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A generalized thermoelastic instability analysis

J.Y. Jang and M.M. Khonsari Proc. R. Soc. Lond. A 2003 459, 309-329 doi: 10.1098/rspa.2002.1030

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10.1098/ rspa.2002.1030

A generalized thermoelastic instability analysis

By J. Y. J a n g1 a n d M. M. K h o n s a r i2 Center for Advanced Friction Studies, Southern Illinois University, Carbondale, IL 62901-4343, USA 2 Department of Mechanical Engineering, Louisiana State University, CEBA 2508, Baton Rouge, LA 70803, USA
Received 14 February 2002; accepted 1 May 2002; published online 28 November 2002
1

The onset of thermoelastic instability (TEI) is known to be directly related to the occurrence of hot spots in a variety of mechanical components such as brakes, seals and clutches. To gain some insight into this failure mechanism, an analytical model for both the symmetric and antisymmetric modes was developed to analyse a friction pair consisting of a conducting body of nite thickness rubbing against an insulating body in the presence of a lubricating agent. The eect of surface roughness, hydrodynamic pressure and viscous shear dissipation within the lubricating lm is included in the formulation. The model provided in this paper is general and thus useful for investigating the TEI of a component at the design stage. Several new dimensionless parameters are introduced that allow one to characterize the behaviour of either dry or lubricated systems and their susceptibility to TEI.
Keywords: thermoelastic instability; hot spotting; frictionally excited instability

1. Introduction
The theory of thermoelastic instability (TEI) has recently gained considerable attention in the literature. An instability, as such, refers to an unbounded growth of temperature and pressure perturbations leading to very high local temperatures that manifest themselves in the form of macroscopic hot spots. The formation of such localized hot spots is indicative of high local stresses that can lead to material degradation and eventual failure. The objective of the TEI theory is to determine the critical operating speed beyond which frictionally induced instability is likely to set in. Archival publications dealing with TEI began with the classical work of Barber (1969). Extensive work with application to braking systems is reported by Berry & Barber (1984), Barber et al . (1985), Lee & Barber (1993a) and Du et al . (1997). Applications of TEI to mechanical seals include some of the pioneering analytical work by Burton et al . (1973), Kilaparti & Burton (1976), Banerjee & Burton (1976a; b) and Lebeck (1980). Burton (1980) gives an excellent overview of the subject, with a clear physical interpretation of the results. These papers are restricted to application of nominally at and smooth surfaces in dry contact. The implications of these limitations are discussed by Jang & Khonsari (1999). Lee & Barber (1993a) developed a model in which the brake disc was of nite thickness. They pointed out that the metal thickness is important in determining a realistic instability threshold. The threshold of instability is often translated into
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J. Y. Jang and M. M. Khonsari

R0 Ri 2l x y z conductor R fluid conductor hr h

insulator fluid insulator h0 l h fluid z x h conductor U insulator

Figure 1. Schematic of the model.

the critical speed beyond which TEI is likely to occur. According to Lee & Barber (1993a), Burtons semi-in nite analysis with a plane-strain hypothesis yields a critical speed that is beyond that observed experimentally in automotive disc-brake systems. They attributed this phenomenon, in part, to neglecting the nite thickness of the conducting body. Another important factor is the consideration of the antisymmetric mode predicted by Lee & Barber (1993a), giving rise to alternating hot spots. Yi et al. (2000) developed a nite-element model for determining the critical speed for TEI of an axisymmetric clutch or brake, and compared it with the analytical models. The present paper focuses on the derivation of a general set of governing equations for a lubricated system with a conductor with nite thickness and an insulator with a rough frictional surface. The appropriate equations are derived and solved for the critical speed beyond which the combination of mechanical deformation and thermal expansion grows without bounds. An extensive series of parametric simulations and discussion of the implication of the results are also presented.

2. Symmetric-mode theory
A schematic of the system is shown in gure 1. It consists of a body of nite thickness with high thermal conductivity (hereafter referred to as the conductor) and a rough frictional surface made of a material with very low thermal conductivity (i.e. an insulator). The gap between the two bodies is lled with a lubricant of known viscosity, , forming a nominal lm thickness, h0 , between the two bodies. One surface is stationary and the other undergoes a sliding motion at a constant speed. The system is operating under the steady-state condition. To determine the susceptibility of this system to TEI, a small surface wave, representing a disturbance, is imposed. The imposed surface wave, even though it is very small, will aect the velocity pro le in the uid, the hydrodynamic pressure distribution and the heat balance within the lm. As a result, the entire deformation eld|both thermal and mechanical|will be aected. The theory will predict whether at a given operating speed the combiProc. R. Soc. Lond. A (2003)

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A thermoelastic instability analysis

311

nation of these deformations grow unbounded thus resulting in a failure, or die out, implying that the system is thermoelastically stable. (a) Hydrodynamic pressure and shear stress The functional form of the surface wave imposed on the surface of the conducting member is assumed to be of the form h0 = h1 sin (x ct) + h2 cos (x ct); (2.1)

where h1 and h2 are the magnitudes of the sine and cosine components of the disturbance, respectively, c is the wave speed and represents the wavenumber. Immediately after the disturbance, the total lm thickness becomes h = h0 h0 : (2.2)

