
temperature procedures of the same time. The hardness profiles in mild steel carbur-
ized at about the same time by the gas method, the vacuum method at two different
gas pressures, and the plasma method are shown in Fig. 9.11. The low-temperature
gas process will require significantly more carburizing time to reach the same hard-
ening depth as the other procedures. Carbonization is a carburization-like process that
involves the simultaneous diffusion of carbon and nitrogen into mild steel austenite
(0.25 wt.% C). To generate a sleeve with a thickness of 0.05–0.75 mm, the procedure
is typically carried out at a temperature of 800–900 °C. The conclusion At a carbon
concentration similar to that attained during carburization, the nitrogen concentration
in the solid layer is 0.5–0.8 wt.%. Because nitrogen increases the hardenability of the
surface layer, oil quenching can be employed instead of water quenching, lowering
the risk of quenching cracking. Nitrogen also improves the temperability of the resul-
tant martensite. Nitrocarbon steels, in general, are more resistant to sliding wear than
carburized steels of the same hardness. Carbonitration is generally accomplished by
two methods: gas phase and molten salt treatment. Gas carbonization is similar to
gas carburization and is accomplished by simply adding ammonia to the carburized
gas mixture. Salt bath carbonization, also known incorrectly as liquid carburization,
at 880 °C, components are immersed in a molten salt bath containing sodium cyanide
(usually 45% NaCl, 40% Na2 CO3 , 15% NaCl) [7]. Parts can be hardened directly
from the salt bath after a one-hour processing time [9].
The final mechanism to address in this group is ion implantation, in which the
diffusion of atoms into the surface is driven by the kinetic energy of the ions reaching
the surface rather than thermal energy. When high-energy ions collide with the
surface, they can travel a macroscopic distance and alter the properties of the material
to that depth. N+ , N2+ , C+ , and B+ ions, as well as metal ions such as Ti+ , Al+ , and
Y+ , are often employed for implantation in surface engineering. Their energies are
typically in the 50–200 keV range, resulting in penetration depths of less than 1 m.
The peak concentration is greater than 10% with a total dosage of 1017 ions cm2 .
This level of dosage is the doses required to adjust the electrical properties of
semiconductors are several orders of magnitude higher than the doses used to modify
the tribological properties. Because of the short depth of the material impacted by
ion implantation, the size and surface finish of the substrate are very small. Ceramics
and ceramics, as well as metals, can be used. The introduction of implanted particles
that can create a solid solution or compound, as well as radiation damage—the
introduction of lattice defects due to the displacement of the atomic matrix as a result
of ion-induced collisions—affects the structure of the surface material in two ways.
Ion implantation significantly reduces the frictional wear rate in various materials,
for which several causes have been offered [7]. The implantation of particular ions
into certain metals reduces friction, which is directly related to a drop-in wear rate
274 9 Surface Engineering for Tribology

Fig. 9.11 Hardness

variation with depth in a
simple 0.18 wt.% carbon
steel carburized using
various ways [10]

due to a decrease in the tangential forces transferred by sliding. For example, Ti+ ion
implantation decreases friction coefficient during dry conditions. The sliding of solid
bearing steel on itself decreased from 0.6 to 0.3, most likely due to a change in surface
composition, oxidizing properties, and the type of the resultant oxide. As a result,
the wear rate is reduced. Despite the absence of friction reduction, implantation of
N+ ions reduces wear rate relative to ductile steels (but not hard martensitic steels).
In this situation, changes in surface mechanical properties, particularly hardness and
hardening rate, are expected to be the primary source of enhanced wear resistance.
Microhardness testing at extremely low stresses revealed a 50–100% improvement
in the surface hardness of steels with implanted N+ . Steels with nitride formers (such
as aluminum, chromium, or vanadium) perform better than others. The formation of
compressive residual stress in surface regions is another ion implantation impact that
may contribute to tribological benefits. Ion implantation has been found to reduce
friction, wear, and sticking in polymer injection molding equipment such as metal
extruder screws, barrels, gates, and molds [10].

9.5 Materials Selected for Wear Resistance

When developing wear resistance, it is essential to ensure that wear will be caused
by the same mix of mechanisms over a substantial portion of the product’s lifespan
because only in this situation can the lifespan be predictably determined. The
following factors are crucial to take into account when selecting useful materials, and
9.5 Materials Selected for Wear Resistance 275

they could even take precedence over selecting the material with the highest wear
resistance [2]. Check to see if the material can be used in a certain way: For example,
gray cast iron, a material that is compatible with the human body, a material that
doesn’t contain cobalt, such as in a nuclear reactor, or a material with a high melting
point are all required in some industries for household and other uses. A straightfor-
ward stress analysis is typically needed to determine whether the sliding surface can
withstand the anticipated static load without indentation or severe deformation. To
what sliding stiffness the materials must be able to endure when in use [11].
. Contact pressure or stress, temperature from ambient heating and friction temper-
ature rise, sliding speed, misalignment, duty cycle, and kind of maintenance are
all factors that affect sliding stiffness. You’ll get the thing you designed. Below
are explanations of each factor. Contact voltage is one. There are several different
industry standards for acceptable contact pressure. The average contact pressures.
. Bronzes are typically limited by some requirements in the gear and plain bearing
industry to 1.7 MPa, or 1–4% of the yield strength of bronze. Similarly, with tool
steel pump components and valves, contact pressures are restricted to around 140
MPa or 4–6% of the yield strength of tool steel in its hardest state.
. Plain bearings in one commercial DC9 aircraft’s landing gear are one example
of high contact pressure. These substances, which are once more bronzes, have
yield strengths as high as 760 MPa. Although a peak stress of up to 620 MPa
is anticipated, the design collapse stress is 415 MPa. Another illustration is the
use of tool steel in the drawing of lubricated sheet metal. With a contact pressure
of approximately 860 MPa, which is half the yield strength of die steel, dies can
produce 500,000 components.
. The weather. Some sliding systems’ service life is significantly impacted by
temperature. Although the temperature range within which the wear behavior
is satisfactory is not always specified in handbooks, they frequently indicate the
material for wear conditions. The mechanical characteristics of sliding parts may
be impacted by temperature. Most materials become softer at higher tempera-
tures, but certain materials become brittle at lower temperatures. The majority of
lubricants break down at high temperatures, and they solidify at low temperatures.
. Although measuring the ambient temperature is frequently simple, temperature
rise caused by slip can have a greater impact. In some circumstances, a material’s
thermal conductivity might affect temperature rise control, but the coefficient of
friction is the more crucial element. In the event that the temperature-sensitive
wear mechanism is one specific instance, high friction may even be the root of a
high-wear rate. When contrasting sufficiently lubricated sliding with dry sliding,
there is at least a quantitative link between wear rate and, but there is no formal
way to relate to T.
. PV limitations and sliding speed: Materials’ maximum permitted loads and slide
rates are frequently indicated as PV limits in catalogs. The PV limit just states that
if it is surpassed, a very severe kind of wear may happen without stating anything
about the actual rate of material wear [10].
276 9 Surface Engineering for Tribology

It is advisable to select a material that can allow or accommodate, that is, run
incorrectly, where some misalignment may occur. There is misalignment, due to
system deviation brought on by manufacturing flaws that create a load on one edge
of the bearing, or it could happen as a result of system thermal deformation, etc. As
a result, the system’s designer should think about constructing it so that the load acts
on one edge of the bearing, predicted bearing position in all circumstances. This may
involve the layout of several bearings throughout the length of the shaft or flexible
bearing support, the distribution of the applied load, etc. The process of building the
device must be taken into account by the designer [11]. An inappropriate or faulty
assembly can cause misalignment or distortion in a group of perfectly produced
parts. Simply using a hammer to tap a ball bearing to seat a ring might cause more
damage than the machine can take and frequently leads to early failure. Wear could
lead to misalignment. The fastest wear will happen when the dirt enters the bearing
if abrasive particles can get inside. The bearing will deteriorate here and shift the
load to other locations. Such occurrences should be taken into account in successful
design [11].
The work cycles the amount of impact loading on sliding systems, start-stop
operations, and other aspects play significant roles in the selection of materials for
wear resistance operations that oscillate, etc. It is frequently helpful to know what
components, such as chemical or abrasive particles, are present around the sliding
mechanism. Maintenance is the primary component that determines the severity of
a slip. The way bearings are handled during maintenance varies between uses in
industry and aircraft. Industrial objectives are to open a plant and essentially ignore
it, or do planned maintenance infrequently. On the other side, aircraft maintenance is
more stringent, and the flight crew and ground staff constantly monitor every oper-
ational component [12]. As a result, choosing a lubricant in industry is riskier than,
say, picking one for an aircraft. In addition, a wheel bearing used in an aircraft is
more typical or restricted. Particular environment industrial machinery must func-
tion in the hottest, dirtiest, and least maintained environments. The implementation
of superior maintenance procedures and the early identification of issues are being
accelerated by recent and ongoing improvements in condition-monitoring technolo-
gies. The type of state monitoring that will be employed must be decided by the
developers. Determine whether a break-in procedure is necessary or not: You cannot
presume that sliding surfaces, even those made with precise measurements and a
defined surface finish, are ready for use when slider changes appear. While rapid
operation at moderate loads can result in premature failure, sliding under controlled
low loads can often condition the surface for lengthy service life at high loads. It
is important to recognize the differences between these two methods of altering the
surface. Initially, the system starts up right away or reaches the design load. As the
sliding surfaces vary over time, the failure rate of many such components lowers, and
frequently at the same time, the system’s capacity to endure overload or insufficient
lubrication increases [10]. During the run, the surfaces strangely altered. Addition-
ally, systems can be operated deliberately and strategically to get them ready for
routine use. In Chap. 8, this final procedure is referred to as “hacking.” The ultimate
alteration to the machine’s surface might be viewed as the wear that takes place during
9.5 Materials Selected for Wear Resistance 277

break-in. This raises the prospect that burn-in or burn-in might not be necessary if the
manufacturing process are more well specified. For the first few thousand miles of
an engine’s life, just 60 years ago, it is required to carefully start and run the engine.
It seems improbable that the engine would have survived the brief journey from the
assembly factory to the trash trucks if a break-in is required today. Whether some of
the conservative industrial design principles currently in use are a result of the impos-
sibility of operating particular items is a difficult question to answer. For instance,
it is believed that a vehicle’s transmission will Production vehicles won’t need to be
started to function. Its performance may considerably improve if it are compromised,
but each projected level of device complexity requires a different hacking technique
[2]. As a result, a machine that operated at one severity level might not have been
any more ready for a different severity condition than it would have been if it had
never started. Therefore, operating the device below the level of severity that would
necessitate tampering which is actually equivalent to over-engineering is the safe
procedure. Establish the permitted modes of failure owing to wear, surface damage,
or debris form: Defining wear life in terms of material loss rate is insufficient. For
instance, when an automotive engine seizes, there is merely such a reorganization
and little to no tangible damage that it has been seriously damaged in function. Resur-
facing or altering the surface finish may be less acceptable in some machines than
abrasion or material loss from the system. In metalworking dies, material loss from
the system is less disastrous than product scratches [11].
Finally, wear particles can be more harmful in some systems than dimensional
loss caused by sliding parts, particularly in human artificial joints and computer hard
drives. Even though it damages the brake drums, some brake lining abrasion is good
in truck brakes because it removes microcracks and avoids total thermal fatigue
cracking. Resurfacing is less important in amalgam dental fillings, ore-crushing
machinery, and cutting instruments, although material loss should still be prevented
in these applications. Final illustration plain bearings in motors are one example of
wear tolerance design. Typically, they ought to be built to withstand surface wear
[12]. Corrosive environments, however, can considerably speed up fatigue failure in
specific applications. In the case of double-layer bearing materials in particular, this
may necessitate the selection of a material that is less resistant to dry fatigue than
the optimal bearing material. In each of these cases, the research of acceptable wear
patterns can influence material choices that are different from those made if the only
objective is to reduce wear. Choose whether to begin a wear test. Several conclusions
can be drawn after examining the worn portions of a machine or equipment that are
closest to a new or improved product.
. When the design is altered in terms of function, price, and all other characteristics,
the wearing components of the example device will still function properly with
the same design and materials.
. For this design, minor resizing, lubricating, or chilling of sample parts will be
adequate.
. Sample pieces will need to be significantly resized, lubricated, or cooled in order
to redesign.
278 9 Surface Engineering for Tribology

. New materials will be needed for redesign.

After coming to one of the aforementioned conclusions, different measures will
need to be taken. The release of numerous iterations of the redesign can logically
come after the first output mentioned above. To ensure adequate product life, these
should be tested and made with minor adjustments. Careful actions should come
after the second conclusion, and the third conclusion should include creation and
thorough testing of the prototype for the redesign. The fourth conclusion might need
to be tested using bench devices and prototypes [11].

9.6 Formulas for Different Friction Materials

9.6.1 Automotive Applications

According to their economic viability, automotive brakes, particularly disk brakes,

are known by a variety of names, including “ceramic materials,” non-asbestos organic
(NAO), semi-metallic, low metal, hybrid, and so forth. The absence of asbestos in
the formulations of LLW materials, for instance, is one of the listed qualities that
is sometimes particularly significant. However, most of the time there is no logical
distinction between the various sorts of formulas, other than these various labels. A
series of evolutionary stages resulted from the eventual removal of asbestos. Finding
a fiber that could effectively replace asbestos was the first difficulty that material
engineers had to deal with. When it comes to friction materials, asbestos’ fibrous
nature, low density, thermal insulation, minimal wear, and consistent coefficient
of friction have made it so useful and popular friction [12]. At first, it appeared
difficult to find a replacement for such a versatile material because organic fibers
degrade and do not add to stability, despite the fact that they are generally good
insulators and, in some cases, have good mechanical strength, such as in the case
of aramid fibers, friction. Additionally, the structure of the material is weakened by
the breakdown of these fibers, increasing wear. On the other hand, metal fibers like
steel fiber, although enhancing mechanical strength, also have a high density and
are excellent heat conductors. They also increase the coefficient of friction. All of
these factors made it easier to create sophisticated replacements for asbestos using
a variety of raw materials [13]. Steel fibers and copper fibers (in powder and fiber
form) are both two key components of friction materials. Although copper’s high
thermal conductivity is frequently used to describe its function, its contribution to the
conductivity close to the surface is yet unknown. But it’s a well-known phenomenon
when copper transfers to a composite disk tribofilm. The Brake Shoe Association
[12] in the USA has come to the conclusion that passing laws that gradually reduce
the quantity of copper used in brakes to minimal proportions would be the best
course of action. The resulting bill, SB 346, which is passed into law in September
2010, limits the weight of copper used in brakes sold in California to 5% by 2021
and to 0.5% by 2032. These criteria are considered in the design of brakes mind.
9.6 Formulas for Different Friction Materials 279

Additionally, requirements must adhere to all applicable performance and safety

standards. California’s model will be followed by other states. In other US states,
new copper limits are anticipated to be implemented. Anyhow, the overall trend since
the asbestos ban has been to eliminate any poisonous and dangerous substances
or constituents from friction compositions. The development of friction formulas
with the major issue being challenges encountered in the last two decades and their
remedies. Materials with several metals and metal sulfides are the result of this.
Reduced heavy metal content is the current trend [13].

