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Performance, Characterization

and Design of Textured Surfaces


B. Podgornik1
Institute of Metals and Technology,
Lepi pot 11,
SI-1000 Ljubljana, Slovenia
e-mail: bojan.podgornik@imt.si

M. Sedlacek
University of Ljubljana, Ljubljana,
Centre for Tribology and Technical Diagnostics,
Bogisiceva 8,
SI-1000 Ljubljana, Slovenia

In recent years the efforts to better control friction and wear have focused on surfacetopography modification through surface texturing. Although a lot of effort, including
experimental and analytical work, has been put into finding the optimal texturing parameters and design rules for reduced friction, optimization is still too often limited and
based on a trial-and-error approach. Therefore, the aim of the present research work
was to investigate the possibility of using kurtosis and skewness as the design parameters
for selecting the optimal texturing pattern for contact surfaces operating under lubricated
conditions. The results of this investigation performed on groove- and dimple-textured
surfaces under low-load, low-sliding speed conditions confirmed the correlation between
the kurtosis and skewness parameters and the coefficient of friction. For textured surfaces
an increase in the kurtosis and a more negative skewness, obtained by reducing the cavity
size, increasing the cavity depth and decreasing the texturing density, were found to yield
a lower friction. Furthermore, kurtosis and skewness were recognized as suitable parameters for the optimization of textured surfaces. [DOI: 10.1115/1.4007108]
Keywords: surface texturing, roughness, coefficient of friction, boundary lubrication

Introduction

Many machine components operate under boundary- or mixedlubrication conditions, where the lubrication film is too thin to
fully separate the rubbing surfaces and momentary dry contacts
occur between the surface asperities. Moreover, changes in the
operating conditions and start-up/shut-down processes can result
in a breakdown of the lubrication film. This and ever-increasing
requirements for improved performance and reliability, including
reduced friction and wear in mechanical systems, dictate the use
of lubricants with proper additives [1] as well as advanced materials and coatings [2]. However, under boundary lubrication the surface roughness and topography also have a significant influence
on the tribological behavior of the contact surfaces [3]. Here, even
a small change in the surface roughness and topography can lead
to a change in the lubrication mechanism and; therefore, to a substantial improvement in the tribological behavior. Therefore, in
recent years the efforts to better control the friction and wear have
been focused on modifying the surface topography, mainly on surface texturing. It has been shown that surface texturing can
enhance the performance and reduce the friction of many tribological components [4]. Consequently, many mechanical seals, thrust
bearings and piston rings are now designed with micro-dimples of
a controlled size, shape and density on the sliding surfaces to
improve their performance.
The contribution of surface texturing to the reduction of friction
has been studied extensively and reported in the literature by several authors [511]. It has been shown that the benefits arising
from making grooves or dimples in the surface is a combination
of several effects, improving the oil supply and reducing the abrasion in the sliding contact [12]. Dimples or grooves in the surface
can eliminate the effect of wear particles by entrapping them,
thereby suppressing the abrasion and plowing friction. Furthermore, they can act as oil reservoirs, which transport and supply oil
to the contact in emergency situations. When textures appear with
sufficient density they can improve the wetting of the surface and
support the formation of a lubrication film [13]. Under full-film
lubrication the individual dimples also act as hydrodynamic pres1
Corresponding author.
Contributed by the Tribology Division of ASME for publication in the JOURNAL
OF TRIBOLOGY. Manuscript received December 24, 2011; final manuscript received
April 17, 2012; published online August 21, 2012. Assoc. Editor: Dong Zhu.