We assume that the surface roughness of the insulating member is isotropic, with representing its root-mean-squared (RMS) value, and we use the ow-factor approach set forth by Patir & Cheng (1978) to account for surface roughness. This approach is widely accepted for predicting the behaviour of thin- lm ows with rough boundaries within the context of lubrication theory (Khonsari & Booser 2001). The hydrodynamic pressure distribution developed in the lm due to the perturbed lm thickness is prescribed by the solution to the modi ed Reynolds equation with provisions for surface roughness (cf. Patir & Cheng 1978, 1979) given by @ p h3 @p0 @ p h3 @p0 @h 1 @ s h h + = 1U c 2U ; (2.3) 2 @x 12 @x @y 12 @y @x @x

where the parameter p0 represents the hydrodynamic pressure, is the viscosity, h and U denotes the sliding speed. Parameters p , s , and c represent the pressure ow, shear ow and contact factors, respectively. The surface-wave perturbation as prescribed by (2.1) will induce a change in the ow factors. The functional form of the ow factors subject to the surface-wave perturbation is determined by inserting the total lm thickness into ow factors and neglecting higher-order terms (cf. Jang & Khonsari 2000). Two limiting solutions of the Reynolds equation (2.3) subject to the surface-wave perturbation will be considered. The rst solution pertains to a situation whereby the side leakage is negligibly small so that the second term in the Reynolds equation (2.3) vanishes. This would be most appropriate for a system whose axial width is much greater than its length, i.e. what is commonly referred to as the in nitely wide bearing assumption (Khonsari & Booser 2001). The second limiting case is a narrow-width (in nitely short) system where @Ph 0 =@x @Ph 0 =@z. This is particularly useful for modelling a mechanical face seal with narrow width. It is convenient to put these limiting solutions in a single equation (Banerjee & Burton 1976b). The nal perturbed hydrodynamic pressure is (Jang & Khonsari 2000) p0 = h where h =
Proc. R. Soc. Lond. A (2003)

6m U h dh0 ; 2 h3 dx 0 H0 c0 + H0 p 0
s 0

(2.4)

(2.5)

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When m = 1, the solution pertains to the wide width L and with m = L2 2 =12 it applies to the narrow width. Parameters p 0 and c0 represent the pressure ow and contact factors corresponding to the nominal lm thickness h0 , respectively. Dimensionless nominal lm thickness is de ned as H0 = h0 = . The expression for the perturbed shear ow factor used in equation (2.5) is ( 2 2 0:98 1:899(0:98 0:92H0 + 0:1H0 )H0 e0:92H0 + 0:05H0 ; for H 6 5; 0 s = (2.6) 0:2815H0 e0:25H0 ; for H > 5: The viscous shear on the conducting surface is dominated by the Couette component, namely U h = ; (2.7) hT where the parameter hT represents the average gap. Inserting equation (2.2) into equation (2.7) and neglecting higher-order terms yields
h 0

U th 0 h h 2 h0 0T
1

(2.8)

for the perturbed viscous shear on the conducting surface, where 1 2i+ 2 H0 1=2 2 1 H0 2 X ( 1)i H0 p th = p e H0 + 2 H0 erf p +p i! 2 2 2 i= 0 (b) Contact pressure and contact shear stress

+1 :

(2.9)

According to Natsumeda & Miyoshi (1994), the mean pressure associated with an asperity contact, Pc , is proportional to the ratio of the real area of contact to the nominal area, namely, Pc = Ec Ac , where Ec is the proportionality constant, which we shall refer to as the `elastic modulus for contact. The real area of contact per unit nominal area can be determined using the Greenwood{Williamson theory (Greenwood & Williamson 1966). The result is given by 2 1 H Ac = p eH =2 + 1 H erf p 1 : (2.10) 2 2 2 The perturbed real area of contact, A0 , is determined by inserting equation (2.2) c into equation (2.10) and neglecting higher-order terms. The result is A0 = c c where H2 2 c = p 0 eH0 =2 2
1 H 2 0

h0 ; h0
1

(2.11) 1 :

H0 erf p 2

1 2i+ 2 X ( 1)i H0 p +p i! 2
i= 0

(2.12)

Therefore, the perturbed contact pressure is

0 Pc = c

h0 ; h0

(2.13)

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A thermoelastic instability analysis where = Ec : The perturbed shear stress on the conducting surface is simply
0 c 0 = f Pc = f c

313 (2.14)

h0 : h0

(2.15)

(c) Temperature distribution To assess the eect of temperature disturbance on the conducting surface, one must consider the transient heat-conduction equation given by @ 2T 0 @ 2T 0 1 @T 0 + = : @x2 @z 2 @t (2.16)

The proper perturbed temperature in the conductor has the form (Lee & Barber 1993a) T 0 = Im[(F cosh bz + G sinh bz) e t ej (xct) ]: (2.17) To satisfy the transient heat-conduction equation, p b = + ja = ( 2 + =) j c=; v 9 s u > 2 u1 > > 1 2 c2 t > > = + 2 + + 2 + ; > 2 > 2 2 = v s > u > > u 1 2 1 2 c2 > > t 2 + 2 > a= + + + :> 2 ; 2 2

which implies that

(2.18)

Since > 0, both a and c always possess the opposite sign. The parameters F and G in equation (2.17) are complex constants, which can be determined from the boundary conditions @T 0 = 0; T 0 jz= l = Im[T0 e t ej (xct) ]: (2.19) @z z= 0

From the above boundary conditions F = T0 = cosh bl and G = 0. Therefore, the perturbed temperature distribution in the conductor is cosh bz t j (xct) T 0 = Im T0 e e : (2.20) cosh bl (d ) Viscous dissipation in the uid and frictional heat generation The perturbed viscous heat dissipated in the uid and the perturbed frictional heat generated due to the asperity contact pressure are given by qh0 = h 0 U =
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U 2 th 0 h; h2 h0 0T