9.6.2 Materials with Organic Ties

The most common friction materials worldwide are those that are organ-bound since
their manufacture is more involved. The start of thermosets’ thermal degradation is
their principal barrier. Phenolic resins are the most widely used thermoplastics. Due
to the fact that manufacturers can use dry processes with novellas, as opposed to
“wet” mixtures and instability with results, manufacturers can utilize dry processes
with novellas. Dry blends, however, might allow for easier particle segregation. A
network made up of all fillers or friction reducers is what an organic binder’s principal
result is. The organic binder’s heat breakdown greatly affects wear resistance. The
organic binder quickly breaks down above the starting temperature, even leaving no
carbonized structure because of oxidation to create CO. Indeed, the friction’s wear
increases with high dissipated powers exponential growth of the substance [12].
Phenolic resins not only incorporate many friction material components but also
give the finished brake pad good mechanical features like durability, viscoelasticity
that effectively reduces mechanical waves (noise), and a level of compressibility
that gives decent pedal sensation, but not too much. The ultimate tensile strength
is normally around 20 MPa, and the flexural modulus is typically around 10 GPa.
Compressibility (deformation) typically stays between 1 and 2%. However, other
elements play a role in the final product’s mechanical characteristics, particularly the
fibers, which play a significant role in the development of a strong structure [13].

9.6.3 Formulas

There are numerous varieties of formulas, and each one is founded on the same idea.
The formulations include a binder, a certain ratio of lubricants and abrasives, and
metals that serve multiple functions simultaneously, including reinforcing the mate-
rial, raising the coefficient of friction, dispersing the considerable heat produced on
the friction surface, and others. The major purpose of adding rubber to brake pads
is to reduce noise and vibrations while also giving the brake pads some flexibility
and compressibility [13]. It is important to notice that rubber is not employed to bind
280 9 Surface Engineering for Tribology

the friction substance. To lessen dusting during compound processing, organic, inor-
ganic, or metallic fibers preferably in the form of cellulose are added, for example,
cellulose, aramid, and stone fibers) as a thermal barrier as well as a structural and
reinforcing element to lessen wear, and increase the ability of hot industrial processes
to withstand fracture. However, these fibers’ chemical makeup and structural makeup
determine the temperature range in which they function as planned. In some cases,
fiber degradation is necessary to produce the necessary amount of surface porosity.
These materials have largely been developed empirically without a thorough under-
standing of the tribological processes they are involved in. The categories for formulas
in this book are as follows. Steel fiber content must be at least 30% and metals in
the metallic state must make up between 50 and 70% of semi-metallic formulas.
Formulas for ceramics (also NAO) do not contain steel fibers and have a non-ferrous
metal content of less than 20%. Steel fibers make up less than 20% of low-steel
formulations. Last but not least, low metal formulae contain less than 20% of total
metals, including steel fibers. Low metal formulations shall not be referred to in
this book as “hybrid formulas,” which is inaccurate. Truck (commercial vehicle,
CV) formulas can be categorized as semi-metal formulas; however, they differ from
those used in passenger cars in terms of both the lubricants they employ and the
abrasive-to-lubricant ratios [14].

9.6.4 Semi-metallic Formulas

The so-called semi-metallic formulations are distinguished by a significant amount

of metal, typically greater than 50% by weight. Metals include substantial amounts of
steel fibers, copper, copper alloys (bronze and brass), and occasionally tin and zinc.
Strong abrasives and lubricants are distributed throughout the remaining components
[15]. Calcined alumina, chromite, magnesium oxide, among other mild abrasives,
and clay from the kaolin family are the abrasives employed in these formulae. Both
natural and synthetic graphite with sulfur added are used as lubricants. Molybdenum
disulfide (MoS) and disantimony trisulfide are both quite prevalent a few years ago,
in the 1990s (SbS). The so-called friction powder, a reddish cardanol that has been
cross-linked, as well as premixes primarily made of rubber and steel fibers, are other
popular constituents. These mixtures are extremely well-liked in the 1990s when
the transition to other materials showed up. They are created with the fundamental
understanding that by combining steel fiber, a strong material, with rubber, a noise
dampener, the materials would be able to benefit from both properties: the strength
of the steel fiber and the dampening of the rubber. Styrene-butadiene (SBR) and
chloroprene rubbers, which have the capacity to cross-link through unsaturated C-C
linkages, are the most widely utilized rubbers [13].
The rubber, which contains steel fibers, is first dissolved in a solvent to create
the premix, which is then distilled to remove the solvent. Toxic organic solvents
like trichloroethylene have been eliminated in reformed businesses nearly entirely
by abandoning such operations. The most typical method of making this premix
9.6 Formulas for Different Friction Materials 281

Fig. 9.12 Examples of

typical ratios between the
primary categories of
components include
abrasives (abr), lubricants
(lub), total metals (total met),
non-ferrous metals (non-fer
met), graphite, and sulfides
for vehicle, ceramic, and low
steel formulations [10]

is to dry mix with mechanical assistance, the rubber matrix with steel fibers [14].
The rubbers indicated above are no longer used in most modern products; instead,
acrylonitrile butadiene rubber (NBR) is used. More polar than SBR, resistant to
solvents, compatible with a number of novel ceramic compounds, more heat resis-
tant, and usable without carbon black, NBR is a rubber that can be used efficiently
without these additives. Abrasives, lubricants, total metals including steel fibers, non-
fermented metals (unfermented), graphite and sulfides for ceramic compounds, mild
steel, and CV (vehicle) or semi-metallic compounds are some of the common ratios
between the main component categories. It is interesting to observe that while ferrous
metals, primarily steel fibers and to a lesser extent iron powder, rise as you move
from “trucks” to ceramics, the ratio of abrasives to lubricants decreases [13]. Alumina
and other powerful abrasives with semi-metallic compositions are typical examples,
and, to a lesser extent, corundum, while ceramic compositions only require weak
abrasives like zircon silicate. These materials must quickly remove oxides that are
growing on the disk rotor surface. In recent years, more abrasives have been devel-
oped, including silicon carbide and metal carbides. In low-cost recipes, chromite a
mineral composed of a mixed oxide of iron and Cr(III) (FeOCr2 O3 ) is also utilized
(Fig. 9.12).

9.6.5 Truck (CV) Formulas

Truck formulae, or CV, adhere to the semi-metallic design, although sulfides and
friction coefficient also play a significant impact. It is preferable for the coefficient
of friction to be high since the shear stresses and the dissipated energy density are
both extremely high. Additionally, the inferred thermomechanical stresses exacer-
bate disk issues like hot spots that are also prevalent in passenger cars [2]. In this
282 9 Surface Engineering for Tribology

instance, these issues result in a change in the disk’s thickness and resulting vibra-
tions, whereas in CV, they may create more severe issues such as cracks brought on by
thermomechanical loading. Sulfides like Sn (II, IV) and Sb (III) can be used to either
avoid or reduce these cracks because they encourage the production of tribofilm,
which increases the resistance to wear, reduction of uneven wear and tension and
lubrication. In fact, using more compressible materials that conform to the surface of
the rotor without focusing stresses in specific locations is another strategy to lessen
this issue. To boost mechanical rigidity and serve as a heat barrier in these situ-
ations, fiberglass, mineral wool, and other ceramic masses are frequently utilized.
However, this process can result in the formation of potentially dangerous respirable
fibers. However, there are biocompatible variants based on calcium and magnesium
silicates that can be eliminated by the body. To increase adhesion to the baseplate,
truck formulations almost always need a fastening system in addition to phenolic
adhesives [15].

9.6.6 Low Metal

Low levels of each component in the metallic state define low metal formulae. The
major goal of these formulae is to improve comfort because stick-slip and noise
are related to the presence of metals. However, because their average coefficient of
friction is typically lower than that of more metallic formulations, the majority of
these formulas can be suitable, particularly for rear brakes. In fact, whereas semi-
metallic formulae have a coefficient of friction of roughly 0.4, theirs is closer to
0.35–0.38. This recipe operates on a distinct tribofilm idea that is more of a blend of
other oxides than just the predominant magnetite. For instance, the oxide tribofilm
contains minute amounts of zircon silicate [15]. Comparing resin content to semi-
metallic compositions, it is 1–4 weight percent greater. Round additionally, particles
are employed to lessen abrasion-related wear. By using fine abrasives rather than
coarse particles, low wear is accomplished. The size of the abrasive has a well-
known impact on wear rate. As a result, silicon carbide is employed in this type of
formulation rather than corundum because, as has been shown for corundum, it is
less aggressive due to the silicon oxide film covering the silicon carbide particles
and can be used with particles typically smaller than 45 m brakes and as depicted,
other uses using a copper counterpart in place of the traditional gray cast iron. The
semi-metallic formula’s structure can be summed up as follows: Fillers are very
important, but they differ from those found in ceramic materials. In addition to
talking about soft inorganic or ceramic materials like barite (BaSO), fluorite (CaF),
calcium carbonate (CaCO), etc., we can also use the very wide word “filler.” The
amount of binder employed might range from 5 to 15 wt.% and is dependent on the
technique. A lower value indicates positive molding using a one-piece mold. In this
instance, the ability to regulate the mold’s real pressure and temperature makes it
possible to get better results with less binder. To reduce process variance, a lot of
binder is frequently employed. In hot negative molds, when it is hard to maintain
9.6 Formulas for Different Friction Materials 283

the same pressure and temperature, more resin (binder) is required. Inadequate resin
frequently causes wear on high-friction materials as well as process or field cracks.
The remaining components of the formula, such as the coefficient of friction and
wear, are performance-based and not process-dependent. The formula has a lot of
different iterations. One of the key current challenges is cost reduction, which is
where the majority of them are concentrated. Typically, expensive raw materials are
replaced by less expensive goods, which frequently results in resulting in a decline in
output. For instance, inexpensive zircon silicate is replaced by silicates like kaolin and
garnet. Other formulas are based on different ideas, such as the one that contradicts
the idea that fillers don’t have a crucial role [14].

9.6.7 Low Steel Compositions

Low metal recipes and low steel formulas are comparable. Due to the higher coeffi-
cient of friction, the increased steel fiber content makes it more suitable for the front
axle. In comparison with low metal formulations, they often require fewer abrasives
and a dampening system that can lessen the adverse impacts of steel fiber on noise
and vibration. It dampens premixes of rubber and lubricant, similar to those used in
semi-metallic materials, which may be necessary for the system. MgO is occasion-
ally added in this type of compound as a mild abrasive to stabilize the coefficient
of friction. The proper balancing of oxide tribofilm formation and degradation, as
previously described, can lead to this stabilization. In contrast, the equilibrium of
the composite tribofilm is even more crucial when there is simply a source of iron in
order to maintain a consistent coefficient of friction. A fascinating investigation by
Jiao et al. [14] illustrates the creation of a surface modification method to enhance
the friction and wear attributes of composite Kevlar and low carbon steel (KSCS)
constructions. The Kevlar material’s weaving gaps are filled by a simple change we
created, and the adhesion between the fiber surface and the mild steel (18CrMnTiH)
base material is also improved. On friction and wear testing machines with friction
time control, the composite’s friction characteristics, coefficient of friction, and wear
rate are examined before and after modification. Optical electron microscopy and
optical profilometry are used to analyze the morphology of the worn surface and the
reduced wear of the transfer film.
The findings revealed that the coefficient is when the transfer film’s surface area
expanded, the coefficient of friction and surface roughness reduced. By changing the
material’s wear mechanism from heavy fatigue wear to light abrasive wear, transfer
film production effectively increased the material’s life under the same conditions.
The findings of this study can be used as a benchmark to increase the wear resistance
and frictional resistance of moving metal components reinforced with Kevlar fiber.
Figure 9.13 shows that the copper powder with a 20-weight percent content showed
the smallest loss in coefficient of friction with increasing speed, whereas M, which
is devoid of metals, showed the biggest decrease [16]. When working with small
amounts of metals, as in low metal formulas, the stabilizing effect offered by metals
284 9 Surface Engineering for Tribology

is a serious difficulty. When using materials that serve as heat sinks, this issue has
been noticed. Formula types for friction materials 39 Metals have a significant impact
on friction material wear, but they can only partially improve it, contrary to popular
belief. A material with 10% copper displays wear in both load and speed tests,
whereas a material with 20% copper shows wear that is more than twice as great.
Compared to steel fibers, the increase in wear brought on by the higher metal content
is much more apparent for copper and its alloys. In this regard, it is important to
keep in mind that steel fibers significantly contribute to the material’s strength. On
the other hand, significant heat transfer toward the pad tends to weaken the binder
on the material’s surface, eventually leading to wear because pure copper has a
high thermal conductivity (401 W m−1 K−1 ) increment. Surface comparison of three
materials using scanning electron microscopy M (no metal components) (no metal
components). The comparison of CPC10 (10 wt.% Cu powder) with CPC20 (20 wt.%
Cu powder) reveals notable topographic and morphological variations tons that are
related to the wear rate and extinction of the friction coefficient.
There are different plateaus on the surface of the CPC10 material that correspond
to a junction made of recycled materials in accordance. Since there is significantly
less wear debris than in other situations with low-wear rates, the plateaus are not as
widespread. Additionally, the biggest portion of friction material’s microstructure
appears to be essentially unaltered, indicating that the binder is still functioning.
On the surface of M, there is a substantial plateau of complex oxides, and some
delamination has taken place. The main component of this extended oxide tribofilm
[15]. Because the coefficient of friction between oxide surfaces is often lower than

Fig. 9.13 CPC10 (low wear, low fade), M (high fade, reference), and CPC20 (SEM pictures) are
examples of CPCs (high wear, lowest fade) [15]
9.6 Formulas for Different Friction Materials 285

that between metal surfaces, the coefficient of friction decreases with increasing
speed or load. The disk also has an oxide tribofilm covering it, which is remarkable.
CPC20 has a rough surface with a sizable plateau of secondary joints (composed
of oxidized wear products), and huge areas where delamination has taken place are
visible with raw material particles. This might mean that excessive heat transfer to
the friction material caused the binder to degrade, which led to high particle removal
and the development of oxidized/oxide wear products that eventually formed the
layer. Fresh metals that emerge from craters still have a high coefficient of friction,
nevertheless. Thus, materials with a low steel content are more suited for front axle
applications because they are less sensitive to high speed and load sensitivity than
low metal content alloys. The low metal content and the so-called ceramic materials
are the real source of the performance problem [16].