Journal of Tribology

sure pockets, which increase the load-carrying capacity [14] and


reduce the friction [15].
A lot of effort has been put into attempts to find the optimal texturing parameters and design rules for reducing the friction in tribological contacts. The experimental and analytical work of
Etsion et al. [4, 6, 11, 15, 16] resulted in a surface-texturing optimization for mechanical face seals, thrust bearings and piston
rings with greatly reduced friction losses. Furthermore, with the
rapid development of computational capacities, a virtual texturing
procedure was developed and the effect of the dimple size, density
and shape on the friction was simulated numerically[1721].
Unfortunately, theoretical models and optimization rules are
mostly related to full-film lubrication, while for boundary lubrication the optimization is still limited and too often based on a trialand-error approach. This is also the reason for a huge variation in
the surface-texturing parameters described by different authors as
being optimal for boundary lubrication. However, surface roughness and topography investigations [22, 23] indicate that the friction properties of boundary-lubricated surfaces can also be related
to the kurtosis and skewness roughness parameters. Surfaces displaying high kurtosis and negative skewness were found to generally result in lower friction [24]. Therefore, by treating the surface
texturing as a predefined roughness its optimization could also be
related to the texturing parameters (size, depth, shape, density),
which results in a higher kurtosis and a more negative skewness.
The aim of the present research work was to investigate the
possibility of using kurtosis and skewness as design parameters
for selecting an optimal texturing pattern, especially for boundaryand mixed-lubricated contacts. For this reason the investigation
was focused on defining which and how the texturing parameters
influence the kurtosis and skewness and consequently the coefficient of friction, as well as how the topography of the textured
surfaces needs to be characterized.

Experimental

2.1 Virtual Texturing. Virtual texturing was performed in


order to identify the most influential texturing parameters affecting the surface roughness. To investigate the effect of a single texturing parameter, including the size, shape, depth, and distance
between the grooves or dimples, on the roughness parameters, a
real roughness profile of a flat, fine-polished surface (average

C 2012 by ASME
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Table 1 (a) Laser textured test specimens with semicircular


grooves (Fig. 2(a)). (b) Laser textured test specimens with dimples (Fig. 2(b)).
Groove

Sample

Fig. 1

Virtually textured profile

surface roughness Ra 0.05 lm, skewness Rsk 0.24, kurtosis


Rku 3.1) was altered, artificially forming indents, as shown in
Fig. 1. The virtually textured profiles were then analyzed with
NIST SMATS softgauge [25] and the corresponding roughness
parameters were calculated for different textures.
2.2 Laser Surface Texturing. The surface texturing was
performed on hardened (850 HV) and mirror-polished
(Ra 0.05 lm, Rsk 0.24, Rku 3.1) AISI 52 100 steel disk samples using a Nd:YAG laser with an average power of 12.8 W, a
wavelength of 1064 nm, and frequency of 15 kHz. Since 2-D profiles can be transformed into 3-D space in two ways, two sets of
specimens were prepared. If the 2-D profile is just extended in the
y direction, a surface with grooves will be formed, and if
expanded in x and y directions, we will get a surface with dimples.
Therefore, the first set of specimens was textured in the form of
semicircular grooves or channels (Fig. 2(a)), with the grooves
depth being fixed at 10 lm and the width and spacing varied from
40 to 120 lm, and from 125 to 500 lm, respectively. The samples
denotation, groove dimensions and laser parameters, selected in
such a way as to have the minimum effect on the grooves surface
roughness are given in Table 1(a). A second set of textured specimens was prepared in the form of micro-dimples with a diameter
of 60 lm (Fig. 2(b)). By changing the number of laser pulses with
a duration of 22 ns from 7 to 23 [26] dimple depths of 5.3, 10.7,
and 19.9 lm were obtained after the surface repolishing, while the
spacing between the dimples was in the same range as for the
grooved specimens, between 125 and 500 lm (Table 1(b)). After
the laser surface texturing (LST) all the samples were repolished
in order to remove the bumps produced by the LST on the extremity of the channels and the dimples.
2.3 Tribological Testing. The tribological testing was performed on a Plint TE-77 high-frequency friction machine under
reciprocating sliding motion, where a flat-ended AISI 52 100 steel
pin (/ 5 mm, 850 HV, Ra 0.05 lm) was loaded against a stationary LST disk. During the sliding the friction force was measured
continuously by means of a piezo-electric friction transducer
(Fig. 3) with an accuracy of 3%. Sliding with an amplitude of
5 mm was performed perpendicular to the groove direction or in
line with the dimples (Fig. 4). Additionally, dimple-textured sam-