0 0 q c = f Pc U =

f U c 0 h: h0

(2.21)

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Assuming that all the perturbed heat generated is transferred into the conductor, the condition @T 0 0 0 qh + qc = k (2.22) @z
z= l

must be satis ed. Inserting equations (2.20) and (2.21) into (2.22) and solving for h1 and h2 yields k<1 T0 k<2 T0 h1 = e t ; h2 = e t ; (2.23) S1 U 2 + S2 U S1 U 2 + S2 U where 9 th f c > S1 = ; S2 = ; > = h0 h 2 h0 0T (2.24) sinh 2 l a sin 2al a sinh 2 l + sin 2al > > ; <1 = ; <2 = : (cosh 2 l + cos 2al) (cosh 2 l + cos 2al) (e) Thermoelastic deformation

A particular solution of the thermoelastic problem with the plane-strain condition can be obtained using the strain potential 0 , which satis es @2 0 @ 20 E + = T 0; (2.25) 2 2 @x @z (1 ) where the right-hand side corresponds to the temperature distribution in the conductor (equation (2.20)). To obtain a general solution that satis es the boundary conditions, the isothermal solutions A and B of Green and Zerna (cf. Barber 1992) should be superimposed on the particular solution. The isothermal solutions can be obtained from the isothermal potentials 0 and ! 0 , which satisfy the equations @2 0 @ 2 0 @ 2 !0 + = 0; + @x2 @z 2 @x2 The total displacement, uz , is de ned as 0 1 @ @ 0 @! 0 uz = Im + +z 2G @z @z @z The stresses z and xz are de ned as 2 0 @ @ 2 0 @ 2 !0 z = Im + +z 2 @x2 @z 2 @z 2 0 @ @ 2 0 @ 2 !0 xz = Im + +z @x@z @x@z @x@z The boundary conditions are uz jz= xz jz=
0 0

@ 2 !0 = 0: @z 2 (3 4 )! :
0

(2.26)

(2.27)

9 @! 0 > 2(1 ) ;> > @z = @! 0 > > ; (1 2 ) :> @x

(2.28)

= 0; = 0;
0 = h0 + c = (S1 U + S2 )h1 sin (x 0 = Ph 0 Pc = (S3 h2 + S4 h1 ) sin (x

xz jz= l

ct)

(S1 U + S2 )h2 cos (x

z jz= l

ct) + (S3 h1

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ct); > > > > > > > > ; S4 h2 ) cos (x ct);

9 > > > > > > > > =

(2.29)

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A thermoelastic instability analysis where S3 = 6m h ; h3 0 c : h0

315

S4 =

(2.30)

The total displacement on the conducting surface 0 = uz jz= l is obtained by solving the stresses and using the boundary conditions. The resultant expression is 1 ke1 0 = f(1 2 ) 2 + 1 4 g 2G kS3 <2 kS4 <1 <2 1 + k 2 sin (x ct) S1 U + S2 S1 U 2 + S2 U U 1 ke1 + f(1 2 ) 1 1 3 g 2G kS3 <1 kS4 <2 <1 + 1 + k 2 cos (x ct); S1 U + S2 S1 U 2 + S2 U U (2.31) where e1 =
1

E = ; k (1 )k

= = = = = =

(f ) Thermoelastic instability condition

9 > > > > > > > > > 2 > 2(1 ) sinh l > > ; > > > l + sinh l cosh l > > > > l (1 2 ) sinh l cosh l > > > ; > > l + sinh l cosh l > > > ( a + c) sinh 2 l (a c ) sin 2al = ; ( 2 + 2 c2 )(cosh 2 l + cos 2al) > > > > (a c ) sinh 2 l + ( a + c) sin 2al > > > ;> > > ( 2 + 2 c2 )(cosh 2 l + cos 2al) > > > > 3 c > > > > ; > 2 + 2 c2 > > > > > 2 > > > : ; 2 + 2 c2

(2.32)

To determine the threshold of instability, the constraint equation h0 =

0

(2.33)

must be satis ed. Physically, equation (2.33) states that if the sum of the deformations on the right-hand side is less than the perturbed lm thickness h0 , then the system can tolerate the perturbed surface wave, the disturbances will die out and the system will be thermoelastically stable. If the total deformation is greater than the perturbed lm thickness, TEI will set in. The solution to the resulting set of equations will give the critical speed and the wave speed.
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To determine the instability condition, we de ne a series of dimensionless parameters U c a U= ; c= ; = 2 ; = ; a= : (2.34) Inserting equations (2.23), (2.31) and (2.34) into equation (2.33), the two dimensionless equations 9 2 > e1 [ 2 (1 2 ) + 4 1 ]#1 U > > > > > > + [<2 2 #1 + e1 f 2 (1 2 ) + 4 1 g#2 + <2 1 #3 ]U > > > + [<2 2 #2 + <1 1 #4 + 2<1 ] = 0;= e1 [
1 (1

2)

1 ]#1 U

+ [<1

2 #1

+ e1 f

1 (1

2)

3 + [<1

1 g#2

+ <1 1 #3 ]U 2 #2 <2 1 #4 2< 2 ] = 0; (2.35) #4 = c : h0 G (2.36)

are obtained where th #1 = ; h0 h2 G 0T

> > > > > > > > > > ;