9.6.8 Sintered Materials

The two primary categories of sintered materials for rail transportation are copper
matrix and iron matrix. An inert environment is necessary for the thermal sintering
process with both matrices (nitrogen is the most commonly used inert gas). An
organic matrix and a metal-sintered matrix differ primarily in the way that the
binder decomposes (or is destroyed). Phenol-formaldehyde resins start to break down
at 350–400 °C, whereas the iron matrix and copper matrix melt at 1085 °C and
1538 °C, respectively. Metal-sintered materials are substantially more heat resis-
tant than organic binders [17]. The steps of the manufacturing process are typically
as follows: Mixing the components, high-pressure molding (100–200 MPa), and
heat treatment in a nitrogen flow (600–700 °C for the Cu) are the first three steps,
1000–1200 °C for the Fe matrix, whereas dimensional changes could happen as a
result of thermal expansion across the different phases. Micromechanical tribological
mechanisms describe the phenomena of friction and wear by taking into account the
distribution of stresses and deformations throughout the contract, the total elastic and
plastic deformations that result, as well as the general process of wear particle forma-
tion and its dynamics. Four primary criteria that regulate the tribological process in
interactions with one or two coated surfaces have been discovered.
Compared to Cr3 C2 -NiCr coatings, WC-Co system coatings are harder and more
resistant to wear. Due to the decarburization of WC and subsequent development
of embrittling carbides, such as W2C and complicated Co-W-C carbides (the so-
called phase), these coatings are ineffective at temperatures over 450–540 °C. As a
result, Cr3 C2 -NiCr coatings are frequently employed in applications requiring high-
temperature wear resistance. As an illustration, Fig. 9.14 displays the outcomes of
dry sliding wear tests that are carried out using the block-on-ring test and steel block
and ring samples coated with three various HVOF coatings [16]. The influence of
coating and substrate hardness, coating thickness, surface roughness, and debris
present in the contact on the micromechanical mechanisms of friction. It’s worth
noting that the three geometrically associated parameters, film thickness, surface
286 9 Surface Engineering for Tribology

Fig. 9.14 Three HVOF

coatings dry sliding against a
counterface of the same type
in a block-on-ring
configuration: specific wear
rate vs sliding speed [16]

roughness, and wear particles, are typically in the same size range of 0.01–10 m.
This means that the relationship between these dimensions can be considered the
major effect on both friction and wear on a macroscale for each real scenario. In
the instance where the sphere slides over a covered surface, consider both of these
cases independently. In this chapter, we use the terms “soft” and “hard” to refer to
the deformability of coatings rather than their hardness. The vertical and transverse
loading circumstances will affect the surface’s stresses and deformations, as well as
its friction and wear properties. Hardness is a significant property, but it is not the
only one. The combination of elasticity and hardness results in a completer and more
accurate model [15].

9.7 Aircraft

According to significant power densities are thought to be dissipated by friction

materials used in aircraft. To achieve a high and steady coefficient of friction and
acceptable thermal stability of the material, these levels can only be machined using
sintered iron, C-SiC, or carbon-carbon (CC) materials. In the following part, the CC
contents are briefly reviewed [16].

9.8 Coated Surface Tribomechanics

9.8.1 Scales of Tribology

The tribological process in contact, in which two surfaces are in relative motion, is
extremely complex since it simultaneously combines mechanisms of friction, wear,
and deformation at various scale levels and types. Tribological events are described in
9.8 Coated Surface Tribomechanics 287

Universe tribology – Teratribology

1012 Tm
???

109 Gm Global tribology – Gigatribology

Sustainable development, politics, survival

106 Mm National tribology – Megatribology

Safety, environmental, transportation and research policies

103 Km Plant tribology – Kilotribology

Economy, risk levels, availability, life-cycle cost

1 m Machinery tribology – Unitribology

Performance, efficiency, reliability, lifetime

10–1 dm Component tribology – Decitribology

Torque, forces, vibrations, clearance, alignment

Contact tribology – Macrotribology

10–3 mm
Hertz contact pressure, EHD, pitting, scuffing, scoring

µm
Asperity tribology – Microtribology
10–6
Fracture, elastic and plastic deformation, debris, surface layers

10–9 nm Molecular tribology – Nanotribology

Molecules, atoms, van der Waal’s forces, single crystals, strings

Fig. 9.15 Tribology scales range from nanotribology to teratribology [10]

the literature using a distinct set of parameters and scientific methodologies, usually
for only one scale level, which can often differ significantly from the next or previous
scale level. As shown in Fig. 9.15, Holmberg (2001) attempted to illustrate tribo-
logical scale levels ranging from the simplest friction and wear processes of atomic
dimensions to global and universal dimensions. Nanotribology, also known as molec-
ular tribology, is the study of phenomena related to the interaction of molecules and
atoms, such as the impact of van der Waals forces on material single crystal forms.
Bowden and Tabor (1950) pioneered microtribology, or the tribology of rough-
ness, with their investigations of friction, wear, and adhesion at surface topograph-
ical peaks. Fracture, elastic and plastic deformation, debris generation, surface layer
creation, and topography impacts are all critical. In the early twentieth century, the
focus of research is on macrotribology or contact tribology. This work is associated
with contacts between gears, bearing elements, and rollers, as well as phenomena
observable to the naked eye such as Hertzian contact pressure, elastohydrodynamic
lubrication, and wear mechanisms. The eyes (scoring, scuffing, and pitting) are of
particular interest. Component tribology, also known as decitibology, is concerned
with the description and measurement of typical parameters related with compo-
nent interactions, such as torque, forces, vibrations, clearance, and alignment of
course, the scale of tribology is extensive, with higher levels focusing on reliability
engineering and higher levels being more speculative or philosophical. However, in
order to understand tribological mechanisms and interactions in engineering surfaces
holistically, it is very useful to individually investigate tribological changes at three
different scales: macro-, micro-, and nanoscales, as well as mechanical and chemical
288 9 Surface Engineering for Tribology

changes [17], the modifications and material transfer that occur in the contact, as
depicted as seen in Fig. 9.15.
Problems
1. During the coating or surface treatment of components, certain issues may arise
that affect either the coating or the component being coated. Describe the problem
and its cause in each of the following situations. Then, provide methods for
resolving the issue.
a. High-strength steel hydrogen embrittlement during electroplating.
b. The thickness of a component’s coating following electrodeposition.
2. Describe the engineering surface measurements available for the following
tribological applications:
a. Instead of electroplated chromium, certain automotive engine camshafts use
DLC coatings.
b. Rather than ceramic flame-sprayed coatings, hard facing is used to coat the
teeth of excavator buckets.
3. Explain why, whereas laser processing can harden the surface of a steel compo-
nent in seconds, carburizing can take many hours. Make your assumptions
clear.
4. Surface treatment approaches are suggested to increase tribological performance
in the following applications. I suggest a suitable surface treatment (and material,
if applicable) that could be applied for each occasion.
a. Describe and justify a suitable laboratory test procedure to aid in coating
selection.
b. Determine the benefits and drawbacks of the chosen test procedure.
5. A 50-mm-thick layer is used to increase the wear resistance of a steel vane in a
concrete manufacturing plant.
a. Management of an In plastic injection molding, a steel matrix is used to
reduce adhesion issues between the matrix and the product.
b. Protection of helicopter engine turbine blades from erosive sand damage.

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Chapter 10
Machine Failure and Its Prevention
by Tribology

10.1 Introduction

A failure without loss of life is not so much a tragedy as the ultimate result of a
compromise between greatness and economics,” according to one argument. Using
the findings of tribological research and incorporating them into a lifelong design
philosophy is crucial for maximizing the performance of machines that include
components that transfer power between sliding and/or rolling surfaces. This entails
constant, meticulous maintenance, and care over the course of the machine’s life to
ensure safe, effective, and reliable operation [1].
To thoroughly comprehend the underlying patterns of behavior and identify the
underlying mechanisms are the two ideal outcomes in the discipline of tribology. On
the basis of these fundamental tenets, suitable functional and predictive performance
models are generated, resulting in good design and practice application. Neverthe-
less, an interdisciplinary subject that strongly depends on the knowledge and abilities
of a chemist, materials scientist, and mechanical engineer will never quite reach the
pinnacle of perfection. As a result, we are compelled to accept the likelihood that
machines will encounter tribological issues and malfunctions. This is made worse by
the fact that it occurs in a demanding, fiercely competitive industrial and commer-
cial environment where there are equal demands for greater production and lucrative
economic returns. This setting has the potential for human error, and the overall
economic repercussions could ultimately result in "failure" on a much larger and
more expensive scale. The rules governing lubrication, friction, and here, the neces-
sity to try to guarantee that critically operational machines perform and continue to
execute their intended purpose is highlighted, along with the wear of crucial machine
components. This basically calls for a “cradle to grave” mentality in all of its facets.
Before a catastrophic failure occurs, the role of tribology in maintenance strategies
and practices should be investigated in relation to the fundamental requirements of
fault detection and diagnosis. Hence, the topic of how tribology might help build
suitable forecasting techniques for estimating the remaining life of a failed piece of

© The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd. 2024 291
R. A. Al-Samarai and Y. Al-Douri, Friction and Wear in Metals, Materials Horizons:
From Nature to Nanomaterials, https://doi.org/10.1007/978-981-97-1168-0_10
292 10 Machine Failure and Its Prevention by Tribology

equipment emerges. Failure in this case can refer to something that is simply related
to the decline in both the machine’s functionality and its output quality to a standard
that the consumer finds unsatisfactory [1].

10.2 Tribological Principles and Maintenance Procedures

10.2.1 An Overview of Maintenance Practices Development

The process of maintaining machines before the Second World War (1939–1945)
mainly relied on the use of human senses eyes, ears, smell, touch, and even taste to
detect changes in performance that could indicate inevitable failure, if nothing has
been done. The rule of breakage, however, is generally followed when performing
maintenance: “If it ain’t broke, don’t fix it!” The second part of the twentieth
century saw a sustained use of this strategy for “excellent” maintenance procedures.
Preventive maintenance is a procedure that emerged immediately after the war [1].
During routine inspections, which are often conducted annually or every six
months at a minimum, machines are disassembled, and inspected, and worn-out
or otherwise problematic parts are replaced. This is typically accompanied by extra
routine maintenance checks of auxiliary equipment, such as replacing the oil in the
engine or gearbox. Since the invention of the automobile, the majority of people are
familiar with this predicament. The fact that domestic car owners have increased
their mileage between oil changes by a factor of four to five during the previous
30 years is especially relevant at this point [2]. The tremendous amount of research
being conducted by original engine manufacturers and oil firms, particularly in the
fields of lubricants (and additives), bearings, gears, and piston cylinder development,
is what led to this long-awaited breakthrough. During the same time, corresponding
improvements in production methods and materials are made. There are numerous
industry-university R&D cooperations (worldwide) have helped to bring forth these
advancements.
In particular sectors like railroads and aerospace, maintenance has been a part
of the evolutionary process since the late 1940s. More generally, it was not until
approximately 1970 that the necessity for modifications to maintenance procedures
really started to take off. Recently, some businesses have shown interest in the idea
that some businesses choose to apply root cause analysis in a proactive approach to
maintenance. The cost-benefit ratios of these varied solutions, however, are difficult
to quantify. Yet, it is evident that every one of the aforementioned remedies is utilized
throughout the entire industry. Depending on the type of business, the type of equip-
ment utilized, and the availability, this is frequently the case even within the same
organization with staff turnover and skill levels of the workforce. It also heavily
depends on the management’s concept and method with regard to how important
maintenance work is to the overall business strategy [1]. Over the past 20 years, a
strategy framework has been developed to systematically assess how maintenance
10.2 Tribological Principles and Maintenance Procedures 293

is carried out in order to address the enormous challenge posed by the expanding
diversity and complexity of contemporary industrial equipment. Reliability-Centered
Maintenance (RCM) is a method with the main objective of defining the link between
a company’s management structure in terms of its physical assets and those who run
and maintain those assets in order to create a cogent plan that maximizes efficiency.
Using this strategy is crucial since it clarifies from the outset what failures do happen,
therefore how could the asset in issue stop serving its purpose? What might be the
root of this loss of purpose [3].

