This paper is a mathematical treatment of the lubrication of surfaces having striated roughness. It uses the concepts of the statistical properties of a single lubricated unit, rather than those of a number of such units. The modified Reynolds equations previously presented by the author are verified mathematically.
This paper is a mathematical treatment of the lubrication of surfaces having striated roughness. It uses the concepts of the statistical properties of a single lubricated unit, rather than those of a number of such units. The modified Reynolds equations previously presented by the author are verified mathematically.
This paper is a mathematical treatment of the lubrication of surfaces having striated roughness. It uses the concepts of the statistical properties of a single lubricated unit, rather than those of a number of such units. The modified Reynolds equations previously presented by the author are verified mathematically.
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329 MATHEMATICAL VERIFICATION OF THE APPLICABILITY OF MODIFIED REYNOLDS EQUATIONS TO STRIATED ROUGH SURFACES KRISTIAN T@NDER I nstitutt for Maskindeler, The University of Trondheim, The Norwegian I nstitute of Technology, 7034 Trondheim - NTH (Norway) (Received October 26, 1976) Summary This paper is a mathematical treatment of the lubrication of surfaces having striated roughness. It uses the concepts of the statistical properties of a single lubricated unit, rather than those of a number of such units. The modified Reynolds equations previously presented by the author are verified mathematically. 1. Introduction The problems of roughness effects in tribology have received con- siderable attention in recent years. This is due to their importance in the practical field and also to the great theoretical interest inherent in these problems. A theory has been presented [l] of three types of roughness structures, resulting in three modified Reynolds equations. Two of these apply to striated one-dimensionally distributed roughness oriented along or across the direction of motion, while the third describes the effect of area- distributed isotropic roughness. The three equations are the following: applicable to transverse roughness, i.e. grooves and ridges across the direction of motion, which applies to longitudinal roughness, i.e. grooves and ridges in the x direc- tion, and finally for the isotropic area-distributed roughness. The formulae were derived on the basis of physical likelihood, rather than on strict mathematical proof. However, the validity of the formulae for striated roughness (eqns. (1) and (2)) was tested numerically [2, 31, whereas the problem of isotropic roughness was treated mathematically [ 4 ] . The aim of the present paper is to give a mathematical basis to eqns. (1) and (2). A mathematical proof is considered to be necessary despite various attempts by several authors, such as Elrod [ 5, 61. Also, it is felt that the present analysis may be helpful as a starting point for the treatment of other different roughness patterns. The following analysis contains two main parts. One attempts to def!ne appropriate concepts for roughness problems and to establish their inter- relations, and follows closely the approach described in ref. 4, whereas the other (Sections 2.2 - 2.4) contains an application of these concepts and results to the case of striated roughness. 2. Theoretical The Reynolds equation is taken to hold. It reads, in Cartesian coordi- nates, in the steady state, with constant viscosity and density, (4) Here P is the pressure, H the film thickness, U the relative speed of the bearing surfaces in the x direction and n the viscosity. Temporarily let the moving surface be smooth. The physical conditions inherent in eqn. (4) are not considered. 2.1. Basic concepts The film height H is H = h + e, where h is the nominal or smooth part of H and expresses the overall behaviour of the film shape function, and E is the roughness. In a real bearing E is a function of the space variables only, i.e. to a given set of coordinates there corresponds a unique value of E at any given time. Although it is a deterministic quantity, E is treated statistically in the present analysis because the general behaviour of the various functions is of much greater interest than local details. Let h be termed a slow function and let E be termed rapid. These terms are defined as follows. A slow (slowly varying slowly oscillating) function which varies in space is one with few or no points of inflection or gradient discontinuities per unit length; conversely one with many such points is termed rapid (rapidly varying/oscillating). It is important to note 331 Fig. 1. The functions F and F,. that the definition refers to numbers of undulations per unit length and not to their amplitudes, and that slow and rapid are relative terms subject to some degree of arbitrariness. According to the above definition, in the case of rough surfaces the film height function H is a member of a set _F of functions which consists of two components, i.e. F = F + F, , where F is slow and expresses the over- all character of F, and F, is rapid and expresses the deviations from F. Consider a continuous function F(z) of this class, which varies over