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Boundary Lubrication
and Boundary
Lubricating Films
12.1 Introduction
Definitions
12.2 The Nature of Surfaces
Surface Structures and Compositions • Surface Energy and
Reactivity • Surface Emission under Stress • Surface
Roughness and Relative Conformity
12.3 Lubricants and Their Reactions
Lubricant Basestocks and Additives • Relationship Between
Oxidation Reactions and Film Formation • Organometallic
Chemistry and Tribochemistry
12.4 Boundary Lubricating Films
Physical and Chemical Properties • The Detection of
Organometallic Compounds in Films • Mechanical
Stephen M. Hsu Properties of Boundary Lubricating Films • Advances in
National Institute of Standards Measurement Techniques
and Technology
12.5 Boundary Lubrication Modeling
Richard S. Gates Wear • Flash Temperatures • Asperity-Asperity
National Institute of Standards Understanding • Molecular Dynamics Modeling
and Technology 12.6 Concluding Remarks
12.1 Introduction
Lubrication may be defined as any means capable of controlling friction and wear of interacting surfaces
in relative motion under load. Gases, liquids, and solids have been used successfully as lubricants.
Boundary lubrication usually occurs under high load and low speed conditions in bearings, gears, cam
and tappet interfaces, piston rings and liner interfaces, pumps, transmissions, etc. In many cases, it is
the critical lubrication regime that governs the life of the components subject to wear. Because of its
industrial significance, many studies have been conducted in the past. The most comprehensive was the
1969 assessment by the American Society of Mechanical Engineers (ASME) Research Committee on
Lubrication (Ling et al., 1969). The study included critical reviews on surface physics, chemistry, fluid
mechanics, contact mechanics, and materials science. The major conclusion in that review was that more
research was needed to understand the complex chemical, physical, and material interactions. Since then,
topical symposia have been organized by different researchers on lubricant chemistry, contact mechanics,
microelastohydrodynamic lubrication (µ-EHL), analytical techniques, boundary films, and molecular
dynamics simulations. Cross communication and integration of the significant advances in analytical
chemistry, surface analysis, materials sciences, and molecular modeling, however, have seldom been made.
This chapter attempts to provide a bird’s eye view across these disciplines.
R• +R• alcohols
R• +ROO• aldehydes
4. Termination ⇒
ROO• +ROO• ketones
RO• +R• acids
The role of metal catalysis on lubricant oxidation is a complex one. Since the molecular species in a
lubricant are numerous, the possible reaction pathways and the number of isomers are astronomical.
Because the fundamental reaction mechanisms are functions of the molecular structures, the mechanism
described above can only serve as an illustration of the general directions of the reaction steps. Detailed
understanding of the catalysis mechanism is currently not available.
Different metals exhibit different degrees of catalytic activities on lubricant oxidation. Figure 12.3
illustrates the effects of different metal surfaces on the rate of oxidation (Lahijani et al., 1981). Low carbon
steel has the highest “catalytic” effect in terms of causing the lubricant to oxidize.
12.3.2.4 Polymerization Reactions
Lubricant molecules upon oxidation always tend to go in two different directions: smaller molecules
through beta carbon scission and/or decomposition; high-molecular-weight “polymers” through con-
densation reactions. Because of the myriad molecular species present in the lubricant molecular mixtures,
there is a statistical averaging effect in terms of product mix and distribution among all lubricants. A
typical aldol condensation reaction is shown below:
O O OH
|
CH3–C–CH3 + CH3–C–CH3 → CH3–C–CH3 → CH3–C–CH3 + H2O
|
CH2 CH
| |
CO CO
CH3 CH3
The conjugated double bonds of the products are characteristic of the condensation reactions. They have
been experimentally detected by NMR on surface films produced under base oil lubricated contacts
(Naidu et al., 1984). These conjugated double bonds then provide the impetus for further polymerization
to higher-molecular-weight products.