G1-1
G1-2
G1-3
G2-1
G2-2
G2-3
G3-2

Laser parameters

Depth
(lm)

Width
(lm)

Spacing
(lm)

Mode

Energy
(mJ)

Pulse
(ms)

10
10
10
10
10
10
10

40
40
40
80
80
80
120

125
250
500
125
250
500
250

Single
Single
Single
Multi
Multi
Multi
Multi

0.938
0.938
0.938
2.79
2.79
2.79
8.36

100
100
100
259
259
259
159

Dimple

Sample
D1-2
D2-1
D2-2
D2-3
D3-2

Laser parameters

Depth
(lm)

Size
(lm)

Spacing
(lm)

Density
(%)

Mode

Energy
(mJ)

Pulse
No.

5.3
10.7
10.7
10.7
19.9

60
60
60
60
60

250
125
250
500
250

5
20
5
2
5

Single
Single
Single
Single
Single

0.67
0.67
0.67
0.67
0.67

7
13
13
13
23

ples (D2-1, D2-2, and D2-3) were also tested in different sliding
directions with respect to the dimple arrangement (0 deg, 30 deg,
and 45 deg) in order to check the design universality of the kurtosis and skewness parameters.
Lubricated tests in pure Poly-Alpha-Olefin oil (PAO 8,
v40 46.8 mm2/s) were performed under a normal load of 30 N
(pH 1.53 MPa) and at five different frequencies (0.5, 5, 10, 20,
and 30 Hz) resulting in average sliding speeds of 0.005, 0.05, 0.1,
0.2, and 0.3 m/s. The uncertainty in the sliding speed and the normal load was within 5%. Before each test, both specimens were
ultrasonically cleaned in ethanol and dried in air and then tested
under normal room conditions, at a constant temperature of
23 6 2  C and a relative humidity of about 40%. Each friction test
was repeated at least three times and carried out for a sliding distance of 60 m, during which the steady-state conditions were
reached and for this region the average steady-state coefficient of
friction was calculated, as shown in Fig. 5. Under the conditions
investigated no measurable wear of neither contact surfaces could
be detected.

Results and Discussion

3.1 Texturing Parameters Affecting the Roughness. The


effect of the texturing parameters, including the depth, width, distance, and shape of the cavity, pocket or indent, on the roughness
parameters was investigated on a virtually textured profile, analyzed by NIST SMATS softgauge [25]. The basic, virtually textured profile with rectangular-shaped cavities, having a width of
120 lm, a depth of 6 lm, and a spacing of 120 lm (Fig. 1),
resulted in a kurtosis (Rku) of 1.35 and a skewness (Rsk) of 0.035.

Fig. 2 Example of laser textured surfaces with (a) grooves (G2-2) and (b) dimples (D2-2)

041701-2 / Vol. 134, OCTOBER 2012

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Fig. 3

Tribological test setup configuration

Fig. 4 Tribological testing of textured specimens (a) grooves


and (b) dimples

Fig. 5 Example of steady-state coefficient of friction determination: specimen G3-2