some interval 1, and a function F, which is very slow compared with F. It is possible to select m consecutive sub-intervals 6zi such that and s (F-FF,)dz=O &i exactly, for all i; this is illustrated on Fig. 1. The sub-intervals 6Zi and F, are so selected that the curves above and below F, cancel exactly within each 6Zi. Let F be that member of the set of functions F, which minimizes the number n of points of inflection or of gradient discontinuity over 1 for a maximum value of m, i.e. which minimizes the quantity (1 + n)/ m. Clearly F and F have many points of intersection (> 2m) and a Fourier series de- scribing e = F - F over the interval I has no constant term. Let it further be required that the function F has constant statistical properties, i.e. let -& J (F - F,)k dz =f J (F - F,)k dz l<i<m 1 Sri 6zl 6q for all finite integer values of k. This is equivalent to requiring that the probability density distribution function @i(e) of e, as evaluated over the interval &Zig remains constant, i.e. @i(e) =Q,(e), 1 < i < m. 332 z- m=:2 z- m=5 Fig. 2. The functions F and F Let the function F = F + e be a member of a set F, of functions all having the above properties but of different undulation density, i.e. different m, while @ and the statistics of e remain constant (Fig. 2). The lowest spatial frequency necessary for the description of e over the interval 1 in- creases as m increases, i.e. as the undulation density increases. Consider a second function CY(Z) which is slow with respect to e and express the integral I of its product with F over the interval: Z = &(z)F(z)dz =)~Fd.z + J _x(z)e(m, z)dz I 1 1 Under these conditions a well-known theorem of Fourier analysis [ 71 states that the second term vanishes as m, and thereby the involved Fourier fre- quencies, approach infinity. Hence z=SFdz+p j.f + Oform + = 1 or generally - - JqF,dz = JF,F~~z + p1 I 1 In particular with (Y = 1 one obtains 1 I sF(z)dz = +(z), + P2 1 1 /Jl + 0 (5) P2 + 0 (6) This shows that the mean value of F equals that of F within a nearly negli- gible error. When F is expanded in a Taylor series, its mean value coincides to any required degree of accuracy with its value at the centre of an interval 6zi if the latter is sufficiently small. Hence F may be obtained with a near-vanish- ing error by applying a suitable moving average process to F if the oscillating part of F is sufficiently rapid (a great number of undulations over the interval 6.~~ in order that the corresponding 1s correction may vanish): F=F, +/ _l / J +O (7) where F, is the mean value of F as evaluated over 6,~~. 333 Note that the limiting process corresponding to an increasing 171 value is considered only in order to show that, if a function F of the set F, has an oscillating part which satisfies the statistical equality conditions but which is not sufficiently rapid for eqns. (2) and (3) to hold to a preset accuracy, it is always possible to find one that is by a suitable increase of the undula- tion density. The following is therefore restricted to functions F which fulfil the above requirements as regards constancy of statistical properties and as regards undulation density for the accuracy required. A consequence of eqn. (2) is that $j=F (3) From the definition of slow and rapid functions it follows that z inte- grals or derivatives of functions which are rapid in the z direction are rapid, while those of slow functions are slow. Therefore z integrals and derivatives of functions F are also included in the set of F, as are clearly products and thence powers of F. Accordingly, dF dF -= ( 1 - +ee dz da where e. is rapid and e - 0. Also F = F + e where e is rapid and e = 0. Dif- ferentiating , one obtaiis - dF_dF+* dzdzdz where de/dz is rapid. If we write de/dz = de/& + e, with el rapid and Zi = 0, the function de/dz may be found by averaging de/dz, a new point on the curve being obtained for each integration over a whole number of 6zi, i.e. when the rapid part of the integral vanishes exactly Clearly, for every passage through a new Szi this quantity vanishes. Hence 0 and dF dF -=-+el= dz dz 334 Therefore dF/dz - dF/dz = e. - e, and, since the left-hand side is slow, the right-hand side is also slow and must vanish, e. and e, having no slow part. Hence, omitting the parentheses, one obtains with vanishing error dF dF _=_ d.Z de (9) A study of the steps taken in the preceding reasoning reveals that the requirement of statistical constancy may be relaxed and that the results will also apply to slowly changing distribution functions. 