10.2.2 Principles of Tribological

Since the beginning of civilization, interacting surfaces that are in relative motion
have experienced friction, lubrication, and wear. After the hardships of the first
industrial revolution in the eighteenth century, the scientific discovery of the rules of
friction behavior continued to advance in the Middle Ages. The ability of a very tiny
area in contact with interacting surfaces to convey the necessary increase in load at
greater speeds is under more pressure nowadays because machines need to have the
means to produce more power. Table 10.1 displays the mechanical characteristics
of the three major types of materials. The selection and design of bearings that
enable safe operation within the scope of their particular capabilities are based on
the limiting load-speed characteristics for dry sliding bearings, plain bearings, and
rolling bearings, depending on the shaft diameter [4–7]. The issues that reduce rolling
bearings’ lifespan are mostly caused by loading at low speeds and the increased
probability of surface fatigue that develops as speed increases.
The principal hazards to ongoing operation at greater speeds are temperature and
instability. Without concurrent advancements in the material characteristics (solids
and liquids), lubricants, friction, and subsequent wear will mount as the temperature
rises and surface material is removed. This will cause either seizing or unacceptable
wear, which will result in machine failure. After the Second World War, there was an
unprecedented increase in the demand for electricity, and the development of lubri-
cation theory particularly hydrodynamic and elastic-hydrodynamic in the middle of
the twentieth century and its subsequent application to bearing technology are revo-
lutionary developments that tipped the scales in favor of life extension. Figure 10.1
illustrates the rise in lubricant demand in terms of the thermal stresses they have
experienced over the previous 60 years. At the same time, advancement in the field
has advanced [8]. The vehicle and the airplane, two of the most major scientific and

Table 10.1 Mechanical

E (GPa) ν H (MPa)
characteristics of the three
major types of materials [8] Steel 210 0.3 1500
Nylon 3 0.4 120
Silicon nitride 300 0.25 14,500
294 10 Machine Failure and Its Prevention by Tribology

engineering advancements of the twentieth century, serve as the best examples of

this in Table 10.2. Values of required to give a plasticity index of 0.6 for the six
contact combinations possible. Theoretically, an apparatus made to function in full
hydrodynamic mode is a condition with endless life and zero wear. Corresponding to
this, it is fair to anticipate an extension of service life before pitting begins in the case
of elastic-hydrodynamic lubrication of rolling parts. Even while these developments
are amazing, it is important to note that without similarly great advancements in
the physical and chemical properties of materials, both solid and liquid, the current
capabilities of tribological components would not be possible.
Manufacturing methods designed expressly to enhance a solid surface’s charac-
teristics. Typical values of σ *, r and σ * = r 1=2 , as seen in Table 10.3. The massive
spread of information technology over the past 20 years or so has helped to facilitate
the parallel development of sensor technologies, which has resulted in the transfer
of technology from the lab to field research and development with supplementary
applications in regular industrial settings. operations. Methods that are frequently
utilized to check the equipment’s state of maintenance are included in these initia-
tives. The Yost report’s 1966 publication is one of the most important turning points

Fig. 10.1 After 1946, the lubricant thermal stress has increased [8]

Table 10.2 Values of (E*/H) (left-hand column) and σ * = r 1=2 (right-hand column) required to
give a plasticity index of 0.6 for the six contact combinations possible for the materials listed in
Table 10.1 [9]
Nylon Steel Silicon nitride
E∗ σ ∗ 1=2 E∗ σ ∗ 1=2 E∗ σ ∗ 1=2
H r H r H r
Nylon 14.9 0.040 29.3 0.020 29.4 0.020
Steel 76.9 0.008 89.4 0.007
Silicon nitride 11.0 0.054
10.2 Tribological Principles and Maintenance Procedures 295

Table 10.3 Typical values of σ ∗ 1=2

σ *, r and σ * = r 1=2 [9] Material and condition σ */µm r/µm r
Bead blasted aluminum 1.37 13 0.32
Ground mild steel 0.6 15 0.20
Ground, lightly polished steel 0.5 85 0.077
Well-polished steel 0.1 500 0.014
Worn, run-in steel 0.065 250 0.016
Hard steel roller bearing 0.024 150 0.013

in the history of tribological conquests in Great Britain [7]. The outcome of thor-
ough debates among the top tribologists of the day identified a number of instances
when the nation lost out on the equivalent of £500 million today because existing
tribological knowledge is not put to use.
An emphasis is placed on developing the potential for savings through more
advanced tribological techniques losses from failures accounted for
• 22% of losses, whereas
• 45% of investments went into maintenance and spare parts and
• 4% went toward increased availability and efficiency.
• 20% increased plant life.
Reduced labor and energy use, as well as decreased lubricant costs, are also
highlighted as additional areas where savings are anticipated. The proportionate
increase in energy prices as a result of the 1973 worldwide energy crisis is taken into
account in a later evaluation. It underlined the necessity to conserve raw materials
and energy by strengthening the tribological design processes. The industry had a
clear mandate to concentrate on maintenance-related activities in particular, as a
result, and this is evident. There is still much to be done, according to a thorough
examination of maintenance procedures carried out in the middle of the 1970s. It
turned out that many businesses at the time were underwhelmed by the potential for
expanding their practices that came with using a condition-based strategy to address
maintenance issues. Also, they are unable to determine which equipment condition-
monitoring techniques would work best for their needs [3]. The main issue is that
top management is unable to be guided by clear methods to assess the potential cost
and benefit benefits of such a strategy.
As a means of attempting to Niels’ report gave much-needed information and
crucial “first step” recommendations on how to proceed in light of continuing main-
tenance procedures in relation to these issues. Industries that have already made
significant investments in a public service approach are typically those where secu-
rity and homeland security are top priorities. A number of high-tech businesses have
reacted fast in the face of fierce worldwide competition. It is appropriate to inquire
at this point:
• How much of these savings have been caused by developments in tribology
understanding and application over the previous 40 years? On the principle that
296 10 Machine Failure and Its Prevention by Tribology

“prevention is better than cure,” much attention has been given to utilizing the
findings of tribological research through improved methods for the design and
production of tribological components and systems that have found their way
into common usage. The automotive industry serves as an example of this higher.
A variety of industrial equipment’s performance and dependability have signif-
icantly increased as a result of this. Yet, it has been challenging to accurately
calculate the global cost reductions from these technical advancements.
• What role does tribology play in the Did the technical community itself help to
further reduce costs? In terms of techniques currently employed in the sector,
maintenance practices are in their infancy when the cost report is issued. Conse-
quently, it would seem acceptable to think about this issue in light of current
practice [4].

10.2.3 Maintenance and Tribology

Table 10.4 summarizes some of the most displays the many wear issues that exist in
the industries.
Table 10.5 provides a qualitative illustration of materials used for engine compo-
nents and how tribology contributes to the maintenance. For instance, there is a
reasonable expectation (probability) that a bearing component, when correctly recog-
nized, designed for its intended use, manufactured and installed to specification,
and used under design conditions, will function satisfactorily for the duration of
its intended life. It is customarily believed that the chance in the case of a rolling
bearing is 90%. This is owing to the fact that such bearings eventually fail as a result
of point fatigue brought on by numerous reverse strains. Cycles in rolling contact
are impacted. A hydrodynamic plain bearing, on the other hand, is specified to have
an indefinite service life since, in theory, there are no equivalent barriers to limit its
service life.

10.3 Diagnoses of Failure

If the aforementioned requirements are satisfied, nothing should prevent the tribolog-
ical component from operating normally for the duration of its anticipated service
life. The causes of accidents on the surface, however, are widely understood and
well-documented. Below are the most typical issues that cause wear-related failure,
in no particular order of significance or frequency of occurrence:
Lack of lubrication; solid or liquid pollution (such as that caused by fuel or water);
misalignment or loose parts; extraneous vibration; and human mistake (such as
receiving the incorrect materials or qualities or working outside the designated
performance window). The best proof of causation and effect is still provided by
a thorough post-rejection investigation. By using the proper procedures within
10.3 Diagnoses of Failure 297

Table 10.4 Displays the many wear issues that exist in the industries [9]
S. No. Industrial wear Significant characteristic Examples
problems
1 The wear of surfaces by Erosion with one supply of Valves controlling flow of
hard particles in a erodent being continuously crude oil laden with sand
stream of fluid renewed in a gas or fluid gas pumping equipment
2 The wear of surfaces by Abrasion, with supply of Digger teeth. Rotors of
hard particles in a abrasive continuously renewed powder mixes. Extrusion
compliant bed of by movement of bed of material dies for bricks and tiles
material
3 Wear of metal surfaces Three body abrasion (solid Pivot pins in construction
in mutual rubbing abrasive-solid) with an ongoing machinery. Scraper blades
contact, with abrasive supply of new abrasive particles in plaster mixing
particlespresent machines.
Shaft seals for fluids
containing abrasives
4 The wear of metal Adhesive wear and abrasion, but Tools used in manufacture,
components in rubbing with one component in the wear such as punching and
contact with a sequence process being continuously pressing tools, sintering
of other solid renewed dies and cutter blades
components
5 The wear of pairs of Adhesive wear, but with a wear Piston rings and cylinder
metal components in rate that can be very variable liners. Coupling teeth and
mutual and repeated depending on the detailed splines. Fretting between
rubbing contact operating conditions machine components
6 Component wear from Adhesive wear between two Brakes and clutches. Dry
rubbing contact consistent components rubbing bearings.
between metals and Artificial hip joints
non-metals

Table 10.5 Materials used for engine components [10]

Component Materials
Valves . Titanium aluminide (with nitriding for wear protection)
. Al–SiC MMCs
. Ti alloys (especially in F1)
Pistons . C–C composites (eliminates need for piston rings)
. Mg alloys (1921 Indianapolis 500)
. PSZ, Al2O3 (crown)
Engine block . Mg (through USAMP—magnesium powertrain cast components project)
. Al—Lupo
298 10 Machine Failure and Its Prevention by Tribology

the confines of established maintenance procedures, accompanied, if necessary,

by the necessary modifications to operating techniques, the possibility of such
failures occurring again is frequently diminished or entirely avoided. This is an
uncommon occurrence where several seemingly unrelated events combine to have
secondary effects, which can result in a more serious failure type that is also the
most challenging to identify and correct [5].

10.3.1 Morphology and Analysis of Failure

Table 10.6 shows factors that can lead to a technical artifact’s demise: completion,
obsolescence, and failure (slow or sudden). Damage, fracture, breakage, and rupture
are all examples of failure. Usually, fatigue, wear, and corrosion are used to describe
damage. Overload and impact are other types of harm damage from fatigue that is
microscopically undetectable. It frequently flows swiftly and is thus fundamentally
risky. On the other hand, wear and corrosion damage are observable macroscopically
and can be anticipated to happen gradually. The “break-in” period (“A” in Table 10.6)
of the abandonment pattern, also known as the bathtub curve and arguably the most
frequently discussed in the literature, starts with a high newborn mortality rate.
This is followed by a steady or gradually rising failure rate, and lastly, a wear zone
Mowbray [5] further identifies five more failure characteristics (B–F) and breaks
down the failure rate for each mode in reference to data on failures that happen in
civil aircraft. Mowbray came to the conclusion that there would be more samples of
kinds E and F as technology advanced. Also, he observed that reliability and service
life do not correlate. It is frequently incorrect to believe that the more a component
is refurbished, the less likely it is to fail. The precise procedures utilized to conduct
the examination of tribological failures depend mostly on whether it is possible to
disassemble a single failure and/or whether evidence may be gathered. It is crucial
to take into account the following factors in order to identify the most likely reason
for failure:
• Do a thorough examination and examination of the flawed sample, ideally on-site.
• Continue setting up a well-equipped laboratory for analysis of the physical and
chemical alterations in the fracture sites on the surface and below.
• Collect pertinent details from eyewitnesses and contrast them with information
on the terms and conditions of employment.
• Research the project and evaluate how well the overall project package performed.
Speculate about the circumstances that must exist for failure to occur.
Whenever tribological-type failures occur, The engineer, materials expert, and
lubricant chemist’s combined resources, expertise, and experience will probably
result in a satisfying investigation’s conclusion. This is especially true when figuring
out what the failure’s most likely origin, effects, and necessary course of action [6].
10.3 Diagnoses of Failure 299

Table 10.6 Patterns of failure and their prevalence in civil aircraft [5]
Failure pattern Characteristic Incidence (%)
designation

A 4

B 2

C 5

D 7

E 14

F 68

10.3.2 Failure Management: Two Brief Case Studies

The first instance demonstrates how a significant failure issue is resolved. The second
instance is scheduled preventative maintenance, where a major flaw in the bearing’s
critical operational state is discovered during a predetermined check. Each time, the
problem is quickly fixed by utilizing existing tribological knowledge

10.3.3 Bearing for a Sand Dredger

The diagram depicted in Fig. 10.2 is described in the Handbook of Tribology when
looking into the gear shaft bearing failure of a dredger operating in the Bristol
Channel. Early attempts to fix the issue by altering the bearing clearance as well
as the bearing groove’s geometry and dimensions failed. There are no more such
failures once the system is changed to a straightforward oil lubrication system.

10.3.3.1 Marine Diesel Engine with a Small-End Bush

A marine diesel engine’s connecting rod bushing is the subject of another maritime
disaster investigation. The issue is found while the ship is anchored and a normal
bearing check is being performed. Figure 10.3 depicts the state of one of many
similarly damaged bearing shells in the same engine. The through hole and inlet
indicated in the drawing’s top portion are not quite aligned because the replacement
bearings had previously been placed improperly, according to the investigation. From
300 10 Machine Failure and Its Prevention by Tribology

Fig. 10.2 Grease and solid/dry lubricants’ speed-load characteristics [10]

the connecting rod bearing through the connecting rod. This is the only method
the bearing is constantly lubricated with pressurized oil. Additionally, additional
metallurgical testing revealed that the problem is with these bearings. They are made
of phosphor bronze, but the analysis showed that their levels are higher than permitted.
The porosity. The idea that during operation the cyclic pressure exerted on the
compression film is sufficient to create the kind of damage depicted in the photograph
is substantiated by calculations based on the well-established theory of compression
film bearings. It is clear that as conditions changed over time, the bearing had to
adjust. As a result, a new "entry" emerged inside the bearing shell.
But, as the metal shavings started to fly the possibility of catastrophic bearing
seizing increases to break off. Hence, a potentially dangerous scenario that could
have arisen while the ship was at sea could have been avoided thanks to a timely
planned inspection [8].