#2 =

f c ; h0 G

#3 =

6m h ; h3 G 0

In equations (2.36) G represents the rigidity of the conductor, de ned as G = E=2(1+ ). The parameters < and can be written in a dimensionless form as 9 sinh 2 l a sin 2a l a sinh 2 l + sin 2a l > > <1 = ; <2 = ;> > cosh 2 l + cos 2a l cosh 2 l + cos 2a l > > > > > > a + c) sinh 2 l (ac ) sin 2a l > ( > > 1= ; > = 2 )(cosh 2 l + cos 2a l) (2 + c (2.37) > > (ac ) sinh 2 l + (a + c) sin 2a l > > 2= ; > > (2 + c2 )(cosh 2 l + cos 2a l) > > > > > > c > > 3 = 2 ; 4 = 2 : ; 2 2 +c +c Mathematically, the stability parameter > 0 means that instability will grow unbounded with time and TEI is imminent. Therefore, the threshold of instability (critical speed) is obtained by setting = 0 in the equations (2.37). This leads to 1 = <1 =, 2 = <2 =, 3 = 1= and 4 = 0. Finally, equations (2.35) reduce to c c c 9 #1 2 #2 > > e1 (1 2 ) U cr + 2 #1 + e1 (1 2 ) + 1 #3 U cr > > c c > > > > > <1 <1 > + 2 #2 + 1 #4 + 2 = 0; > > = <2 <2 > 1 #1 2 1 #2 > e1 (1 2 ) U cr + 2 #1 + e1 (1 2 ) + 1 #3 U cr > > > > <1 c <1 c > > > > <2 <2 > ; + 2 #2 1 #4 2 = 0: > <1 <1 (2.38)
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The system of equations given by (2.38) can be viewed as a general form of the TEI conditions for a conductor{insulator system of nite thickness with rough surfaces separated by a lubricating lm. In (2.38), there are two unknowns: the dimensionless critical speed, Ucr , and the dimensionless wave speed, c. Before presenting special cases, it is worthwhile to examine the physical meaning of the important terms in equations (2.38). Parameters #1 and #2 multiplied by parameter e1 are related to the thermal deformation due to the viscous shear and the asperity contact pressure, respectively. Similarly, parameters #3 and #4 are related to the mechanical deformation due to the hydrodynamic pressure and the asperity contact pressure, respec tively. The dimensionless critical speed, Ucr , is expected to decrease with increasing #1 e1 and #2 e1 , since these parameters are directly proportional to the coe cient of thermal expansion, coe cient of friction, lubricant viscosity, thermal diusivity and surface roughness (RMS). On the other hand, the critical speed is improved by increasing parameters related to mechanical deformation #3 and #4 . (g) System with a thick conductor Consider a system whose conducting member is thick enough that the perturbed temperature dies away within a certain depth. For such a system it is reasonable to assume that the thickness of the conductor is in nite. Letting the thickness l ! 1, the dimensionless parameters are modi ed to 9 ~ 1 = lim 1 = 2(1 ); ~ 2 = lim 2 = (1 2 );= l! 1 l! 1 (2.39) ; ~ 1 = lim <1 = ; ~ 2 = lim <2 = a: < <
l! 1 l! 1

Equations (2.38), in conjunction with the modi ed parameters (2.39), give the critical speed for the system with a thick conductor. (h) Plane strain versus plane stress

Parameters (2.32), (2.37) and (2.39) are derived based on the assumption that the problem is posed as a plane strain. For the case of the plane-stress problem, it is convenient to use the conversions ! ; 1+ ! 1+ ; 1 + 2 E! 1 + 2 E: (1 + )2 (2.40)

Note that <1 and <2 and 1 and 2 are functions of the conductors thickness and e1 is dependent on whether the problem is posed as a plane strain or plane stress. (i ) Stationary-wave solution For most practical applications, the stationary-wave solution is an approximation of the governing equations (2.38), obtained by setting c = 0. This is a reasonable approximation, since the wave speed is very small in practice. The stationary-wave solution is important since it yields a conservative estimate for the critical speed (Jang & Khonsari 1999). For the case of stationary-wave speed, c ! 0, 1 = <2 =,
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J. Y. Jang and M. M. Khonsari p 2 = <1 =, 3 = 0, 4 = 1=, and a = 0 and = 1 + . Therefore, for the plane strain condition, <1 and <2 in equations (2.37) reduce to 318 <1 = sinh 2 l ; cosh 2 l + 1 <2 = 0: (2.41)

Assuming that the deformation due to the hydrodynamic pressure is small, equations (2.35) become 9 > 1 (cosh 2 l + 1) (1 2 ) sinh 2 l 2 e1 (#1 U + #2 U ) + ( 1 #4 + 2) = 0;= sinh 2 l > ; #1 U + #2 = 0: (2.42) The second equation shows that the critical speed is negative, which is physically meaningless and is, therefore, rejected. The limit of the rst term must be evaluated subject to ! 0. The result is
!

lim

1 (cosh 2

l + 1) (1 sinh 2 l

2 )

sinh 2 l

= (1

):

(2.43)

Therefore, the dimensionless critical speed for the plane-strain problem with a nite conductor becomes s 2 1 #2 1 #2 4 1 #4 + 2 U cr = + + : (2.44) 2 #1 2 #1 1 e1 #1 (j ) Solution for a smooth insulator If the eect of the surface roughness is neglected, then parameters #2 = 0 and #4 = 0. Therefore, equations (2.38) for the critical speed, based on moving-wave speed, become 9 # 2 <1 e1 (1 2 ) 1 U cr + [ 2 # + 1 # ]U cr + 2 = 0;> > 1 3 = c <2 (2.45) > 1 #1 2 <2 > ; e1 (1 2 ) U + [ 2 #1 + 1 #3 ]U cr 2 = 0: <1 c cr <1 In this case, the critical speed, subject to the stationary-wave speed, simpli es to s s 1 2 h0 k U cr = = ; (2.46) 1 e1 #1 (1 + )