2.2. The pressure function We write P =P +P,, with F slow and P, rapid. The function P, must exist, i.e. the pressure function will have some undulations caused by the roughness structure (since otherwise the pressure surface would be indepen- dent of the film shape) but they may not be sufficiently rapid for eqns. (5) - (9) to hold acceptably. Consider a very small element B; quite arbitrarily let it be square, of side 6x. B may be treated as a miniature bearing. Since its area is very small, its contribution to the general pressure level is also small and tends to zero as 6x does. Hence, the pressure along the edges of B, being virtually unaffected by the pressure inside it, will serve as the boundary value of the latter. The pressure inside B may thus be calculated on the basis of the local film height structure (inside B). Let us rewrite eqn. (4) in non-dimensional form: where P =pq U&x/H; l =x/8x <=Y/6x H, =H/H, h, =h/H, e, =e/Ho and Ho is a (constant) reference film height. Consider a set of nominally identical bearings with statistically identical roughness structures but with different numbers of oscillations along a given (slow) path. At the same time let it be possible to select for each member of the set a square element B centred on the same point such that, as the roughness density increases, 6x may be reduced in step so as to leave the non-dimensional film height structure inside B completely unchanged. The differences in function values over B are referred to by A, Under these con- ditions for slow functions Fr aF, AF, - + AF, + 0 as Sx + 0 c A{ 335 since in the dimensionless system Aq is unity. Similarly dF,/a{ + 0. However, the effect of the operators a/at and a/a{ on rapid functions does not change at all, since in the process described the same non-dimen- sional case is always treated for sufficiently small 6x values. In other words, as 8x decreases one approaches a situation in which the local effect of slow functions vanishes with respect to that of rapid functions, and where, at a sufficiently high level in the process, pE does not change. However a decrease of 6~ means by definition that the same number of undulations of P is found over a shorter distance, i.e. the ripple density increases in direct proportion to the inverse of 6x. Again by definition 6x is proportional to the roughness density. Hence any P, density may be ob- tained from a suitably high roughness density. The pressure ripple is thus a purely local effect that is generated by the local roughness pattern. We apply this to the case of striated longitudinal or transverse rough- ness, as defined in the introduction. In accordance with the above, let the roughness have a very high density and let it be statistically constant over the bearing. Under these conditions the structures of two neighbouring elements B and B, as they are statistically identical, must produce statistical- ly identical pressure ripples, for otherwise preferred properties would have to be present, which is contrary to definition. Hence P may be included in the set F, of functions. Note that, since pE is asymptotically constant in the above process, the physical pressure ripple height is inversely proportional to the roughness density if the latter is sufficiently high. 2.3. Transverse roughness We again apply the Reynolds equation to a small section of the bearing. Let the miniature bearing thus formed be rectangular, of sides 63t, and 6y (both very small with respect to the bearing dimensions). If the roughness density is sufficiently high the effect of the nominal film shape is negligible, as shown previously. Also, from symmetry considerations the pressure ripple pattern must be striated. It must also be transversely orientated. Suppose that at some region B the pressure ripple orientation differs from that of the roughness pattern by an angle cr. This region may be thought of as the right half of a miniature bearing. Then from symmetry, in the left half the deviation would be - (Y. This must be general - in other words, right halves have deviations (Y, and left halves have deviations - CY. However, with equal right B may represent the left half of a similar miniature bearing; accordingly (Y = - (Y, which is only satisfied for OL = 0. With reference to the role of the parameter m in expressing the rough- ness density, let the process corresponding to considering members of the F, set described previously be known as an m process. For the miniature bearing, we write TIuW7l PC =PE- H20 i.e. 336 With E1 # 0, pE is finite but varies rapidly in the x direction within 6 x, . Again pt: depends only on the dimensionless quantities regardless of their physical magnitudes. Now consider an rn process corresponding to a nominal identical bearing on which the film height H changes in the vicinity of a point xoyo in a similar manner but over shorter lengths 6x, while S y remains unchanged. Since pf is finite the following must hold: pE < pmax, where pmax is the maximum value in the m process. Hence since 8 x,, + 0 as m + m. Hence Pe tends to zero in the m process. The width-to-length ratio of the miniature bearing will be given by v = &y/6x,. Clearly, in the M process 6x, + 0 as m -+ 04, i.e. Y -+ M. Let the suffix OQ refer to the case of no sideways flow. It follows that pE + pFm in the m process. Note that aP,/ax =(ap, /ax)(~U/H~) so that aP,/ax has a limit which is different from zero. Also, since P, vanishes and v + 00, aPlay + 0. Thus in the transverse roughness case U/ax is a rapid function and aP/ay = @/ay is slow. Hence, integrating the Reynolds equation once and rearranging yields (11) where 1, signifies an x integral and e. is oscillating and vanishing. Integrating eqn. (11) P=P, +6qU f H-dx +A(y) j E3dx - X0 0 where e is the oscillating part of K3 and PO is the pressure function at x0 {the integral of ee being yet more rapidly vanishing than ea). The quantity X e1 = _I- I,edx 0 337 reflects by virtue of eqn. (5) the oscillating behaviour of the integral of e, i.e. el= 0: P=P, + 