10.3.4 Comment

So far, it has been shown that there is a substantial body of knowledge, talent, and
experience that can help in the process of figuring out cause-and-effect issues and the
best approaches to fix them when tribology-related errors arise. It also demonstrates
how knowledge of tribological phenomena can help in solving issues that occasion-
ally arise during breakdowns and circumstances requiring preventive maintenance.
10.4 Condition-Based Upkeep 301

Fig. 10.3 Marine diesel

engine bearing damage [10]

So the question is, “What contribution can a tribologist make to failure prevention in
the first place?” It is helpful to start by outlining what goes into sustaining the state
[11]. The definition of tribological aspects will next be discussed in light of the tech-
niques employed to keep an eye on the machines’ condition. What sensors discrimi-
nate between an incredibly crucial part of the entire process, because analyzers gather
data and the accompanying wear mechanisms that ultimately contribute to the failure
of vital components [11].

10.4 Condition-Based Upkeep

Reliable detection, efficient diagnostics, and dependable solutions are essential to any
successful monitoring activity. Any state-based maintenance strategy should include
the first component, discovery. It immediately becomes redundant if the sensor or
analytic method being utilized cannot identify the problem as it occurs. When used
correctly, it is an essential advanced tool for tracking the trend of component failure
and the resulting performance loss. In the end, it establishes the reliability’s outer
shell. Good diagnostics give engineers crucial information that they can utilize to
distinguish between “cause” and “effect.” A report of the findings and a recommen-
dation to halt work for inspection or repair are included in the third component. The
most significant and responsible action is this one. It is important to remember that
302 10 Machine Failure and Its Prevention by Tribology

not tribological processes are the root cause of all mechanical malfunctions. Nonethe-
less, it is important to pay close attention to how clothing changes from “benign”
to “active,” especially when it reaches a “failure” condition. It goes without saying
that safety concerns are of the utmost significance in these situations. Conventional
production procedures like rolling steel strips come with large secondary costs [10].
Figure 10.4 illustrates a condensed transition from mild to active wear as a function of
time, indicated in terms of wear particle velocity, and subsequent failure, highlighting
the potential and necessity of monitoring. The machine may appear to be extremely
worn out at the beginning of its life. The wear rate will shortly be confirmed by the
detecting method as increasing or decreasing. The morphological examination of
wear products, in addition to determining the concentration of wear products, will
demonstrate where the running-in stage swiftly transforms into activewear particles
(> 100 m) are replaced by much smaller particles (50 m) at a significantly reduced
wear rate, which also alters the contour shape and surface properties (see following
section). Wear will be maintained to a minimum for most of the remaining life in a
machine operating in the design workplace. At this point, the “status quo” may occa-
sionally be disturbed by planned maintenance (oil changes, etc.). On the other hand,
unforeseen changes in the circumstances could happen suddenly (for example, the
introduction of pollutants) and the monitoring crew must maintain a constant watch
for this otherwise. In order to evaluate and categorize any subsequent degradation
in wear, a normal baseline “signal” must first be established. The degree and nature
of the issue are ascertained using combined detection and diagnostic features when
the switch from minutes or even several hours. In other situations, it can be weeks
or months before any preventative measures are required, as is the case, for instance,
with steel finishing procedures.
How long should be spent going nonstop at this point, or more specifically, what
is the “time to accomplish” before failure? In other circumstances, like helicopter
operations, this may take a few most widespread monitoring. The following tech-
niques are utilized in the industry: vibration analysis (and more recently, acoustic
emission analysis); oil and wear product analysis; performance analysis (tempera-
ture, electric current, pressure, flow rate, etc.). The industry’s most popular moni-
toring technique may be vibration analysis. Its benefit is that it can be remotely
controlled in real time and gives pertinent data in a quantitative way. Depending
on the signal strength, predefined alert limits may be automatically activated. Alter-
natively, more thorough diagnostic probing may be necessary. It has shown to be
particularly successful in identifying changes in the kinematics of rolling bearings
as an early sign of surface degradation and subsequent identification of rolling fatigue
under tribologically adverse conditions [12].
This serves as a trustworthy sign of an approaching danger failure, especially when
there are just a few days or maybe a few weeks before a critical state necessitates
repair. Its capacity to identify loose fit or misalignment issues before major wear
occurs gives it importance for detecting early wear. The field has not yet used acoustic
emission technologies widely [11]. Recent studies have revealed that it can, however,
uniquely react to subsurface microstructure changes that, in the rolling mode (cracks),
as well as in the hard sliding mode (surface transformation and material transfer),
10.4 Condition-Based Upkeep 303

Fig. 10.4 Criteria for monitoring transitions from benign wear to active wear and their analysis
[10]

directly correspond to ensuing surface failure states. In the world of condition-based

maintenance, oil analysis is a common instrument. Many precise measurements and
analyses can be carried out with high accuracy, failure, especially when there are just
a few days or maybe a few weeks before a critical state necessitates repair.
Its capacity to identify loose fit or misalignment issues before major wear occurs
gives it importance for detecting early wear. Table 10.7 shows advances of tribology
and maintenance in twentieth century. Cause and effect must be distinguished clearly.
The advent of unanticipated occurrences exacerbates this and causes wear to start
showing. Pollution, whether it be solid or liquid, is one of the key causes.
The field has not yet used acoustic emission technologies widely. Recent studies
have revealed that it can, however, uniquely react to subsurface microstructure
changes that, in the rolling mode (cracks), as well as in the hard sliding mode (surface
transformation and material transfer), directly correspond to ensuing surface failure
states. In the world of condition-based maintenance, oil analysis is a common instru-
ment. Many precise measurements and analyses can be carried out with high accu-
racy, the danger of seizing increases when there is a quick change from passive to
304 10 Machine Failure and Its Prevention by Tribology

Table 10.7 Advances of tribology and maintenance in twentieth century [9]

Era Maintenance strategy Tribological developments
Pre-1950 Breakdown Hydrodynamic lubrication theory—1980s
Tilting pad thrust bearings—early 1900s
1950–1970 Preventive Elastohydrodynamic theory
Jost report—1966
ESDU design guides
1970–present Condition-based Tribology handbook—1973
Wear debris analysis (Ferrography)—1972
ASME design guide for rolling element bearings
ISO standards
1980–present Proactive Wear-resistant material developments
Rapid growth in computer-aided software systems

active wear, as in the case of sliding motion. Using offline remote analysis methods
in this situation to ascertain the kind and degree of wear will be just moderately
effective. If not, the fact that this method may be used to establish the type and extent
of wear helps to make a more accurate assessment of the level of criticality. Spec-
trometric analysis is one of the extremely efficient procedures for oil analysis. This
technique basically identifies the elements that make up the tiny (5 m) particles that
make up the solid pollutants that are gathered in an oil sample [11]. Similarly, you can
find how you can find you to assess the water presence of water in the oil in the same
manner in same way. Same So, by employing such methods, it is possible to stop the
dangerous contaminants’ violent abrasion-related byproducts. In general, Table 10.8
shows the applicability of each method for differentiating between proactive (before
wear) and reactive (wear). The potential appropriateness of techniques to satisfy the
requirements of each category for the three main failure scenarios.
Figure 10.5 illustrates graphically how each monitoring technique for identifying
and diagnosing wear-related issues can be employed [10]

Table 10.8 Effects of oxide scales on friction with lubrication at the interface [9]
Condition/parameter Aluminum Copper Chromium
Lubricated but not pre-oxidized
Average μ after 0.1 m sliding 0.45 0.18 0.20
Average μ after 50 m sliding 0.20 0.17 0.14
Lubricated and pre-oxidized
Oxide layer thicknesses (nm) 4.2 7.0 28.2
Average surface roughness (µm) 0.05 0.1 0.05
μ after 0.1 m sliding 0.12 0.14 0.11
μ after 50 m sliding 0.20 0.14 0.13
10.5 Analysis of Wear and Debris 305

Fig. 10.5 Principal failure mechanisms and likelihood [11]

10.5 Analysis of Wear and Debris

Using magnetic debris plugs (MDPs) fitted in the lubrication systems of the Royal
Air Force (also British Commonwealth—Canada) and Australian Air Force aircraft,
wear particle analysis was originally established in the UK over 50 years ago. The
invention of demography in the early 1970s was possibly the most important break-
through. Since then, the condition-monitoring community has come to accept the
specific descriptors employed at the time to identify and differentiate the clasts’
morphological features. Table 10.9 the descriptions of the typical wear mechanism
and mode descriptors available in the literature and the definitions in Table 10.9 have
very little in common. Barwell [13] illustrated the primary wear mechanisms and
types based on the motion (sliding) type or sliding/rolling) and the level of contact
(diffuse or Hertzian). The data summarized values obtained from measurements of
the pressure dependence of shear stress in Table 10.10 do not really complement the
wear descriptors mentioned in Table 10.9 in terms of the relationship between the
appearance of the worn surface and the appropriate type of wear particles [12]. Most
wear modes and mechanisms are based on observations and deductions related to
dry or boundary lubrication. Utilizing monitoring techniques during the early wear
regime is shown in Fig. 10.6.
Conditions at contact, which may account for the major variances. On the other
hand, ferrography descriptions are primarily based on containing an essentially
formal description of the appearance of particles as viewed using an optical or
scanning electron microscope and are based on samples acquired with a properly
lubricated contact.
306 10 Machine Failure and Its Prevention by Tribology

Table 10.9 Wear particle morphology—ferrography descriptors [12]

Ferrography descriptors Description
particle type
Rubbing Particles, 20-m chord dimension and approximately 1 m thick.
Results from flaking of particles in the shear-mixed layer
Cutting Swarf-like chips of fine wire coils caused by abrasive “cutting tool”
action laminar thin, bright, free metal particles, typically 1 m thick,
20–50 m chord width, with holes in the surface and uneven edge
profile. Emanates from mainly gear/rolling element bearing wear
associated with fatigue action
Fatigue Chunky, several micrometers thick, 20–50 m width
Spheres Typically ferrous, 1–50 m diameter, generated from microcracks
arising mainly from rolling contact conditions
Severe sliding Large, 50 m chord width, several micrometers thick. Surface heavily
striated with long, straight edges

Table 10.10 Values obtained

Material τ o (kgf/mm2 ) μ
from measurements of the
pressure dependence of shear Aluminum 3.00 0.043
stress [13] Beryllium 0.45 0.250
Chromium 5.00 0.240
Copper 1.00 0.110
Lead 0.90 0.014
Platinum 9.50 0.100
Silver 6.50 0.090
Tin 1.25 0.012
Vanadium 1.80 0.250
Zinc 8.00 0.020

Many advancements have been made since the ferrography approach was initially
introduced, including the first-ever international conference solely devoted to this
method, which took place in Swansea in 1982. The development of better image
processing techniques and the establishment of extensive databases have both bene-
fited substantially from the growth of computer technology over the past 20 years.
The ability to use portable computers to deploy a lot of this technology makes them
more useful in the field, especially when coupled with the capacity to download data
via satellite to a remote site central foundation [12].
10.5 Analysis of Wear and Debris 307

Fig. 10.6 Using monitoring methods during the early wear regime [10]
308 10 Machine Failure and Its Prevention by Tribology

10.5.1 Wear Some Experimental Findings and Their

Application: Wear Modes and Related Debris
Attributes

A systematic testing program is started specifically with the intention of creating a

database of wear particles produced under known conditions in a controlled labora-
tory environment. This is done in order to establish more fundamental and distinct
relationships between different wear conditions and their associated wear particles.
The initiative was started in response to the demand for technicians at the Air Force
Early Failure Detection Center (EFDC) to have better tools for identifying predicted
bearing and gear failures in engines and transmissions. Evaluation of the morpholog-
ical characteristics of the fragments deposited on the substrate moved from the MDP
is one of the analyses that must be done [14]. The particles are examined under an
optical microscope, and a sample that is representative of the population of trapped
particles is then assessed, in particular, to determine the condition’s kind and severity
and to assess it. For many years, morphological analysis has been conducted manu-
ally using applicable approaches. It is determined to develop a new set of automated
analytical techniques that would also be more practical and processing-effective by
making use of the possibilities offered by contemporary image analysis technologies.
At the same time, it is realized that wearables require a classification system that is
clearer and easier to verify. Creating a database of wear particles produced under
established operating parameters, such as the type of contact and movement, load,
speed, and lubrication regime, is the initial stage in this procedure.
A post-test study of the surfaces revealed the kind and degree of wear. To under-
stand the behavior of the lubricant, friction measurements are made during testing.
The following test apparatus is used:
• Pin-on-disk; four-ball machine (rolling and sliding contact);
• Machines for testing gears
• Rolling bearings for fatigue.
Table 10.11 lists the specifications of the testing machines for the first three
machines. Table 10.12 compares the testing machine’s test circumstances to those
that are usual for machines used by on ships and aircraft [15].