where the parameters # and # are a modi ed form of #1 and #3 obtained for a 1 3 smooth frictional surface by letting th ! h0 = , h ! 1 and h0T ! h0 . They are de ned as 6m # = 2 ; # = 3 : (2.47) 1 3 h0 G h0 G The critical speed for the plane stress converted from (2.46) is identical to the critical speed derived by Banerjee & Burton (1976b). Note that the critical speed for the
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smooth surface, based on the stationary-wave speed, is independent of the thickness of the conductor. In dealing with circular geometries, when periodicity is involved, it is convenient to use the number of disturbances in the system, n, instead of the wavenumber, . The relationship between n and is n = R . The width factor m then becomes m = 2 n2 =3, where the aspect ratio is de ned as = R R Ri = 0 : D R0 + Ri

(k ) In uence of the shear stress on the boundary Banerjee & Burton (1976b) formulated the TEI in a seal-like con guration assuming that the contribution of shear stress on the critical speed is nil. More recently, Lee & Barber (1993b) showed that the shear eect is important when the thermal conductivities of the conducting bodies are of the same order of magnitude. When the thermal conductivities of the two bodies dier signi cantly|as is the case in the conductor{insulator system analysed here|the eect of the shear stress on the surface deformation becomes negligibly small in comparison with that of the normal 0 stresses. Applying the boundary condition xz jz= l = 0 instead of xz jz= l = h 0 + c in equations (2.29) reduces equations (2.38) to 9 #1 2 #2 <1 <1 > e1 (1 2 ) U cr + e1 (1 2 ) + 1 #3 U cr + 1 #4 + 2 = 0;> > > c c <2 <2 > > > > = 1 #1 2 1 #2 (2.48) e1 (1 2 ) U + e1 (1 2 ) + 1 #3 U cr > > <1 c cr <1 c > > > > <2 <2 > ; 1 #4 + 2 = 0:> <1 <1 Note that the zero-shear-stress boundary condition does not inuence the critical speed based on stationary-wave speed in a conductor{insulator system. (l ) Dry-friction system Let us now turn our attention to a system consisting of a conducting body sliding on an insulating body without the presence of a lubricating agent. In the absence of hydrodynamic eects, #1 = 0 and #3 = 0. Hence, the system of equations in (2.38) reduces to 9 #2 <1 <1 > e1 (1 2 ) U cr + 2 #2 + 1 #4 + 2 = 0;> > = c <2 <2 (2.49) > 1 #2 <2 <2 > > e1 (1 2 ) U cr + 2 #2 1 #4 2 = 0:; <1 c <1 <1

A solution to the set of equations in (2.49) gives the critical speed and the corresponding wave speed for a conductor{insulator system. It can be shown that, neglecting the surface-roughness eects and using the appropriate parameters for the in nite conductor thickness, the governing equations (2.49) are identical to those derived by Lee & Barber (1993b) for a system with a single conducting member.
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As mentioned in x 2 k, in a conductor{insulator system the eect of the shear stress on the boundary is negligibly small. Omitting the shear-stress term allows one to determine a closed-form analytical solution for the critical speed when dry friction is present. Investigation of equations (2.49) by omitting the terms related to the shear stress also shows that the only real solution which satis es equation (2.49) is c = 0. A similar conclusion was reached by Lee & Barber (1993b). Referring to equation (2.35), when c ! 0 and with #1 = 0 and #3 = 0, we arrive at the following relationship: 1 (cosh 2 l + 1) (1 2 ) sinh 2 l e1 #2 U + ( 1 #4 + 2) = 0: (2.50) sinh 2 l Letting ! 0, the dimensionless critical speed for the dry-friction system becomes 1 1 #4 + 2 U cr = : (2.51) 1 e1 #2

3. Antisymmetric-mode theory
For the antisymmetric mode, the boundary conditions at z = 0 are T 0 jz=
0

= 0;

ux jz=

= 0;

z jz= 0

= 0:

(3.1)

Applying the procedure as presented in x 2 (except using boundary conditions (3.1) instead of (2.19) and (2.29) at z = 0) yields the governing equations for the antisymmetric mode. It can be shown that antisymmetric equations can be simply recovered by replacing 1 ! 3 , 2 ! 4 , <1 ! <3 and <1 ! <3 in x 2. The parameters for the antisymmetric mode are de ned as 9 2(1 ) cosh2 l l (1 2 ) sinh l cosh l > 3= ; 4= ;> > = l + sinh l cosh l l + sinh l cosh l (3.2) > sinh 2 l + a sin 2a l a sinh 2 l sin 2a l > > ; <3 = ; <4 = : cosh 2 l cos 2a l cosh 2 l cos 2a l

4. Dimensionless characteristic parameters

Equations (2.38) are derived based on the plane-strain constraint with a nite thickness. Other special cases including the plane-stress equations and the semi-in nite conductor can be easily determined using table 1. (a) Moving-wave solution Signi cant insight can be gained by examining the problem in terms of a series of pertinent dimensionless variables that naturally appear in the formulation. For this purpose, we recall the governing equations for TEI in a nite conductor based on the moving-wave assumption as prescribed in (2.38). Using 1 2 = 1 coth l or 1 4 = 3 tanh l, the governing equations (2.38) can be modi ed as 9 2 > U cr I1 <A > I4 + I5 + I4 + I2 U cr + I5 I1 + I3 = 0;> > = c c <B (4.1) 2 > > 1 U cr 1 I1 <B > I4 + I5 + I4 + I2 U cr + I5 I1 I3 = 0;> ; <A c <A c <A
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Table 1. Parameters used in TEI governing equations plane stress