Fig. 6

Journal of Tribology

The decreasing width of the cavity from 120 to 60 lm had almost


no effect on Rku; however, it made the Rsk more negative, reducing it below 0.65, as shown in Fig. 6(a). On the other hand, the
spacing affected both Rku and Rsk. Increasing the spacing from
120 to 360 lm increased Rku by a factor of 2 and changed the Rsk
value from positive to negative. A further increase in spacing to
480 lm resulted in a further increase in Rku, but changed the Rsk
value back from negative to positive, as shown in Fig. 6(b). In
terms of depth, the change in the square-shaped-cavity depth from
6 to 20 lm had a very minor effect on Rku and Rsk. However, for
semicircular cavities, an increase in depth increases Rku and
makes Rsk more negative. Furthermore, the slope of the cavity
walls was also found to affect Rku and Rsk [24]. Decreasing the
cavity-wall inclination and going from a square- to a triangularshaped cavity further increased Rku and produced a more negative
Rsk. For a 6 -lm-deep cavity of 120 lm and a spacing of 120 lm,
introducing an inclination angle of just 6 deg increased Rku from
1.35 to 3.0 and Rsk from 0 to 1.0. Even better results in terms
of a high kurtosis and negative skewness can be obtained with a
wedge-shaped cavity, having one wall at a small inclination angle
(a) and the other wall (b) at very large one, but still smaller than
90 deg [24].
The results of the virtual texturing also indicated that when shifting from square to semicircular, triangular, and wedge-shaped cavities with smaller width, larger depth, and sufficient spacing, the
most beneficial Rku and Rsk values can be expected. However, it
has to be noted that each texturing parameter has a limiting value
where its positive effect on kurtosis and skewness is lost. By combining wedge-shaped cavities (a 7.6 deg; b 65.3 deg) with a
width of 60 lm, a depth of 10 lm, and a spacing of 360 lm, the Rku
increased to 12.3 and the Rsk decreased to 2.7.
3.2 Surface Topography Analysis. In order to confirm the
results of the virtual texturing laser surface textured specimens
were analyzed using a stylus profilometer. For each specimen the
surface-roughness parameters were evaluated at three different
positions over an area of 4.8  4.8 mm, which included up to 481
individual profiles. The measurements were made perpendicular
to the groove direction or in the direction of the dimples. The
results are collected in Table 2.
Reducing the semicircular groove width from 120 lm to 80 lm
had practically no effect on the Rku and Rsk values, as shown in
Table 2. However, as predicted, a further reduction to 40 lm
increased Rku from about 3 to 4 and reduced Rsk from 1.0 to
1.5. Also in agreement with the virtual texturing, by increasing
the spacing between the grooves from 125 to 500 lm the Rku
increased from 1.7 to 5.6 and the Rsk decreased from 0.4 to 1.5

Effect of (a) cavity width and (b) spacing between the cavities on kurtosis and skewness

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Table 2 Surface roughness parameters of laser textured specimens


Roughness parameters
Sample
(semi-circular grooves)
G1-1
G1-2
G1-3
G2-1
G2-2
G2-3
G3-2

Roughness parameters

Ra (lm)

Rq (lm)

Rsk (/)

Rku (/)

4.05
2.48
1.05
3.12
2.03
1.31
1.14

4.68
3.30
1.99
3.46
2.50
2.02
1.38

1.02
1.51
2.50
0.37
1.05
1.50
1.05

2.43
4.03
11.10
1.70
2.89
5.57
3.29

Sample
(dimples)

Ra (lm)

Rq (lm)

Rsk (/)

Rku (/)

D1-2
D2-1
D2-2
D2-3
D3-2

0.29
0.93
0.42
0.26
0.63

0.51
1.39
0.88
0.54
1.78

4.48
2.18
5.44
9.28
6.79

33.91
7.15
39.83
135.0
54.39

Fig. 7 Influence of (a) reduced measurement area and (b) increased distance between profiles on the kurtosis and
skewness values for a dimple-textured surface

for a groove width of 80 lm, and even to Rku 11.1 and Rsk 2.5
for a groove width of 40 lm (Table 2). The effect of spacing is
even more evident for the dimple-textured surfaces, where an
increase in spacing from 125 to 500 lm resulted in 19 times
higher Rku and 4 times more negative Rsk. Also, the effect of the
dimple depth was confirmed, with the largest dimple depth of
19.9 lm giving the highest Rku and the most negative Rsk, as shown
in Table 2.
In the case of grooved specimens the measurement area and the
distance between the measured profiles were found to have a very
minor effect on the roughness parameters. However, this is not the
case for surfaces with dimples, as shown in Fig. 7. By reducing
the measurement area from 4.8  4.8 mm to 1.5  1.5 mm and
down to 0.48  0.48 mm, the error in Rsk can be up to 115% and
in Rku even up to 145% (Fig. 7(a)). Furthermore, increasing the
distance between individual profiles from 10 to 100 lm has a similar effect, mainly affecting the Rku values (Fig. 7(b)).
Surface topography measurements show that if the measurement
area and/or profile density are too small, not all the features of the
textured surface are taken into account and therefore the area analyzed does not adequately reflect the textured surface in question.
Consequently, the measured roughness parameters are not representative and can be misleading, with errors being larger for textures
having larger spacings between the dimples and a smaller dimple
size. For dimples with a diameter between 50 lm and 150 lm, and
a spacing between the dimples of 100 lm and 500 lm, a measurement area of 4.8  4.8 mm and a distance between individual profiles of 20 lm were found to yield representative values of the
roughness parameters.
041701-4 / Vol. 134, OCTOBER 2012