10.5.2 Summary of Test Results

Figure 10.7 result set includes (a) an analysis of wear markings following testing and
(b) related debris produced throughout a four-ball machine skid test. Two synthetic
oils and SAE 10 (A) grease with a mineral base are among the lubricants tested. Mobil
Jet (B) and ETO25, respectively, are lubricants (C). In order to compare synthetic
lubricant testing results with mineral oil, the results are plotted on a wear chart.
Continuous friction data from the tests revealed that there is no lubrication failure
10.5 Analysis of Wear and Debris 309

Table 10.11 Qualities of the test machine [14]

Test conditions Test machine
Four-ball machine Pin-on-disk machine IAE gear machine
Motion
Sliding + +
Rolling +
Sliding/rolling +
Geometry
Point + + +
Line +
Conformal +
Nominal pressure (MN/m2 ) 150–600 700–2100 350–1400
Sliding velocity (m/s) 0.25–1 0.1–10 2–12
Material test
534A99 + + +
665M17 +
080M40 +
Lubricants tested SAE10 + +
Mobile Jet II + + +
ETO 25 + +

Table 10.12 Variety of operating circumstances for use on ships and in the air [10]
Four-ball 150–600 0.25–1.00 m/s Ship main reduction and auxiliaries.
machine Gearboxes, pump compressor bearings,
helicopter transmission output module and
blade bearing
Pin-on-disk 700–2100 0.1–10 m/s Shaft support bearings, ship service turbine
machine gearbox, engineaccessory gearbox, helicopter
mast bearing, transmission input module and
engine nose box
Gear test 350–1400 1000–6000 rpm Ship propulsion, helicopter main gearbox,
machine (2–12 m/s) helicopter IGB and tail rotor gearbox

with a matching slight wear mark prior to seizing (load 45 kg), and only fine (soft)
wear particles are generated [16]. Due to the partial breakdown of the lubricating
coating, which is accompanied by a commensurate rise in the friction coefficient from
0.1 to 0.3, the shift from low to high wear occurred during the first 5 s of operation at
50 kg. A decrease in the friction coefficient afterward indicates a partial restoration of
the film’s integrity in 40 s. Although the sticking period is shorter and the wear signs
and fragments are greater and stronger at 56 kg, the performance is identical. There
are no discernible changes between the leftovers of mineral and synthetic oils in terms
310 10 Machine Failure and Its Prevention by Tribology

of particle size or surface properties. The higher debris concentration and particle
size examined at higher loads, however, clearly indicated a difference in the loads at
which initial seizing occurred. It’s important to remember that the chord dimensions
determined for each individual particle type through these experiments are typically
bigger than those typically found when utilizing the thermography method. This is
due to the fact that during laboratory testing, particles are removed in situ and just
a small amount of oil (7 ml) is left in the cup following the completion of each test.
The deposition of smaller particles occurs when oil samples are transferred over
the substrate (for instance, in analytical ferrography), typically from a big sump or
directly from an engine or transmission lubrication system [16].
To assess the impact of various working circumstances and material choices,
numerous tests of this type have been conducted utilizing the machinery at hand. At
least 100 particles from each category are present in the database at the conclusion
of the test program. The outcomes program is described in greater detail elsewhere.

10.5.3 Classification and Use of Wear Particles

10.5.3.1 Monitoring Offline

A categorization technique has been devised in order to fully utilize the morpho-
logical data acquired from laboratory testing as a crucial component of the moni-
toring system. The measured friction can be influenced by the counterface surface,
supporting the claim that friction is a tribosystem feature rather than a property of
the materials in contact a sizable database of wear particles is amassed; the major
findings are shown in Table 10.13.
Thus, the analyst can contrast the particle’s “live” characteristics with those
recorded in the database. The Bayesian belief system approach has been popular
among the various AI methodologies because it assimilates complex relationships
between input and output using only a small amount of mathematics [17]. The
following are the primary input variables for the network:
• Shape might be regular,
• uneven, curved, or extended.
• Surface and edges can be rough or smooth.
• Size can be little (less than 100 m), medium (between 100 and 300 m), or huge
(above 300 m).
• Cracks, striation, holes
• color (light, dark, or hot) are among the other characteristics that can be present.
According to the aforementioned standards, each particle in the database is cate-
gorized and allocated to one of four distinct particle types: light slide, heavy slip,
wear from fatigue, or wear from cutting. The results are returned in terms of that
specific probability type after all input combinations’ probabilities have been calcu-
lated (expressed as a percentage). It is significant to note that the above-mentioned
10.5 Analysis of Wear and Debris 311

Fig. 10.7 Results of the four-ball sliding tests: a wear scar diameter vs applied stress; b represen-
tative particles for medium, heavy, and transitional wear—synthetic lubricant B [10]

particle sizes are different from those that define the ferrography approach. Due to
the fact that the final particles are often collected from an oil sample obtained from
the lubricating system, this is true. The particle size range is substantially wider
for MDPs because they trap debris in place. A program that created a CD-ROM
(SYCLOPS) is created in order to transform analytical application methods into
condition-monitoring programs for use in RAF Early Failure Protection Centers [17].
The idea is represented in a graphical user interface (GUI), which creates a network
as a system of categorization. The optimal input format has been determined to be
312 10 Machine Failure and Its Prevention by Tribology

Table 10.13 Metal versus

Steel, stainless 304 Copper 0.33 4
non-metal static friction
coefficients in dry or Tin Iron 0.55 3
lubricated situations [16] Tin 0.74 3
Titanium Aluminum 0.54 3
Titanium 0.55 3
Tungsten Copper 0.41 3
Iron 0.47 3
Tungsten 0.51 3
Zinc Cast iron 0.85 1
Copper 0.56 3
Iron 0.55 3
Zinc 0.75 3
Zirconium Zirconium 0.63 3

stylized images. In order to identify the particle type based on his own assessment of
what he sees when he looks at a live image, the analyst is first given eight alternative
sets of attributes that are displayed on a monitor screen. A list of the particles closest
to the image is shown along with the likelihood that they will match in each scenario
based on the eight qualities that are chosen. There are more “button” tools available
in addition to the classifier: The textbook has sections for “diagnostics,” “glossary,”
“help,” and a gallery with pictures and descriptions of every particle included in the
database. The generic version is available in many variations supplied for users of
certain pieces of equipment, such as various aircraft kinds [18].

10.5.3.2 Online Monitoring

It has long been standard practice to use vibration sensors to check equipment health
online. Although they have been around for a while, especially in military aircraft,
devices for assessing the state of wear based on monitoring the quantity and size of
trapped wear products have not yet found widespread use in the industry [18]. Using
online trending techniques to assist in anticipating remaining usable life in cases
where depreciation due to depreciation is plainly observable over time. Equipment
that is broken is probably a wise investment. With optical control technology, it is
possible to quickly determine the size and shape of wear particles. It is currently
being developed by the organization known as “LaserNet Fines” (LNF). In order to
make it available for industrial application, it is developed by the US Navy Research
Laboratory in Washington, D.C., in collaboration with the Office of Naval Research
and a private company. As part of its dedication to preserving the excellence of its
top-tier surface fleet, the US Navy is strongly dedicated to putting into place a strict
and proactive ship maintenance program. Automated morphological characteriza-
tion of debris as it travels through the transmission and engine lubrication system is
10.5 Analysis of Wear and Debris 313

one of the key objectives. By evaluating the distribution of sizes, shape traits, and
rate of production of wear particles, it specifically identifies the kind, degree, and
pace of development of mechanical damage. Pulsed laser diode illumination is used
by the LNF device to illuminate a liquid column that is flowing. A CCD camera
enlarges, collects, and displays the transmitted image (Charge Coupled Device).
During computer processing of the image, a particle size distribution in the range
of 5 to > 100 m is discovered. An artificial neural network (ANN) is used to detect
the wear mode for particles larger than 20 m by obtaining shape information. INS
Debris from carefully supervised laboratory tests of the kind described in the previous
section are used to train the expert system. Both online and offline bottle sampling
techniques can be employed in the field with the equipment [16]. The necessity for
automated monitoring systems will increase as machine performance and availability
requirements increase, especially for those that may be utilized in conjunction with a
preventative maintenance plan to estimate the equipment’s remaining life. The main-
tenance tribologist is confronted with his greatest challenge yet in this complicated
and uncertain environment. The rewarding prospect of making a significant contri-
bution to ensuring that the accurate diagnosis of failed equipment is combined with
a trustworthy prediction of the outcome, and consequently, a realistic assessment of
the prospects for continued operation safely and economically for as long as possible
is also presented by it [19].

10.5.3.3 Estimation of Remaining Useful Life and Weighting of Costs

10.5.3.4 Still Relevant Life Predictions

For a long time, reliability-based failure rate estimates and their application to
remaining useful life predictions have been used. Examining state-based mainte-
nance activities in the steel mill environment, particularly in the finishing stages of
the strip mill, has produced one such contribution to study in this field. The standard
method of gathering the raw vibration analysis velocity measurements is used to
construct a computerized statistical analysis approach (Weibull) [18]. The capacity
to continuously update the residual life projection based on recent monitoring data
is effectively integrated with historical data on previous mill failures. Estimating the
likelihood that a problem will occur before the upcoming downtime period (usually
every thirty days). Critical units, bearings, etc. are tested based on this when the prob-
ability of failure is thought to be less than the recommended value. will keep repairing.
Less urgent fixes will wait until the plant’s refurbishment (carried out annually or
every six months). though it appears The University of Salford is actively pursuing a
completely unrelated area of study. It is stated that automated wear analysis methods
are ideally suited to use the same methodology based on the findings of these investi-
gations. Debris rate monitoring can give early warnings of changes happening in wear
conditions, just like with simple speed measurements with vibration sensors. Each
time, the raw data can be further processed to deliver crucial diagnostic information
based partly on reliability data and partly on knowledge of tribology, information
314 10 Machine Failure and Its Prevention by Tribology

regarding the nature and location of the failure, from which realistic predictions and
residual life estimates can be produced. In theory, the skills and resources required to
accomplish the major objectives are already available. To make it operational, auto-
mated processes still need to be introduced. In order to establish trustworthy methods
for estimating the remaining service life, combined or complicated monitoring tech-
niques are continuously being developed and tested. For many years, service workers
and others have sought to maximize the available pooled monitoring resources [19].
This led to a number of scientific research as a result, including work done in the
UK with financial assistance from the universities of Southampton and Swansea,
respectively, Office of Naval Research (ONR). Swansea’s contribution is connected
to further acoustic emission sensor applications while Southampton’s work concen-
trated on the function of electrostatic sensors. These particular approaches have also
been contrasted with others, like vibration analysis and wear analysis. It has been
investigated if it is possible to predict predicted surface damage before it happens,
with a focus on contact fatigue behavior. There is evidence of the potential to detect
major changes occurring in the subsurface contact region according to the findings
of intense laboratory testing on friction and wear. There are great expectations due
to future advancements in measurement and analysis methods and a thorough justi-
fication of the phenomena believes this will have significant effects on how real-time
sensor technology develops in the future [20].

10.5.3.5 Considering the Costs and Benefits

Many case studies are being undertaken as part of a variety of condition-monitoring

activities to show the financial advantages specifically tied to cost avoidance prac-
tices. Examples are provided that touch on tribological problems, specifically as they
apply to applications. Although a wide range of maintenance solutions are used, a
rigorous analysis of maintenance procedures in a pharmaceutical industry context
has found that determining a trustworthy economic benefit is extremely challenging.
The variety of machine types, operating environments, and standards for product
quality makes it more difficult to provide the appropriate tools and set up inspections
and controls. Yet, a workable model has been created that considers all the various,
perhaps conflicting, factors to assess the advantages (or other benefits) of putting
into practice a condition-based maintenance plan. It should come as no surprise that
these are the functions where the indirect expenses related to lost production time
and equipment replacement take priority. anxiety. Benefits in one sector cannot be
determined using a straightforward method. Although partially effective and showing
limited promise for a general model that might be more broadly implemented across
the industry as a whole, attempts to determine whether the same philosophy and
methodology may be applied elsewhere, in this example in a specific steel industry
sector [20]. Critical rolling bearings are one use of monitoring technology that can
have a large positive impact from a tribological standpoint. Thankfully, this is a place
where there are excellent chances for timely and accurate data to stop catastrophic
failures. Yet, one of the most important remaining difficulties is to reliably reduce the
10.7 Artificial Intelligence Perspective for Tribology 315

incidence of premature termination of service for their replacement, when it will be

revealed later that, for example, the bearing might stay in operation for much longer.
Due to decreased production and resulting higher components and labor costs, this
issue continues to play a key role in rising maintenance costs [21].

10.6 Closure

The primary way the tribologist contributes to the efficient maintenance of heavily
used, mission-critical equipment is through the accurate transfer of his knowledge of
the interactions that lead to lubrication system failure at the points of contact of the
interacting surfaces and the practical ramifications of ensuing wear. It has been estab-
lished over a long period of time that the model may be used effectively to analyze
the causes and effects of surface failures while they are occurring. Similar to this,
improvements in cleaning, processing, and manufacturing methods have been made
as a result of developments in our understanding of how solids and lubricants work.
Prolonged oil change intervals and improved performance have resulted in a dramatic
improvement in their attributes and an extension of life expectancy. Improvements
in design methodologies along with parallel advancements in the manufacture and
assembly of tribological components, particularly in bearing technology, have been
profitably invested with a significant portion of what has been gained from basic and
applied research through the collaborative efforts of academia and industry. In order
to address the long-standing issue of component failures that occur during operation,
which are mostly related to surface failures, notably in terms of wear phenomena,
condition-based preventative maintenance solutions have introduced new obstacles.
Tribologists need to come closer to the actual issues that technologists are worried
about in order to tackle these issues. Predicting the remaining useful life of defective
equipment is the most important of these [21].