0 ~1 = 0 4 0 3 0 2 0 1

plane strain = = = = (1 + ) l (1 ) sinh l cosh l (1 + )( l + sinh l cosh l) 2 cosh2 l (1 + )( l + sinh l cosh l) (1 + ) l (1 ) sinh l cosh l (1 + )( l + sinh l cosh l) 2 sinh2 l (1 + )( l + sinh l cosh l)

nite

2(1 ) sinh2 l l + sinh l cosh l

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l (1 2 ) sinh l cosh l l + sinh l cosh l

2(1 ) cosh2 l l + sinh l cosh l

l (1 2 ) sinh l cosh l l + sinh l cosh l

innite

~ 1 = 2(1 )

~ 2 = (1 2 )

~ 3 = 2(1 )

~ 4 = (1 2 )

2 1+ 1 0 ~2 = 1+ 2 0 ~3 = 1+ 1 0 ~4 = 1+

A thermoelastic instability analysis

nite thickness <3 = ~ ~ <1 = <3 = e1 = sinh 2 l + a sin 2a l cosh 2 l cos 2a l

<1 =

sinh 2 l a sin 2a l cosh 2 l + cos 2a l

<2 = <4 =

a sinh 2 l + sin 2a l cosh 2 l + cos 2a l a sinh 2 l sin 2a l cosh 2 l cos 2a l ~ ~ <2 = <4 = a S= 1 1

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innite thickness

plane strain

plane stress

E = k (1 )k E e01 = k

S0 = 1 +

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where <A = <1 and <B = <2 for the symmetric mode, and the dimensionless parameters are I1 = #2 ; #1 I2 = #3 ; e#1 I3 = +2 ; e 1 #1
1 #4

I4 = coth l;

I5 =

2 1

: (4.2)

For the antisymmetric mode <A = <3 and <B = <4 , and the dimensionless parameters are I1 = #2 ; #1 I2 = #3 ; e#1 I3 =
3 #4

(4.3) Equations (4.1) reveal that the onset of critical speed is governed by ve independent, dimensionless parameters Ii (i = 1; : : : ; 5). The physical meaning of each parameter is as follows. Parameters I1 and I3 represent the ratios of the thermal and mechanical deformations caused by asperity contact pressure to the thermal deformation due to viscous shear, respectively. Parameter I2 represents the ratio of the mechanical deformation due to hydrodynamic pressure to the thermal deformation due to viscous shear. Parameter I4 is related to the thickness of the conductor. When the conductor is in nitely thick, I4 vanishes since coth l = tanh l = 1 as l ! 1 and <i and i are no longer functions of l. Parameter I5 is related to the contribution of shear stress on the boundary. In the conductor{insulator system, the eect of parameter I5 on the critical speed is very small and can be neglected, so that only four independent parameters govern TEI. If the surfaces were smooth, I1 = 0, due to #2 = #4 = 0. (b) Stationary-wave solution For the stationary-wave solution, the critical speed can be determined as q 1 1 2 U cr = 2 I1 + 2 I1 + I6 ; I6 = 4S
A #4

+2 ; #1 3

I4 = tanh l;

I5 =

4 3

(4.4)

where I6 is de ned as

+2 : e#1

(4.5)

At a xed I6 , the dimensionless critical speed decreases as I1 increases. This immediately reveals that surface roughness tends to push the threshold of the TEI to a lower operating speed. At a xed I1 , the dimensionless critical speed increases as I6 increases. In other words, when thermal deformations are xed, the critical speed increases as the mechanical deformation due to asperity contact pressure increases.

5. Results and discussion

In this section, we present a series of numerical results corresponding to a set of input parameters chosen for simulation purposes. The conductor was taken to be a disc of radius R = 0:055 m with a thickness l = 0:003 m. The appropriate thermomechanical properties were: modulus of elasticity (E = 68:948 GPa), Poissons ratio ( = 0:33), coe cient of thermal expansion ( = 2:232 105 K1 ), thermal diffusivity ( = 8:58 105 m2 s1 ) and thermal conductivity (k = 230 W m1 K1 ).
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A thermoelastic instability analysis

104 infinite thickness unstable region for finite thickness rough surface

323

103 critical speed (m s- 1) finite thickness

102

101

100 stationary-wave solution ( - -) 101

smooth surface rough surface 102 film thickness (m) Figure 2. E ect of thickness of conductor (symmetric mode).

101

The insulator was characterized by a rough surface with 6 106 m RMS surface nish, the radius and the density of the asperity tip were = 5 104 m and = 3 107 m2 , respectively, and the elastic modulus for contact was taken to be Ec = 31 MPa. The coe cient of friction between the mating surfaces was f = 0:14. The lubricant viscosity was = 0:036 Pa s. The following simulations are for the symmetric mode. Results for the antisymmetric mode are given in x 5 g. (a) Moving- and stationary-wave solutions The stationary-wave speed (c = 0) means that the perturbed wave moves at the same speed as that of the conductor. Thus, the temperature wave tends to penetrate deeper into the conducting body than in the case where c 6= 0. When c = 0, a closedform solution for the critical speed can be easily obtained. The stationary-wave solution provides a conservative prediction of the onset of critical speed. When c ! 0, h2 = 0 (see equation (4.4)) and the maximum perturbed temperature occurs at the minimum lm thickness, thus yielding the lowest critical speed. Figure 2 shows the eect of the thickness of the conductor on the critical speed Ucr for three wave disturbances (n = 3). The thick lines are computed based on the complete solution for the moving wave (equations (4.1)) and the thin lines are computed based on the stationary-wave solution (4.4). The moving-wave solution provides an upper boundary and a lower boundary, within which TEI occurs. The lower boundary coincides with the small wave speed (c ! 0) and the upper boundary corresponds to very large wave speeds. For practical purposes, the lower boundary is the most representative of the critical operating speed, above which the system is susceptible to hot spotting. The threshold of critical speed decreases with the reduction of the lm thickness due to the greater amount of frictional heat generated within the lm.
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J. Y. Jang and M. M. Khonsari

plane strain 103 critical speed (m s- 1) plane stress unstable region for plane strain rough surface

102

101 smooth surface 100 stationary-wave solution ( - -) rough surface

10-

101 film thickness (m) Figure 3. E ect of plane strain and stress (symmetric mode).