Naidu et al. (1984) demonstrated that the chemistry proceeds in the following sequence: primary
oxidation step; formation of organic acids; aldol condensation reactions to form high-molecular-weight
compounds. When the molecular weight reaches the solubility limit (about 100,000), the reaction prod-
ucts become insoluble and deposit on the surface. Figure 12.4 shows the molecular weight increase as a
function of oxidation time. The lubricant is subjected to thin film oxidation at temperatures of 225 and
275°C for different oxidation durations. The surface reaction products are dissolved in a polar solvent,
typically tetrahydrofuran (THF), and analyzed by passing through a gel permeation column for molecular
size separation. The detailed procedure is described elsewhere (Cho and Klaus, 1983).
As shown in Figure 12.4 (Cho and Klaus, 1983), the original lubricant has an average molecular weight
of about 400, which is indicated by the solid zero minute line. As the oxidation continues, the higher-
molecular-weight fraction increases in magnitude. At a higher temperature of 275°C, the increase in
molecular weight is much faster, but the trend is the same. Similar behavior has been observed under
dynamic wearing conditions, as will be discussed in a later section on organometallic compounds.
As one can see, oxidation reactions are complex, and they are necessary to form the polar species,
which in turn react with the metal surfaces, forming polymers which lubricate the surface. The linkage
between oxidation and wear has long been suspected, but the detailed mechanistic explanation is lacking.
It has long been postulated by the lubricant researchers’ community that more oxidation-resistant oils
are intrinsically more wear resistant. But as we shall demonstrate, the relationship between oxidation
reactions and film formation tendencies is complex. Figure 12.5 shows the relationship between oxidation
and wear for a set of five reference oils (ASTM sequence III engine dynamometer test for oxidation and
wear; high wear reference oils produce higher wear in the engine dynamometer tests, low wear reference
oils produce lower wear). Four-ball wear test results are measured before and after oil thickening tests
(OTT) on the lubricants (oil thickening tests conditions: 60 mL/min air flow rate, 171°C, 5% drain oil
as catalyst). As can be seen, the high wear reference oils (77B and 77C) have a much higher response to
oxidation than the low wear reference oils.
Recent data suggest that not all films are protective (Hsu, 1991). Depending on the nature of the solid
surfaces, many films can be formed. Some of them are protective, some of them are corrosive, and some
are simply the reaction product residue, which does not affect the friction and wear.
FIGURE 12.9 SEM micrographs of film from wear tests on silicon nitride using paraffin oil containing 1%
2-ethylhexyl ZDP.
gel permeation column. So these signals indicate the amount of organometallic compounds as a function
of molecular weight. In these two cases, one can see that the steel surface, under identical reaction
conditions, forms a larger quantity of high-molecular-weight products and produces a large quantity of
organo-iron compounds. The copper surface, on the other hand, produces a much smaller amount of
organo-copper compounds (note the scale difference between steel and copper) even though the molec-
ular weights of the organometallic compounds are about the same. The molecular weight distribution
curves also suggest that copper did not cause the original molecular weight distribution to change
substantially, i.e., the lubricant is not significantly oxidized.
Figure 12.13 shows the formation of organo-iron compounds as a function of time under static
oxidizing conditions. As one can see, the iron peak intensity increases with time. This indicates that the
amount of organo-iron compounds are increasing as a function of time. The data also indicate that there
is an induction time under static oxidation conditions for the organo-iron compounds to form. The
analytical procedures used here are sensitive to ppm level of iron, and the amount of organometallic
compounds detected depends on the solvent and the extraction procedure.