10.7 Artificial Intelligence Perspective for Tribology

10.7.1 Introduction

More recently, progress has been made in leveraging artificial intelligence and deep
learning (ML) methods to enhance the tribological performance of materials (AI). AI
is typically used to create and produce intelligent agents, or anything that performs
optimally in any circumstance. For modeling and comprehending complex datasets,
ML refers to a broad range of data-driven techniques and computational tools. These
techniques can be used to automatically find patterns in datasets, resulting in models
that can be used to forecast future data or other interesting findings under unknown
circumstances. Machine learning techniques may often be split into two categories:
316 10 Machine Failure and Its Prevention by Tribology

supervised learning and unsupervised learning, as shown in Fig. 10.8 The objective of
predictive or supervised learning approaches is learning how to convert training data’s
input vectors into equivalent output vectors (target data). Controlled approaches can
be categorized as classification or regression [22].
Methods depending on the type of target data. The issue is referred to as classi-
fication or pattern recognition when the output is a categorical or nominal variable
from a finite number of discrete categories (e.g., surface treatment kind, oil grade,
lubricant ingredient, etc.). In contrast, the issue is referred to as a regression when
the outcome consists of one or more real-valued continuous variables (such as coef-
ficient of friction, film thickness, temperature rise, etc.). Descriptive or unsupervised
learning is the name of the second sort of machine learning methodology. In this
instance, no corresponding output vectors are given; only inputs are. The objective
is to identify important. Clustering is the process of identifying patterns and groups
of related features in a data collection, estimating the density of data in an input
space, or condensing a multidimensional data space to two or three dimensions for
visualization. (Reduction in size). Unsupervised learning has challenges that are not
as clearly defined as supervised learning because no further information or obvious
error rates are provided concerning the patterns that need to be "found" in the dataset
[23]. Artificial neural networks are a widely used technique for machines to learn
(ANNs). These networks can "learn" in the same way that people do since they are
based on the network of neurons in the human brain. An ANN is made up of a
network of model neurons that may mimic the behavior of biological neurons using
algorithms. Each model neuron in this situation has a threshold. The neurons in the
model will take in a variety of inputs, sum them up, and deliver an output of 1 if the
sum is greater than a predetermined threshold. If not, the result is 0. By adjusting
each model neuron’s threshold as a new example is presented, machines can learn

Fig. 10.8 General classification scheme for methods and algorithms used in machine learning [24]
10.7 Artificial Intelligence Perspective for Tribology 317

Fig. 10.9 Application of artificial neural networks to establish a link between the properties of a
material and the testing environment. current as of [25]

until the thresholds reach a certain point when there is little change. Fuzzy systems
are a different class of models utilized in AI besides ANNs. These systems’ use of
inference is more akin to how people think because it is built on fuzzy logic. They
differ from Boolean true/false results in that they display the truth value in the range
of 0–1. Many tests of materials are typically conducted to identify the complicated
tribological qualities in the discipline of tribology.
For further optimization, an ANN Fig. 10.9 developed using this data set may be
employed. This lecture aims to demonstrate some of the most recent developments
in AI application, including but not limited to ANNs. Additionally, we want to
address contemporary issues and identify potential future research areas in the area
of tribology-related issues [24].

10.7.2 Application Fields in Tribology

The employment of AI and ML methodologies already addresses a variety of

tribology topics, as demonstrated in the examples below, including condition moni-
toring in the development of material formulations, lubricant formulations, and film
thickness prediction.

10.7.2.1 Monitoring of Conditions Online

In 1998, Umeda et al. [25] used microscopy data from ball sliding experiments
on a lubricated disk to train a multilayer and self-organizing ANN performance
318 10 Machine Failure and Its Prevention by Tribology

map to classify wear particles using various descriptors (width, length, projection
area, perimeter, representative diameter, elongation, reflectivity, etc.). The multilayer
ANN accurately predicted the link between the experimental circumstances and the
acquired particle properties after being trained on representative data. Without any
supervised training data, it has been discovered that a self-organizing ANN feature
map can categorize data. So, it is possible to identify the distinctive characteristics
of particles; on the other hand, the authors advised using these techniques for condi-
tion monitoring and obtaining (partially unknown) slip conditions from automated
particle analysis. Soon after, Subramanyam and Sujata [26] used ANNs to detect
and diagnose local defects in ball bearings using two different methods: a multilayer
feed-forward neural network trained using the Supervised Error Back Propagation
(EBP) method and a neural network based on Unsupervised Adaptive Resonance
Theory-2 (ART2). Using vibration acceleration signals from a rolling bearing test
bench under varied load and speed circumstances, these networks are trained. As a
result, the EBP and ART2 models proved to be effective at identifying a bad bearing
from a good one (100 times faster), and ART2 has 100% dependability. Also, with
a success rate of over 95%, the EBP network can categorize ball bearings according
to different circumstances, such as a ball or raceway defect [25].
König et al. [2] described a more contemporary ANN-based method for observing
and categorizing the multidimensional wear behavior of lubricated plain bearings.
An autoencoder is utilized to find anomalies, as illustrated in Fig. 10.10. In addi-
tion, a convolutional neural network is trained to classify burn-in situations, insuffi-
cient lubrication, and oil particle contamination using continuous wavelet transform
acoustic emission signals. The contaminated grease is found with an accuracy and
sensitivity of 97 and 100%, respectively, but the first and second are occasionally
off.

10.7.2.2 The Material Composition’s Design

In addition, several studies have employed machine learning and artificial intelligence
methodologies to anticipate and optimize the tribological behavior of various mate-
rials and operating conditions, taking into account varied applications. For instance,
Alambeigi et al. [28] studied the precision of predictive AI models by contrasting
them with experimental findings from testing sintered steels’ dry sliding contact.
Powder metallurgy, which is well-known to have many industrial uses in engine
parts and transmission systems with difficulties related to friction and wear, is used
to create the steel for this investigation. This study made use of three different kinds
of predictive models. The first method made use of ANN. ANNs have a consider-
able edge in terms of their capacity for learning and processing. The fundamental
characteristic of wear testing of these steel materials is nonlinear functions. The
“fuzzy system,” specifically the fuzzy C-means clustering technique, is the second
model that is used (FCM). Fuzzy systems are also well suited for systems with many
time-dependent parameters and decision-making using nonlinear functions. The third
model is based on an adaptive neurofuzzy inference system (ANFIS), a fuzzy neural
10.7 Artificial Intelligence Perspective for Tribology 319

Fig. 10.10 Basic framework of the machine learning approach is presented in. with permission,
modified, and approved [27]

network that combines the advantages of both ANNs and traditional fuzzy networks.
The input parameters cooling rate, applied weights, sliding distance, and powder
type have all been evaluated on these items. Hence, three different cooling rates
and three different loads were used during the experiments. All three approaches
in this investigation showed great accuracy in predicting the behavior of the test
datasets of wear tests, the ANN model performed better, producing an R2 value over
0.9911 and an RMS error of 3.98104. In addition to steel, composite materials have
been the focus of study using AI and ML techniques. To explore the tribological
behavior of various brake and clutch materials, Senatore et al. [29] created an EBP
model, which clarified the effects of various materials, load circumstances, slip, and
acceleration. In order to maximize the accuracy of the prediction, three-layer ANNs
are developed using an evolutionary genetic technique, and the database is obtained
via experimental experiments using disk output. Sensitivity analysis, for instance,
demonstrates that a unique contribution to the coefficient of friction exists in the
experiments carried out made by the sliding speed. The behavior within the data is
confirmed to be well predicted, although extrapolation just serves as a preliminary
suggestion of future study areas. In order to forecast the tribological characteristics
of polyphenylene sulfide (PPS) reinforced at various scales, Busse and Schlarb [30]
designed an ANN architecture with Levenberg-Marquardt (LM) learning algorithm
and regularized mean squared error (MSEREG) as a performance function. This
method produced predictions for the friction coefficient (FFR) and wear rate that are
both six times more accurate than those made by a traditional ANN when the best
neurosurgery procedure is used (OBS) [30]. Moreover, both friction and wear had
anticipated error rates that were ten times lower than standard deviations from trun-
nions of the disk database of tribological tests. Using material composition, sliding
320 10 Machine Failure and Its Prevention by Tribology

speed, and contact pressure as input factors, both tribological properties could be
accurately predicted. Also, it has been shown that the predictions of friction and
wear are only slightly enhanced by the addition of additional input factors, such as
tensile or compression qualities.

10.7.2.3 Lubricants

In addition to material composition, lubricant formulations can be created using AI/

ML techniques. The ANN technique is employed by Bhaumik et al. [31] to develop
a lubricant with improved performance and characteristics. The properties are opti-
mized using a genetic algorithm, and the ANN serves as the genetic algorithm’s
objective function. Their objective is to combine numerous different vegetable oils,
such as castor, coconut, and palm, employing a variety of friction modifiers, been
out by Bhaumik et al. [32], in which an ANN and genetic algorithm are employed
to generate and optimize a castor oil lubricant with graphite, graphene, multilayer
carbon nanotubes, and zinc oxide nanoparticles. Tribological information for castor
oil with varied amounts of these modifiers is gathered using pin-on-disk experiments.
Concentration, load, and speed served as the input parameters for the ANN, and fric-
tion coefficient served as the output parameter. The total friction modifier concen-
tration for the lubricants created via ANN is 2 weight percent, distributed over 0.66
weight percent each of graphite, carbon nanotubes, and zinc oxide nanoparticles.
The amount of graphene in the created lubricant has been found to have little impact,
hence none is present in it. Then, it is confirmed experimentally that comparing the
new lubricant to the majority of standard mineral oils, friction is reduced by roughly
50%. The application of ANNs to create lubricants with much-reduced friction coef-
ficients has also been studied by other researchers. As shown in Fig. 10.11, for usage
in diesel engines, the optimization of vegetable oil blends (sunflower and rapeseed)
with diesel fuel is taken into account. In comparison to a mixture of 0% sunflower
oil and 20% rapeseed oil, ANN projected a lower coefficient of friction for a mixture
of 4% sunflower oil and 0% rapeseed oil by weight. Also, ANN projected that a
mixture of 6.5% sunflower oil and 0% rapeseed oil by weight would have a lower
coefficient of friction than a mixture of 0% sunflower oil and 0% rapeseed oil. Both
forecasts came true good agreement regarding the outcomes of the trial [33].

10.7.2.4 The Creation of Liquid Films and Lubrication

Moreover, friction properties in interaction with thermohydrodynamic (THD) and

thermoelastohydrodynamic (TEHD) lubricants can be predicted using AI/ML algo-
rithms. For instance, Moder et al. [34] trained machine learning models to forecast
lubrication conditions using high-speed torque sensor data signals from a simple
bearing test bench (Fig. 10.12).
The major findings demonstrated that shallow and deep neural networks both func-
tion well and achieve high accuracy. Moreover, logistic regression demonstrated a
10.7 Artificial Intelligence Perspective for Tribology 321

Fig. 10.11 Construction of an artificial neural network (ANN) and the coefficient of friction for
various vegetable oil concentrations are both from [33] (CC BY 4.0)

Fig. 10.12 Method for classifying lubrication modes [34] [open access]

degree of accuracy comparable to that of neural networks. The potential application

of the suggested methodology to more studies on the use of ML in other tribolog-
ical studies is also emphasized. Using HL numerical simulation data, Senatore and
Ciortan [35] developed artificial neural networks with higher predicting performance
to optimize piston liner friction performance. To quickly forecast the THL lubricant
performance of a plain bearing, Wang and Tsai [36] suggested a surrogate model
322 10 Machine Failure and Its Prevention by Tribology

utilizing ANN. The metamodel is developed with the intention of reducing compu-
tation in traditional THL analysis without sacrificing solution correctness. Numerical
simulation is performed to obtain the data set that is used to train and test the ANN.
The outcomes demonstrated that it is possible to anticipate with sufficient accuracy
using the related outcomes. Also, it has been demonstrated that the sample size and
learning method have a substantial impact on prediction accuracy. Gorassoin the
operational functions are an artificial neural network trained on a dataset generated
from numerical solutions of the Reynolds equation and computational fluid dynamics
(CFD) simulations, and Wang [37] suggested an optimization procedure for plain
bearings. An artificial bee colony method and an unsorted genetic algorithm are the
optimization techniques used for the calculations. The application of ANNs for the
prediction of the friction coefficient in point contacts of the EHL is studied by Otero
et al. [38]. Friction data from tribological experiments conducted for various lubri-
cants and operating circumstances are fed into the model. The ability of properly
trained networks to generate excellent predictions with a high degree of correlation
with the appropriate experimental data has been demonstrated. However, it high-
lights the need for extra caution when utilizing ANN models as predictive models
because they come with the loss of important information or interesting interme-
diate findings (e.g., complex lubrication rheology at high pressure, temperature, and
shear). speed circumstances) connected to the physical phenomena that take place
in the heating element’s connections. However, employing mixed TEHL simula-
tion data, the supervised machine learning approach may be expanded for a variety
of material and lubricant characteristics, contact geometries, and operating situa-
tions. This will make it possible to quickly and effectively estimate the lubricant
performance of various types of bearings and other lubricated systems (e.g., film
thickness, friction, temperature rise, leakage, etc.). For instance, Marian et al. [39]
used an optimal prediction metamodel (MOP). See Fig. 10.13 to forecast how surface
microtextures would affect the frictional behavior of EHL point contacts. As a result,
the database was developed by numerical simulation that included mixed lubrication,
which caused variations in the geometrical properties of the microtexture, such as
the depth and diameter of the holes. After eliminating the non-significant variables,
other metamodels such as polynomial regression, moving least squares, and kriging
are trained. The best strategy is then automatically chosen using a prediction coef-
ficient and subjected to genetic algorithm optimization. This makes it possible to
define surface textures that are customized and load-dependent.
Moreover, Boidi et al. [40] predicted the coefficient of friction in lubricated
contacts with textured and porous surfaces using the radial basis function (RBF)
technique. Several catch speeds, slip-to-roll ratios, and friction data from tribolog-
ical testing on surfaces with various properties are used to train the RBF model.
The major findings demonstrate that an overall excellent correlation between the
experimental data and a stable multiquadratic radial basis function is achieved [41].
It is also mentioned that the suggested methodology may be used to train more
reliable machine learning models for forecasting the tribological performance of
textured and structured surfaces using data from prior experiments. In this approach,
design plans can be produced using unsupervised machine learning techniques and
10.8 Future Perspectives for Research and Final Thoughts 323

Fig. 10.13 Framework of the optimal prediction metamode is applied by [39] to forecast the
tribological behavior of microtextured EGL contacts

choose the best performance models. Additionally, it is anticipated that as more data
becomes available, the dependability and accuracy of these machine learning-based
technologies will continue to increase. Unsupervised machine learning techniques
can be used to develop reliable segmentation procedures for considering the exam-
ination of the surface topography concerned feature of the actual surface relief. In
this context, tribological surface features such as plateaus, asperities, honing grooves,
textures, pores, wear zones, and others can be identified and separated using clus-
tering methods. Following the identification and grouping of surface features, several
characterization techniques and statistical analyses can be individually applied to
each cluster. Moreover, the adoption of supervised machine learning algorithms can
improve surface topography analysis. In order to create a classification, machine
learning algorithms are trained utilizing post-processing data from different surfaces,
such as roughness characteristics, feature statistics. In order to identify the precise
surface attributes that have the most effects on tribological performance, these
trained models are made to evaluate surface treatment operations or compare them
to tribological investigations.