677U jF%x+A(y) j%dx- j Ixsdx + el Xl 50 "0 Also P =F +P, and by identification of terms PE =Ps -Po+el p,=O x- P=K+6nU J E2dx+A xKxdx- j s &I f dx x0 X0 X0 Differentiating, one obtains aF -=(j~uH_2 +Ajj=I,s ax Differentiating and rearranging which is eqn. (1). Reasoning along the same lines as in the previous case, again consider a miniature bearing formed by 83~ and Sy, (both very small) which contains a very large number of grooves and ridges. Then P, may be identified with the solution of the Reynolds equation applied locally inside 6x6y,, i.e. P, =~~~U~Y~/~~ and E =x/%y, t=YIGY?n H, =H/H~ Again consider eqn. (10) and apply the m process to 8 y, , letting Sx remain constant. The { term is virtually unchanged in the m process, but the t term and the forcing function aH,/ag are both seen to tend to zero. Thus pE diminishes in the m process. However, it suffices to realize that it remains finite, so that P, tends to zero in the m process. Thus one may conclude that P deviates vanishingly from p, that iJ P/ax (=ap/ax) is slow and that Play is rapid. Integrating eqn. (4) in the y direction dy +3;H3 -A(x) = 677U y aH $ -dy = 677,; j yg ax Hdy NO - _ +zH3 -A=6~uI ,$+e, - aP -= 6sUI , gI T3 -I , & aY H3 +H++;- Putting l/H3 = EE-3 + e and e = 0, then p= y J (I , +A)sdy+ j (I, +A)edy +PO yo yo where 1, is written for and PO is the pressure function at ye, the integral of eo/H3 being negligible. Then, as in the previous case Y P=& + I (I, + A)I -r dy yo since e = 0. Differentiation yields - :=(I, +A)3 A second differentiation yields which is eqn. (2). 2.5. Hydrodynamic quantities Further hydrodynamic quantities may now be obtained quite readily. The load-carrying capacity and load centre are determined directly from the 339 solutions of eqns. (1) and (2) with the appropriate integrations. The Reynolds equation, as expressed by eqn. (4) and divided by 12~, represents the x de- rivative of the x flow plus the y derivative of the y flow. Thus the flow quantities are determined directly from the eqns. (1) and (2) by term-by- term identification. Friction is determined by integration of the mean shear stress which is given by The value of Hap/ax will be determined in the case of transverse roughness by multiplying eqn. (11) by H, averaging, and eliminating A, as shown already. In the other case, the transition from (a/ax) (H3aP/t!x) to (a/&r) (3 ap /ax) shows that H and aP/ax are uncorrelated or independent; in either case HaP /ax =fl aFlax. Secondary quantities, such as the friction coefficient, the heat genera- tion, the temperature increase and the Sommerfeld number, may be derived from the primary ones. 2.6. Extensions of theory In previous sections the analysis was restricted to one-sided roughness. Also, it was assumed that there was no general time component in the Reynolds equation. Such general time components are readily included in the model, as they are additional to the forcing functions. Clearly the effect will be accounted for by adding 12~ allf/a t to eqns. (1) and (2). If both surfaces are rough the problem is not quite as simple as de- scribed. In the case of a longitudinal distribution the Reynolds equation is not modified by moving roughness. Thus the resulting equation is unaltered, he. eqn. (2) applies always. In the case of a transverse pattern the Reynolds equation is modified by the roughness in motion: $(H3 E) +3H3 3=64~+23 (12) This will have the effect of adding an extra term S to the ~ght-had side of the expression for P : where S = e,H3. Fig. 3. Skew one-dimensional roughness. This leads to the expression The existence of the term S in the case of roughnesses in motion with respect to the bearing boundaries, which was not taken into account in ref. 1, was demonstrated by Elrod [ 61. 2.7. Combining the expressions for one-dimensional roughness Let $ be the angle between the direction of motion and the grooves, as shown in Fig. 3. If we change the coordinate system so that Xt is in the direction across the grooves, yt will be the coordinate along them. Similarly, we define 3tL and yL for an x coordinate along the ridges and yL across them. Let U, and UL be the velocity components across and along the grooves, respectively. One may write where PL and Pt are the pressure components due to the speed components UL and U,. The total pressure must be equal to their sum P=P, +P, However, from the preceding definitions xL = yt and Xt = - yL. Hence the 341 left-hand sides of eqns. (14) and (15) are formally identical and because of their linear character one may add the forcing functions. Hence, finally with 3tL = y sin $J + x cos 9 yL =ycos$ --xsinJI An equation equivalent to eqn. (16) was obtained by Elrod [5]. 