Figure 12.14 shows the result when the same procedure is applied to the dynamic wear case for a super-
refined mineral oil base stock in a four-ball wear tester. The wear procedure used is a modified procedure
in that only 6 µL of lubricant is available to the contacts. This way, the reaction products and the reaction
sequence are concentrated for ease of analysis. A broad spectrum of organo-iron compounds of various
molecular weights is found, with molecular weights ranging up to about 100,000. Higher-molecular-
weight compounds are not detected, suggesting that the solubility limit has been reached Figure 12.15
shows the results for a fully formulated lubricant (containing antiwear additives, detergents, dispersants,
etc.) as a function of time. In this case, the amount of organo-iron compounds is much less, but the
presence of organo-iron compounds can be detected very rapidly. Optical pictures reveal that the boundary
lubricating film is fully formed after only 1 minute of wearing contact. There seems to be a shearing
action reducing the molecular weight of the products and shifting the maximum amount of organo-iron
to a molecular weight of about 3000.
These organometallic compounds are also found on cam and tappet parts in an ASTM engine dyna-
mometer test, the sequence III oxidation wear test. Cam and tappet parts were taken from ASTM test
stand calibration runs and analyzed for surface reaction products. Similar patterns were observed. This
suggests that organometallic compounds play an important role in the formation of the boundary
lubricating films.
calcium sulfonates but decreases with load in the case of a friction modifier. This is reasonable since
friction modifiers depend on multilayer adsorption and easily sheared planes between the molecular
layers. As load increases, the film thickness will decrease. Monomolecular film studies have also been
done (Briscoe and Evans, 1982). The measured shear strength for stearic acid was found to be on the
order of about 10 MPa on a steel surface.
Comparison of these two results is difficult because of the differences in measurement techniques, film
chemistry, and film thickness. Yet in terms of an order of magnitude comparison, it is instructive to note
that a monolayer is relatively weak and the complex films generated by lubricants are relatively strong.
Another observation is that not all films lubricate (Deckman, 1995). Hsu (1991) suggested that there is
an optimum reactivity for a film to lubricate the surfaces based on the commonly observed constant
renewal, sacrificial lubrication mechanisms. The ability of the film to lubricate the surfaces depends on
the adhesive and cohesive strengths of the film with respect to the surface.
Warren et al. (1998) used scanning force microscopy to determine nanomechanical properties of ZDP
films from both static (heating) and wear tests. They found that films generated in the highly loaded
regions of the wear test were markedly different in nanomechanical response than films from a lightly
loaded region and films from a static test.
We have attempted to show the linkage among the oxidation reactions, polymerization reactions, and
the effects of different materials in effecting lubrication. The picture that is emerging is complex but
traceable to molecular phenomena on the surface. The surface is an integral part of the reacting system.
Since surfaces depend on many variables including machining, defects, crystalline configurations, oxide
layers, hydride layers, etc., the resulting reaction pathways sometimes are difficult to predict. But knowing
Fe peak intensities
Molecular Weight
FIGURE 12.14 Molecular weight distribution of organometallic compounds from dynamic wear tests.
the surface layer composition precisely, and the operating conditions, the future of predicting boundary
lubrication is foreseeable, albeit with the existence of many formidable obstacles.
With the many studies on boundary film formation, some generalizations can also be made.
Figure 12.16 shows the general diagram for the formation of boundary films.
The area of tribochemistry needs many more studies to understand the intricate interactions between
surfaces and molecules under rubbing conditions. The role of surface defects as well as dangling bonds
(Lenahan and Curry, 1990) needs to be identified and characterized in order to gain important insights
into surface reactions which have wide implications for other areas of research as well.
Data from Tonck, A., Kapsa, Ph., and Sabot, J. (1986), Mechanical behavior of
tribochemical films under a cyclic tangential load in a ball flat contact, J. Tribology,
Vol. 108, 117.
and Tsukruk, 1998), resonance methods (Cleveland et al., 1993), and reference cantilevers (Gibson et al.,
1996). A simple, accurate, calibration for both normal and tangential forces is still elusive.
The issue of relevance of these nanoscale measurements to larger “real world” devices is still being
debated. Interestingly enough, the relevance issue is being bridged by the fact that actual devices are now
shrinking down to the scale of measurement — as in the rapidly developing fields of micromachines and
microelectromechanical systems (MEMS).