10.8 Future Perspectives for Research and Final Thoughts

With limited resources and time, applying AI and machine learning has thus far
proven to be a potent and effective method of predicting tribological and material
performance. In order to simulate human intellect at a more subliminal or opaque
level, these techniques mix statistics and machine learning. ANNs can be used to solve
324 10 Machine Failure and Its Prevention by Tribology

both fundamental and practical issues that are extremely complicated and nonlinear
they are very fascinating for numerous tribological fields [39]. In addition to this,
there are additional strategies, which tribologists should of course take into consid-
eration. From this angle, we wanted to showcase a number of successful cases that
show the possibility of additional study and future applications. Future applications
of AI in tribology include modifying base oils’ viscosity and friction using additives
like nanoparticles to forecast the outcomes of experiments performed under various
material compositions and test settings. We postulate that the AI and ML approaches
will be helpful for forecasting nanoparticle size (x, y, and z dimensions), in addi-
tion to predicting the ideal concentration, to successfully reduce friction and wear.
Moreover, these methods can be utilized to estimate the likelihood of the production
of trilayers, which is highly dependent on the intricate interactions between various
operating circumstances. In the case of stochastic surface roughness or even deter-
ministic textured surfaces, artificial intelligence and machine learning approaches
might be helpful to support the characterization and categorization of the involved
surface topography. Consequently, the issue of the surface topography altering during
running-in or wear can also be resolved. From a more practical perspective, it is also
anticipated that AI and ML techniques will be actively used in the design of dry or
lubricated components. Predicting the ideal oil film thickness in machine compo-
nents based on operating circumstances like sliding speed or It is likely possible to
forecast load, surface topography, and texture, which are tailored for particular condi-
tions leading to a given oil film thickness, utilizing artificial intelligence algorithms
and machine learning. But, it will also comprise actual operational data from genuine
applications, such as machine or engine parts, such as simulation or experimental
work on a research or laboratory scale. This will make it possible to incorporate
ML/AI controllers directly into various applications, such as rolling/sliding bearings,
gears, brakes, clutches, or piston assemblies, and utilize them to forecast performance
and adapt to sporadic and challenging operating conditions [35] (Fig. 10.14).
The contemporary big data movement will not ignore tribology, and many tribo-
logical issues have already been successfully solved using AI techniques. The
handling of uncertainties in experimental and field datasets resulting from varia-
tions in sensor and system setups, the intrinsic multiscale and statistical nature of
tribology, and partial scatter in target parameters, however, remains one of the largest
challenges. These data are not precise, but they correspond to time-dependent loss
variables that are quite specific, which frequently causes problems when switching to
other circumstances or even tribosystems [34]. To assure applicability and reliability
in handling tribological problems, more basic study is therefore required before new
artificial intelligence techniques may be applied. Particularly important is the expert
opinion on the subject. Tribology is a multidisciplinary field that presents intense
cross-disciplinary collaboration between the fields of physics, chemistry, materials
science, mechanical engineering, and computer science representing both a fantastic
potential and a formidable problem. As a result, we want to inspire tribologists every-
where to be open to new ideas, methodologies, and cross-disciplinary cooperation.
This can offer a deeper comprehension of the very important discipline of tribology
10.8 Future Perspectives for Research and Final Thoughts 325

Fig. 10.14 Diagram showing the main steps and variables used to train ML/AI models to predict
lubricant performance based on simulation and experiment datasets [34] [open access]

in conjunction with artificial intelligence and machine learning algorithms, ushering

in a new, environmentally friendly, and energy-efficient era [41].

Problems

1. Describe some machine failures and how tribology might prevent them.
2. Explain a few current developments brought about by the use of artificial
intelligence.
3. Depict some machine learning techniques that have drawn interest from the
tribological community because of their capacity to forecast factors that are
significant to tribology.
4. Why it is important to show and discuss successful case studies utilizing these
techniques in a tribological setting that amply illustrates their capacity to precisely
and effectively forecast these tribological traits.
5. Elaborate how the design of lubricated systems and the characterization of the
ensuing surface topography connect to the application of machine learning in
tribology.
326 10 Machine Failure and Its Prevention by Tribology

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Subject Index

A Boundary lubrication, v, 12, 145, 217, 218,

Abrasive particles, 30, 43, 44, 50, 65, 116, 220, 223–225, 229
118, 195, 297 Brakes, 65, 297
Abrasive wear, 43, 44, 53, 115–117, 119, Brittle fracture, vi, 130, 131, 185, 253
120, 141, 145 Brittle materials, 29, 36, 47
Acetal, 214 Bulk hardness, 114, 118
Acoustic emission, 318
Activation energy, 21
Additives, v, 146, 188, 192, 217, 218, 220, C
224, 226, 230 Cams, 228
Adhesion, 9, 30, 34, 38, 40, 96, 122, 155, Ceramics, vii, 21, 40, 86–88, 95, 130, 131,
161–163, 165–167, 178–180, 182, 161, 181, 184, 188, 191, 192, 229
187, 188, 192, 193, 197, 198, 209, Chemical reaction, 36, 40, 223, 271
214, 217, 223, 252, 287 Chemical structure, 250
Adhesive forces, 34, 194 Chemical wear, 36
Adhesive strength, 162, 164–167, 169 Chemisorption, 217
Adhesive wear, 39, 41, 65, 297 Classification, v, vii, 219, 316
Alloys, 74, 82, 91, 94, 110, 116, 124, 136, Cobalt, 91, 96, 118, 120, 275
137, 146, 161, 182, 213, 229, 251, Cohesion, 9
252, 280, 285, 297 Compliant, 65, 297
Alumina, 90, 119, 129, 130, 183, 185, 191, Composite, 20, 110, 116, 117, 143, 151
280 Corrosion, 51, 52, 74, 156, 157, 220, 224
Amplitude parameters, 249 Corrosive wear, 38, 52, 53
Angle of attack, 195 Crack, 66, 91, 141, 164, 170
Anti-wear additives, 224 Creep, 192
Artificial neural networks, 316 Cutting tools, 252
Asperities, 77, 88, 110, 145, 177–179, 183,
184, 192, 198, 200, 201, 213, 217,
218, 223–225, 227, 244, 252 D
Damage, 12, 29, 44, 52, 122, 123, 139, 141,
Asperity, 178, 223–225
170, 179, 245, 252, 277, 300
Debris, 9, 40, 224, 277, 284, 287
Definition of wear, vi
B Deformation, vi, 5, 6, 21–23, 36, 65, 74,
Bayesian belief, 310 102, 109, 170, 177–179, 182, 187,
Bearing materials, 53 198, 229, 245, 256, 275, 286, 287
© The Editor(s) (if applicable) and The Author(s), under exclusive license 331
to Springer Nature Singapore Pte Ltd. 2024
R. A. Al-Samarai and Y. Al-Douri, Friction and Wear in Metals, Materials Horizons:
From Nature to Nanomaterials, https://doi.org/10.1007/978-981-97-1168-0
332 Subject Index

Delamination, 35, 131, 264, 284 Grooving, 45, 55, 194

Density, 6, 90, 97, 98, 218, 267, 316
Descriptors, 306
Diamond, 94, 196, 213 H
Drag, 213 Height distribution, 225
Dry sliding, 10, 21, 68, 69, 77, 82, 89, 90, Hexagonal, 182
93, 96, 100, 144, 151, 179, 181, 183, High-speed, vi, 9, 71, 73, 86, 156, 168, 183,
185, 191, 194, 196–198, 224, 225, 252, 320
286, 293 Hydrodynamic, 6, 221–223, 225–228, 296,
304
Hydrostatic, 221
E
Elastic-plastic contact, 177
Elastohydrodynamic, 287 I
Elastomers, 102 Incubation, 190
Elongation, 97, 113 Internal combustion, vi, 158, 191
Engine, vi, 219, 277, 296, 297, 299, 309
Engine oils, 219
Erosion, 43, 50–52, 65, 91, 102, 171, 297 J
Error, 239, 316 Junction growth, 179

F K
Fatigue wear, 4, 48 Kinetic friction, 177, 198
Fatty acids, 217
Ferrography, 304, 306
Film formation, v, vii L
Flaws, 90, 184, 200, 239, 250 Lubricant formulations, 317
Four-ball test, 224 Lubricants, vii, 41, 89, 101, 181, 190, 194,
Fractal dimension, 248 206–208, 214, 217, 220, 222–226,
Fracture toughness, 91, 116, 140 229, 230, 280, 281, 300, 320
Frequency, 123, 179, 180, 248 Lubricating film, 182
Fretting, v, 11, 122–125 Lubrication, vi, vii, 12, 29, 66, 73, 90, 127,
Friction, v, vi, vii, 2, 6, 21, 38, 41, 42, 44, 139, 181, 188, 206, 207, 217,
48, 52, 53, 76, 77, 88, 89, 96, 100, 220–230, 257, 287, 293, 299, 304,
101, 109, 110, 123, 124, 130, 131, 318, 320, 321
151, 156, 169, 176–188, 190–201, Lubrication conditions, 225, 229, 320
206, 208, 209, 212–217, 222–229, Lubrication regimes, 225
244, 280, 284, 286, 287, 293, 304,
310, 312, 316, 320, 321
Friction modifiers, 101 M
Macrotribology, 287
Maintenance, 294–296, 299, 303, 304
G Manufacturing processes, vii
Galling, 224 Measurements, 155, 163, 239, 306
Gas turbine engine, 47 Mild wear, vii, 9, 130
Gearbox, 101, 309 Milling, 241
Gears, 12, 48, 100, 139, 191, 208, 219, 228, Mixed lubrication, 13, 206, 226
256, 287, 308 Molecular tribology, 287
Graphite, vii, 74–77, 99, 101, 151, 188, Molecular weight, 98, 102, 198
207, 208, 210, 212, 213, 220, 280,
281
Greases, 220 N
Grinding, 28, 90, 185, 195, 197, 239, 241 Nanotribology, 287
Subject Index 333

O Silicon nitride, 293, 294

Overview, 181 Sliding contact, 109, 110, 178, 180, 197,
Oxidative wear, 52, 76, 141, 182 308
Oxide layers, 51 Sliding surfaces, 6, 22, 34, 43
Sliding velocity, 9, 98
Slip, 10, 34, 35, 58, 85, 110, 123, 164, 182,
P 183, 193, 194, 197–200, 223, 228
Paraffins, 217 Solid lubricants, 225, 229
Penetration, 55 Solid surfaces, 241, 245
Piston rings, 208, 297 Spacing, 248
Plastic contact, 256 Stainless steel, 7, 19, 102, 122, 123, 198,
Plastic deformation, 4, 22, 177, 178, 245 215
Plasticity index, 294 Static, 169, 176, 178, 193, 194, 198, 199,
Plastics, 19, 47, 161 222, 245, 275, 312
Plastic shear, 22, 191 Static friction, 177, 194
Plowing, 43, 118
Steady-state, 9, 182, 216
Point contact, 12, 89, 199, 224
Strain rate, 65
Poisson’s ratio, 155
Stress distributions, 245
Polar molecules, 229
Stress-strain curve, 21
Polyamide, 97
Subsurface, 23, 82, 110, 141, 200, 245
Polyimide, 98, 99
Polymer, v, vii, 19, 50, 98, 101, 102, 116, Surface chemistry, v
177, 186, 187, 191–193, 197 Surface contaminants, 180
Polymer composites, 101 Surface energy, 96, 179, 184, 209,
Polymers, 19, 97, 100, 102, 114, 145, 181, 213–215, 223
186–188, 192, 197, 199, 214, 217, Surface hardness, 136, 137, 140, 141, 145,
229 251, 252
Polytetrafluoroethilene (PTFE), 20, 97, 98, Surface height, 241
100, 101, 151, 152, 187, 207, 214, Surface layers, 23, 235
216 Surface preparation, 96, 188
Pressure distribution, 223 Surface roughness, 28, 96, 127, 131, 167,
183, 187, 196, 197, 224, 228, 241,
243, 304
R Surface texture, 197, 244, 249
Ratchet mechanism, 45
Real area of contact, 228
Rigid, 198, 226, 241
T
Rolling, vi, 12, 22, 48, 85, 90, 136, 138,
Tangential force, 122, 176, 177, 185, 193,
189, 198–200, 206, 209, 245, 251,
198, 199, 228
256, 293, 296, 304, 306, 308, 309
Tappets, 208
Roughness parameters, 242, 245
Rubber, 19–21, 93, 102, 280 Teeth, 43, 65, 200, 297
Tensile stresses, 88, 184
Testing, 9, 22, 145, 165, 166, 169, 170,
S 182, 197, 215, 224, 226, 252, 278,
Scanning electron microscope, 305 300, 308, 310, 317
Scratching, 96, 164, 224 Thrust bearings, 304
Seals, 65, 177, 208, 209, 297 Titanium, 91, 123, 124, 178, 181
Shaping, 243 Tractive rolling, 199
Shear stress, 131, 167, 178, 218, 221, 223, Tribochemical reactions, 38, 130
228, 306 Tribochemical wear, 36, 170
Silicon carbide, 30, 91, 114, 119, 120, 185, Tungsten, 312
195 Turbulence, 19
Silicones, 217 Turning, 241, 244, 294
334 Subject Index

V Wear volume, 7, 20, 123

Valleys, 228, 241
Van der Waals, 209, 287
Viscosity, 177, 217–220, 222, 223, 225, 227
Viscosity index, 219 Y
Yield, 170, 177, 178, 183, 195, 214, 239,
245
W
Waviness, 239 Yield strength, 177, 178, 183, 245
Wear debris, 40 Young’s modulus, 155
Wear particles, 41, 88, 131, 310
Wear rate, 9, 12, 15, 29, 36, 65, 66, 68, 76,
98, 100, 101, 110, 114, 123, 125,
130, 177, 286, 297 Z
Wear resistance, 52, 110, 115, 116, 118, Zinc dialkyldithiophosphates (ZDDP), 218
143, 151, 154, 156, 161, 169, 171, Zirconia, 87
213, 214, 274 ZrO2 , 87