Another important parameter in textured surface analysis is the


direction of measurement, which needs to be performed in the
direction of sliding. As shown in Fig. 8, the direction of measurement, if performed by stylus profilometry, also influences the Rsk
and Rku values. In general, a measurement in the direction of the
dimples gives the highest Rku values and the lowest at angles
between 0 deg and 45 deg, while the Rsk values remain more or
less the same.
3.3 Coefficient of Friction. The steady-state coefficient of
friction for grooved specimens tested at different sliding speeds is
shown in Fig. 9 and compared to an untextured reference surface.
For all the sliding speeds investigated an increase in the spacing
between 40 -lm wide grooves from 125 to 500 lm was found to
result in reduced friction. At the very low sliding speed of
0.005 m/s the difference between the different grooved surfaces
was very small. Specimen G1-1 gave a steady-state coefficient of
friction of 0.13, which was then reduced to 0.12 for G1-2 and
to 0.11 for G1-3. However, as the sliding speed was increased
the differences in the friction became larger. For a sliding speed
of 0.05 m/s the increase in the distance between the grooves from
125 lm (G1-1) to 250 lm (G1-2) and 500 lm (G1-3) decreased
the friction from 0.095 by 20% and 40%, and for a sliding
speed of 0.2 m/s from 0.091 by 10% and 35%, respectively
(Fig. 9(a)). Similar behavior, with an increased spacing leading to
a lower steady-state coefficient of friction, was also observed for
larger grooves. Furthermore, as shown in Fig. 9(b) a decrease in
the groove width also results in reduced friction. At a sliding
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Fig. 8 Effect of the measurement direction on (a) kurtosis and (b) skewness for a dimple-textured surface

Fig. 9 Steady-state coefficient of friction for specimens with grooves: (a) effect of spacing between the grooves and (b)
effect of the groove width

speed of 0.05 m/s a decrease in the coefficient of friction of about


20% and 40% was observed when the groove width was decreased
from 120 lm (G3-2) to 80 lm (G2-2) and 40 lm (G1-2),
respectively.
The results shown in Fig. 9 also confirm the effect of surface
texturing on the lubrication mechanism [7]. As indicated by the
shape of the friction versus sliding speed curve the change in the
lubrication mechanism from boundary/mixed to full-film occurred
at a sliding speed of about 0.1 m/s. Furthermore, increasing the
spacing between the grooves (Fig. 9(a)) and/or reducing the
groove width (Fig. 9(b)), which results in a higher kurtosis and
more negative skewness (Table 2), shifts the Stribeck curve [1] to
the left and down to lower coefficient of friction values. This
clearly indicates a faster transition from boundary to full-film
lubrication. Furthermore, by combining small grooves with a
larger spacing (G1-3) the effect of the sliding speed on the coefficient of friction became negligible, at least for the sliding-speed
range investigated.
The same trends were also observed for dimple-textured specimens (Fig. 10), with the effect of the texturing parameters again
Journal of Tribology