3. Discussion The main requirement of the present work is one of roughness asperity density. This quantity, which expresses the numbers of troughs and valleys (16) per unit length, should be as high as possible for all the accuracy requirements involved to be satisfied. Mathematically the density (roughness rapidity) should preferably approach infinity, since the analysis puts no restrictions whatever on its value, and since all errors involved tend to zero under these conditions. In the analysis the barred functions F may not be uniquely defined since the choice of 6Zi is not unique. However, for sufficiently short integra- tion lengths which require very rapid roughness patterns, the various possible mean values will differ by vanishing quantities. Therefore F, as it is essen- tially a mean value function, will differ from an alternative one by a quantity approaching zero. Since two such functions are both smooth or slow, selecting the one or the other has no consequences in the results obtained. The barred function definition may thus possess a theoretical ambiguity, which might be removed by selecting a particular one, such as that member of the set of permissible functions which minimizes the sum of the squares of the deviations as evaluated over the whole bearing. Alternatively one might redefine the barred functions to be the mean of the permissible ones. However, these are mathematical subtleties and need not be considered when it is taken into account that, for a sufficiently rapidly varying rough- ness pattern, the barred functions are unique for all practical purposes. The analysis applies to rapidly changing regular or periodic functions also. The distinction between these cases and a random case is loosely described as consisting of different shuffling or ordering of the consecutive function values. Finally, it will be noted that eqns. (5) - (9) are identical to well-known expressions of stochastic theory if barred values are thought of as expected 342 values. However, the stochastic ensemble is within the one bearing considered and does not consist of a number of different bearings. The mean or expected value should therefore be associated with a region rather than a point. Thus G(z) is the expected value in the vicinity of z, rather than at z, where in principle the value of a(z) is known exactly. However, as 6zi becomes smaller so does the uncertainty of z; thus for the purposes of analyses such as the one above, the distinction may be neglected. From the preceding the random process representing the variation of E is stationary and ergodic in z, where z is any slow path (or area of dimen- sions representing slow functions), the ensemble being represented by the whole of the bearing or large regions in the case of slowly varying statistics. 4. Conclusion Making no assumptions other than that of the applicability of the Reynolds equation, the present analysis has revealed the following prop- erties. (1) The various functions involved in the lubrication of striated rough surfaces of high roughness density, such as powers of the film height, as well as the lubricant pressure, pressure gradients, flow etc., can be split into two parts - one rapidly oscillating and one slow or smooth. (2) If the asperity density is sufficiently high, the difference between the smooth or slow part of the pressure and the true value of the pressure function is nearly vanishing. (3) The modified Reynolds equations presented earlier [l] are derived on the basis of the statistical properties of single bearings, and not on averages of several bearings. The validity of those equations has thus been proved mathematically. Nomenclature A B e, e0, el, e2 F, F,, Fu 1 Fr FE, FlF2 F?Tl h hr H Ho 4 6 I,, I, k integration constant (function of either x or y) miniature section of hearing undulating part of various functions; near-vanishing errors functions defined in the text set of functions smooth mean value of H non-dimensional value of h dimensional film height function reference film height non-dimensional film height function index integrals defined in the text exponent length element 343 m n P PE number of statistically equal regions number of undulations (points of inflection or of gradient discon- tinuity); number of waves non-dimensional P non-dimensional PC non-dimensional pe for an infinitely wide bearing dimensional pressure undulating part of P Patxo roughness parameter pertaining to a moving structure relative speed of the bearing surfaces coordinates coordinates coordinate function defined in text; angle length elements difference operator roughness parameters non-dimensional E non-dimensional y coordinate viscosity vanishing corrections width-to-length ratio non-dimensional x coordinate shear stress probability density distribution functions angle In addition, a bar refers to smooth mean functions, and the subscript a to mean functions as evaluated over small intervals. References H. Christensen and K. T$nder, Tribology of rough surfaces. In Stochastic Models of Hydrodynamic Lubrication, SINTEF, Trondheim, 10/69-l& 1969. K. Tender and H. Christensen, Lubrication of cylindrical rollers with surface cor- rugations, Wear, 20 (1972) 309. K. Tender and H. Christensen, Waviness and roughness in hydrodynamic lubrication, Proc. Inst. Mech. Eng., London, 186 (1972) 72. K. Tender, Lubrication of surfaces having area-distributed isotropic roughness, ASME Paper no. 76-Lub-7, ASMEIASLE Joint Lubr. Conf., Boston, 1976. H. Elrod, Lubrication theory for Newtonian fluids with striated roughness or grooving, Columbia University, New York, Rep. no. 21, 1972. H. G. Elrod, Thin-film lubrication theory for Newtonian fluids with surfaces possessing striated roughness of grooving, J. Lubr. Technol., 95 (1973) 484. R. Churchill, Fourier Series and Bondary Value Problems, 2nd edn., McGraw-Hill, New York, 1963.