102

(b) E ect of conductor thickness A body of nite thickness with a rough surface is susceptible to TEI at a lower critical speed. This can be explained by noting that 1 = 0:11 for a nite body and ~ 1 = 1:34 for a body of in nite thickness. Therefore, parameter I6 for a thick body is much greater, implying a larger contact-pressure term. Physically, the threshold of the TEI is pushed to a higher operating speed when the contact pressure is high. It is interesting to note that lowering the modulus of elasticity of the conductor also tends to delay the critical speed, since it results in a greater value of parameter I6 . Zagrodzki (1990) independently reached the same conclusion. (c) Plane strain versus plane stress Posing the plane problem as a plane-strain or a plane-stress problem inuences the TEI predictions for the nite-thickness conductor. The appropriateness of these conditions depends on the application. For instance, in a seal-like con guration the discs are generally narrow, and appropriate solutions can be obtained by treating the problem using the plane-stress constraint. On the other hand, the plane-strain solution is best suited when one deals with wide discs, as in a typical automotivebrake application. Figure 3 shows the simulation results. The critical predicted speed corresponding to plane stress is higher than its plane-strain counterpart. This can be explained by examining the stationary-wave solutions. For the plane strain 1 = 0 0:11, whereas 1 = 0:123 for the plane stress; hence the parameter I6 for the plane stress becomes greater (see equation (4.4)). (d) Number of disturbances A direct consequence of TEI is the formation of macroscopic hot spots on the conductor. Hot spots occur in a variety of sizes and their numbers are often quanti able
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A thermoelastic instability analysis

104 unstable region 103 critical speed (m s- 1) number of hot spots observed experimentally by Netzel (1980) finite thickness plane stress

325

102

101

operating speed 7200 RPM

predicted maximum number of wave disturbances

100

4 6 number of wave disturbances, n

10

Figure 4. Critical speed of a mechanical face seal lubricated with water at H 0 = 2:5 (symmetric mode).

with the naked eye. The expected number of hot spots in a system in which the operating speed has exceeded that of the TEI threshold can be predicted using the present theory. While the occurrence of hot spots is directly related to the number of disturbances in the system, in general, one does not know a priori how many disturbances are generated on the surface. Figure 4 shows the relationship between the critical speeds Ucr and the number of wave disturbances. These were simulated by assuming a lm thickness h0 = 2:5 and including a prescribed surface roughness. To examine the utility of these simulations, let us examine the experimental results of Netzel (1980), who tested a mechanical face seal lubricated with water. Netzel noted the appearance of ve to six hot spots when operating the seal at 7200 RPM (37.7 m s1 ). The aspect ratio of the face seal is = 0:05, and the friction coe cient was taken to be f = 0:2. The parameters used to simulate Netzels experiments are as follows (cf. Lebeck 1980). The properties of the conductor are k = 70 W m1 K1 , = 2:8 105 m2 s1 , E = 500 GPa and = 5 106 K1 . The viscosity of water = 6:83 104 Pa s at 38 C and the thickness of the conductor l is 0.02 m. The roughness (RMS) = 0:381 m m and the Poissons ratio = 0:33. The surface-characteristic parameter was taken to be 0.5 MPa. The lm thickness has the range of two to three standard deviations in most seal contacts (cf. Lebeck 1991). Therefore, h0 = 2:5 m m was assumed in this simulation. It is reasonable to solve the mechanical seal problem as a plane stress due to its narrow width. As shown in gure 4, the maximum number of expected hot spots is seven if the problem is posed as a planar stress. It should be noted that the assumed value of lm thickness may play an important role in the discrepancy between the prediction and experimental results. Also, the stator in the seal is modelled as an insulator, which is an idealization. However, the overall agreement between the theory and experiment is satisfactory.
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J. Y. Jang and M. M. Khonsari

E = 1 GPa 103 critical speed (m s- 1) E = 100 GPa 102 E = 10 GPa

E = 0.1 GPa

101 stationary-wave solution ( - -)

100

10-

101 film thickness (m) Figure 5. E ect of elastic modulus (symmetric mode).