being the most noticeable in the transition region between the sliding speeds of 0.05 and 0.2 m/s. At a sliding speed of 0.2 m/s the
surfaces with a dimple depth of 11 lm and a spacing of 125 lm
(density of 20%; D2-1) gave a steady-state coefficient of friction
of about 0.08. Increasing the spacing between the dimples to
250 lm (5% density; D2-2) and 500 lm (2% density; D2-3),
which increased the kurtosis and made the skewness more negative, reduced the coefficient of friction to 0.040 and even down to
0.025, as shown in Fig. 10. Correspondingly, the change in the
dimple depth, affecting the kurtosis and skewness, also led to a
change in friction. By reducing the dimple depth to 5 lm the
coefficient of friction for a dimple density of 5% (D1-2) increased
from 0.040 to 0.055, and decreased below 0.040 when the dimple
depth was increased to 20 lm (D3-2; Fig. 10).
The tribological properties of textured surfaces are also influenced by the direction of sliding with regard to the dimple
arrangement [27]. For all dimple-textured specimens a change in
the sliding direction from parallel with the dimples (0 deg) to 30
deg and 45 deg resulted in higher friction, as shown in Fig. 11. In
the case of the specimens D2-1 and D2-2 the differences in
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Fig. 10 Influence of dimple depth and density on the steadystate coefficient of friction; vs 5 0.2 m/s
Fig. 11 Effect of sliding direction on the coefficient of friction
for a dimple depth of 11 lm; vs 5 0.2 m/s

Fig. 12 Correlation between kurtosis and skewness and coefficient of friction for surfaces with (a) grooves and (b)
dimples

steady-state friction values, depending on the sliding direction,


were relatively small, but increased for specimen D2-3, where
sliding at 30 deg gives the highest coefficient of friction. However, the change in the coefficient of friction was found to be in
good agreement with the surface roughness measurements, which
were performed in the direction of sliding (Fig. 8). For all the
cases investigated a decrease in the kurtosis and an increase in the
skewness correspond to an increase in the friction, as shown in
Figs. 8 and 11.
The comparison of the surface roughness parameters (skewness
versus kurtosis plot) and the coefficient of friction values, shown in
Fig. 12, confirms the correlation between the kurtosis and skewness, and the coefficient of friction for textured surfaces operating
under different lubrication regimes. As the surface topography
shifts from low kurtosis and zero skewness values toward high kurtosis and increasingly negative skewness (bottom right toward the
upper left corner), the coefficient of friction becomes lower. It can
be clearly seen that for groove (Fig. 12(a)) and dimple-textured
surfaces (Fig. 12(b)) a more negative skewness and especially a
higher kurtosis, obtained by reducing the cavity size, increasing the
cavity depth and/or increasing the spacing between dimples or
grooves, result in lower friction. These results clearly show that for
lubricated sliding contacts under low-load, low-sliding-speed conditions kurtosis and skewness could be used to optimize the textured surfaces in terms of texturing depth, size, and density.
041701-6 / Vol. 134, OCTOBER 2012

Conclusions

The results of this investigation confirm the correlation between


kurtosis and skewness roughness parameters and the coefficient of
friction for textured surfaces operating under lubricated conditions. For groove- and dimple-textured surfaces the increase in
kurtosis and negative skewness were confirmed to yield a lower
friction for low-load, low-sliding-speed conditions. Furthermore,
the use of textured surfaces displaying a higher kurtosis and a
more negative skewness tends to shift the Stribeck curve downwards and to the left, and reduce the dependence on sliding speed.
As identified by virtual texturing and confirmed by stylus profilometry a higher kurtosis and a more negative skewness are
obtained when using semicircular grooves or dimples with a
smaller size, larger depth, and decreased density. However, each
of these parameters has a limiting value above which the trends
are reversed. The change from square to semicircular, triangular
and especially to wedge-shaped cavities should also result in
higher kurtosis and more negative skewness. However, this still
needs to be experimentally verified.
Finally, kurtosis and skewness were identified as suitable parameters, which could be used to optimize the textured surfaces
for lubricated sliding contacts. Through virtual texturing performed by introducing different cavities into the real roughness
profile, texturing parameters resulting in more negative skewness
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and especially in a higher kurtosis can be identified and moreover


optimized in terms of reduced friction.

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