Some very interesting contributions are being made on slightly larger scales with modified SFA and
SPM apparatus. These tribometers and indenters make very small-scale measurements of surfaces and
films in the nanometer and micrometer scale contact regime. One of the simplest SPM modifications,
first made by Ducker (Ducker et al., 1991), was the attachment of very small spheres to the end of an
SPM cantilever. Instead of a contact with 10 nm radius of contact that might just push a film aside, the
contact could be enlarged to micrometer dimensions. In another approach, the research group at L’École
Central (Bec et al., 1996; Tonck et al., 1986; Georges et al., 1998) have developed an apparatus that utilizes
a variety of diamond and sphere tips to apply controlled forces to surfaces and measure their effects.
They have made considerable progress in probing the properties of important boundary lubricating thin
films such as ZDP on surfaces.
In boundary lubrication research, the key has always been unlocking the understanding of the under-
lying chemistry taking place during lubrication. In many cases this means using the combination of wear
testing and key analytical instrumentation designed to elucidate the chemical mechanism responsible for
lubrication. In the area of analytical measurements of surface films, the workhorse techniques of FTIR,
Raman, XPS, and Auger are being augmented with highly sensitive and specific techniques such as near
edge X-ray absorption fine structure (NEXAFS) spectroscopy, which utilizes a synchrotron radiation
source to generate soft X-ray beams to measure the presence and orientation of molecularly thin films
on surfaces. This technique was first applied to stearic acid on copper and was able to provide a detailed
understanding of the surface bonding under both static and dynamic rubbing conditions (Fischer et al.,
1997a,b). The technique was also recently applied to nanometer-thin layers of perfluoropolyether
12.5.1 Wear
Wear is a system function. It depends on the system, which includes the materials, surface roughness,
lubricants, environment, operating conditions, temperatures, etc. To predict wear a priori, i.e., without
experimental fitting constants, is very difficult. Yet wear is such an important parameter, so studies abound
to describe the wear processes (Choa et al., 1994).
Under boundary lubrication regime, one of the most critical initial system parameters is the real area
of contact. This parameter controls the real load the asperities are under and the subsequent stress/strain
relationship beneath the contact. As discussed in the chapter titled, “Wear Maps,” the fundamental wear
process for most metals is controlled by the accumulation of strain. Greenwood and Williamson (1966)
proposed several models to describe the initial real area of contact, which is usually a small fraction of
the apparent area of contact between two engineering surfaces. One version, which assumes a distribution
of peak heights can be written as:
A = π ηβσ F1 h ()
where η = number of asperities
β = asperity radius
σ = standard deviation of the peak height distributions
and
∞
( ) ∫ (s − h) φ * (s)ds
m
Fm h =
h
There are several computer programs available to calculate the contact stresses, fluid flow, temperatures,
and elastohydrodynamic lifts (Lee and Cheng, 1992), but to link these calculations to wear is a big step.
Bell (Bell and Colgan, 1991; Bell and Willemse, 1998) used component cam-follower wear data to correlate
with oil film thickness and calculate the oil film thickness using a finite element program. The wear
contours and approximate amount of wear of the cam-follower contact in an engine was successfully
simulated. Chemical film formation as a function of additive concentrations and temperatures was not
taken into account but simulated by the bench tests.
k = m e − E RT
where T = temperature
m = a fitting coefficient
E = the activation energy (cal/mode)
R = gas constant
Naidu et al. (1986) described a global rate model based on the consumption of lubricant within a micro-
oxidation test, subjected to conditions similar to those encountered in a sliding contact. The model
describes the primary oxidation step as well as the subsequent condensation polymerization step, which
results in lubricant viscosity increase and insoluble sludge formation. These reactions can be described
as follows:
The estimated contact temperature required to produce polymerization in 10% of the total lubricant
volume is shown in Figure 12.17, as a function of film thickness. As the mean separation between the
opposing surfaces decreases, the theoretical oil temperature increases exponentially, as less oil is able to
enter the contact junction.
The mean boundary film thickness between the opposing surfaces is approximately 0.06 µm (600 Å),
as calculated from the asperity contact model detailed in the following section. The required film
temperature at this separation is 375°C. Figure 12.18 shows the calculated lubricant life at this temperature
400
600 rpm
40 kg
300
Time to Failure, minutes
°C
3 75
200
100
0
0 1 2 3 4 5
Lubricant Volume, µl
FIGURE 12.18 Calculated oil film temperature required to provide the lubricant oxidation measured during
microsample wear tests with different volumes of lubricant.
as a function of lubricant volume, along with experimentally determined values for comparison. As may
be seen, the predicted values are in general agreement with the experimental data.
The asperity temperatures within the contact zone of two rough surfaces were calculated using the
model developed by Lee and Cheng (1992). The input data include two groups: (1) experimental
conditions such as sample geometries, load, speed, the material’s elastic constants, and lubricant prop-
erties, and (2) measured data such as friction and surface roughness profiles of the worn samples. Given
roughness profiles of the opposing surfaces, the calculations include three sequential steps: (1) contact
modeling to determine the relationship between average contact pressure and the average distance (gap)
between the two surfaces, (2) rough-EHD analysis to calculate the average film thickness and the load
distribution between hydrodynamic film support and asperity contacts, and (3) temperature calculation
to determine the asperity temperature distribution within the contact zone.
Top Ball
(inverted) RMS: 0.19
Calculation Region
Relative RMS: 0.23
Test: 2160R
Load: 40kg
Scale, µm
Speed: 600rpm
Time: 60 minutes 1
Lubricant: Paraffin Oil
Material: 52100 steel 100
Measurements taken perpendicular to direction of sliding
To model two surfaces in contact, one has to describe the surface roughness and simulate the contact
geometry under static load mathematically. The contact model used assumes that both surfaces have
longitudinal roughness. The validity of this assumption has been demonstrated (Sugimura and Kimura,
1984; Wang et al., 1991) for wear scars formed after a four-ball wear test. Figure 12.19 shows the surface
roughness profiles taken from the top ball (inverted) and the lower balls after the prewear test. These
profiles were measured perpendicular to the sliding direction. To ensure accurate representation of the
wear scar on the top ball, its roughness trace was determined by averaging digitized profiles in three
angular directions (θ = 0°, θ = 120°, θ = 240°). An average trace for the lower balls was similarly
determined, one profile being taken from each of the lower balls. Subsequently, the profiles from the top
ball and the lower balls were derived, by subtraction, to form a composite profile, denoted as “relative”
trace in Figure 12.19. The contact between the top ball and the lower balls was then simulated by analyzing
the contact between the composite profile and a rigid plane. Taking into account the elastic deformation,
the local high spots (asperities) of the composite profile would deform and become flattened when the
profile is pressed against the rigid plane. The distance measured from the rigid plane to the mean line
(plane) of the deformed composite profile defines the average gap between the mean lines (planes) of the
two rough surfaces under the same load. Meanwhile, the average pressure of those deformed asperities
defines the average contact pressure. By increasing the severity of loading, the average gap becomes smaller,
while the contact pressures of the individual asperities increase. Depending on the local geometries, some
of the asperities may yield as the contact severity increases. When this happens, the model assumes that
the contact pressure stays at the yield pressure and does not increase further. If one varies the loading
mathematically, one could determine the relationship between the average contact pressure and the average
gap, as illustrated in Figure 12.20. For this particular simulation, since the balls are preworn, the maximum
Hertzian pressure under an applied load of 40 kg is estimated to be 0.847 GPa. The average gap in the
central portion of the contact is about 0.06 µm, according to Figure 12.20. The r.m.s. value of the “relative”
roughness shown in Figure 12.19 is 0.23 µm. After the relationship between average contact pressure and
average gap has been determined, the rough-EHD analysis was then carried out.
In the rough-EHD analysis, a line-contact between two rough cylinders is assumed, and only the inlet
half of the contact is analyzed (Lee and Cheng, 1992). The pressure along the centerline of the line contact
is assumed to be the same as the maximum Hertzian pressure determined by considering the preworn
geometry. The film thickness solution of the rough-EHD analysis is based on the average gap. Since the
analysis is based on two rough surfaces in contact, the two cylinders are subjected to two types of pressures;
one from hydrodynamic lift, the other from asperity contact pressures. The relationship between average
contact pressure and average gap determined in the contact simulation previously is therefore utilized
0
0.0 0.1 0.2 0.3
Average Gap, µm
FIGURE 12.20 Average contact pressure as a function of gap between mean lines of opposing surfaces.
1.0
0.6
0.4
0.2
Hydrodynamic Pressure
0.0
-1.2 -1.0 -0.8 -0.6 -0.4 -0.2 0.0
X/b
FIGURE 12.21 Normal pressure as a function of normalized distance from contact center.
in the calculation of the overall pressure distribution of the contact. Figure 12.21 illustrates the load-
sharing characteristics between asperity contact and hydrodynamic lift, as a function of the normalized
distance from the center of the contact. The parameter b is the Hertzian contact radius. Clearly, asperity
contacts carry most of the normal load, thus, sliding friction between the opposing asperity contacts will
be responsible for most of the heat generated. Besides the pressure estimations, the rough-EHD analysis
also calculates the average friction coefficient from the asperity contacts based on the measured friction
value (Lee and Cheng, 1992). In this case, the measured friction coefficient was 0.11, and the average
asperity contact friction was determined to be 0.112.
From the rough-EHD calculations, the size and shape of the asperities within the contact zone can be
determined. Each asperity contact forms roughly an elongated ellipse, with its major axis orientated in
the sliding direction. Also, the pressure distribution on each asperity as a function of distance from the
contact centerline can be determined. Before the temperature calculations are performed based on Jaeger’s
work (Jaeger, 1942), some further simplifications are taken. Each asperity contact is approximated to be
rectangular, and its average contact pressure is used for temperature calculations. Frictional heating is
180
Temperature, °C
160
140
120
100
0.0 0.1 0.2 0.3 0.4 0.5
Contact Area Ratio
considered as the heat source, which includes both the average asperity contact friction and the hydro-
dynamic film friction. The resulting temperature within each asperity contact is a function of the location
measured from the centerline of the nominal contact zone. The maximum temperature of each asperity
contact is sought and will be considered as the representative temperature for that asperity. Figure 12.22
shows the cumulative temperature distribution under the conditions included in Figure 12.19. The
highest temperature attainable is approximately 220°C covering about 3% of the nominal area. These
results also reveal that the asperity contacts cover approximately 45% of the nominal area, and the bulk
temperature is ~150°C.
The results of the temperature analysis show that the temperatures within the contact zone are in the
range of 150 to 220°C. This is in general agreement with other continuum models (Francis, 1970; Fein,
1960) which, for the present test conditions, predict the maximum contact temperature to be 157 and
160°C, respectively. By using the current model, the considerations of asperity contacts, thus local high
contact pressures, and a slightly higher average friction than the measured overall friction appear to have
already increased the temperature estimates. However, the reaction kinetics model estimates an average
temperature of 375°C in the lubricant film is necessary to degrade 10% of the total lubricant. Also,
measurements carried out by Bos (Bos, 1975) under slightly more severe conditions using a subsurface
thermocouple, demonstrated that the true surface temperatures during a four-ball wear test are in excess
of 300°C. Clearly, the predicted contact temperatures based on the current mechanical model are con-
siderably lower than that required by the chemical reaction model. The discrepancy is large enough to
be significant. For a more detailed discussion on the subject, see reference Hsu et al., 1994.
lubrication much better; however, our ability to predict lubrication effectiveness in any given instance
for a particular system still needs development.
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