102

(e) E ect of elastic modulus Figure 5 shows the eect of the elastic modulus, E, for the plane strain with a nite conductor. It is seen that the eect of the modulus of elasticity is quite pronounced for a lm thickness of 3{20 m m, which is most appropriate in seals and wet clutches. As the lm thickness increases, the eect of the elastic modulus becomes small and, at a certain lm thickness, the critical speed becomes insensitive to the value of E. One explanation is that, when the lm thickness is small, parameter I3 , which is directly related to the perturbed contact pressure, becomes dominant. On the other hand, when the lm thickness is large, I1 becomes the dominant parameter of the problem. The contact pressure is relatively large at a small lm thickness. It decreases as the lm thickness increases, and beyond 3 the contact pressure becomes zero. (f ) E ect of surface roughness Figure 6 shows the eect of the dimensionless surface characteristic parameter = =Ec for the plane strain with a nite conductor. Roughness has a pronounced eect on the critical speed. The critical speed decreases with increasing dimensionless surface characteristic parameter since more frictional heat is generated at a relatively large . The eect of the surface characteristic parameter is shown to decrease as the lm thickness increases, and beyond h0 = 3 the roughness eect diminishes. (g) E ect of antisymmetric mode Figure 7 shows the critical speed of the symmetric and antisymmetric modes. The lubricant viscosity used in this simulation was = 6:83 104 Pa s. For the antisymmetric mode, hot spots locate alternately on the two sides of the disc, leading to a circumferential buckling (Lee & Barber 1993a). As mentioned in x 5 a, the stationary-wave solution for the symmetric mode coincides with the lower boundary
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A thermoelastic instability analysis

104 103

327

c- = 5
critical speed (m s- 1) 102 101 100 10101

c - = 0.5 stationary-wave solution ( - )

c - = 0.05 c - = 0.5 c- = 5

101 film thickness (m)

102

Figure 6. E ect of surface characteristic parameter (symmetric mode). 104 moving-wave solution for antisymmetric mode 103 critical speed (m s- 1)

stationary-wave solution for antisymmetric mode

102

101

stationary-wave solution for symmetric mode moving-wave solution for symmetric mode

100

10 number of wave disturbances, n

15

20

Figure 7. Critical speed for the antisymmetric mode.

of the moving-wave solution. The stationary-wave solution for the symmetric mode increases with the number of disturbances. However, the stationary-wave solution for the antisymmetric mode decreases rapidly at a relatively small number of disturbances. After its minimum, the critical speed increases with wavenumber. When the number of disturbances is small, the threshold of instability predicted with the stationary-wave solution for the antisymmetric mode is higher than that for the symmetric mode due to the assumption of the rigid insulator. The rigid insulator prevents the conductor from deforming in the antisymmetric mode. In contrast, in
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the system of two conducting bodies, the results show that the critical speed for the antisymmetric mode is lower than the critical speed for the symmetric mode due to the deformability and thermal conductivity of both discs (Lee & Barber 1993a). However, the results predicted for the insulator{conductor system are important since they predict the most conservative critical speed. Equation (4.4) shows that the stationary-wave solution is a function of 1 for the symmetric mode and 3 for the antisymmetric mode. At a relatively large number of disturbances, both 1 and 3 approach 2(1 ); hence, the stationary-wave solutions for both the symmetric and the antisymmetric modes become identical. The most striking dierence between the symmetric and the antisymmetric modes appears in the moving-wave solutions. Simulations show that for a lubricated insulator{conductor system, the antisymmetric moving-wave solutions are associated with large number of disturbances, whereas the symmetric-mode instability can also occur at low number of disturbances.

6. Concluding remarks
A model is developed for treating TEI in a conductor{insulator system in the presence of a liquid lubricant. Both the symmetric and antisymmetric modes are considered in this analysis. Appropriate governing equations are derived and solved for the critical speed. This takes into account surface-roughness characteristics and uid{solid interaction with a conducting body of nite thickness. It is shown that the moving-wave solution provides a complete description of TEI. However, a much simpler solution is obtained using the stationary-wave assumption. It is shown that the stationary-wave solution provides a lower limit on the critical speed, beyond which TEI is predicted to occur. As such, the stationary-wave results for the insulator{conductor system may be viewed as conservative and hence useful for design purposes. The theory reveals that the critical speed is governed by ve independent dimensionless parameters and that their interaction determines the susceptibility of a system to TEI. Of particular interest are the thickness of the conducting member and its surface roughness, the inuence of the lubricant viscosity and lm thickness, and the physical properties of the contacting bodies. Extensive parametric simulations reveal that surface roughness tends to initiate TEI at a much lower operating speed than that of a `smooth surface. However, the roughness eect vanishes beyond h0 = 3 . The theory shows that the number of surface disturbances is directly related to the number of hot spots. Comparison with independent experimental results revealed a satisfactory prediction of the number of hot spots. For the symmetric mode, the maximum number of hot spots in an in nitely thick conductor is found to be smaller than that of a conductor of nite thickness. Based on the stationary-wave solution, the critical speed for the antisymmetric mode is higher than that for the symmetric mode due to the rigidity of the insulator. The number of hot spots can be estimated using the approach presented in the paper.

References
Banerjee, B. N. & Burton, R. A. 1976a Thermoelastic instability in lubricated sliding between solid surfaces. Nature 121, 157{166. Banerjee, B. N. & Burton, R. A. 1976b An instability for parallel sliding of solid surfaces separated by a viscous liquid lm. J. Lubrication Technol. 98, 399{400.
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Barber, J. R. 1969 Thermoelastic instabilities in the sliding of conforming solids. Proc. R. Soc. Lond. A 312, 381{394. Barber, J. R. 1992 Elasticity, pp. 200{201. Dordrecht: Kluwer. Barber, J. R., Beamond, T. W., Warning, J. R. & Pritchard, C. 1985 Implications of thermoelastic instability for the design of brakes. ASME J. Tribol. 107, 206{210. Berry, G. A. & Barber, J. R. 1984 The division of frictional heat|a guide to the nature of sliding contact. ASME J. Tribol. 106, 405{415. Burton, R. A. 1980 Thermal deformation in frictionally heated contact. Wear 59, 1{20. Burton, R. A., Nerlikar, V. & Kilaparti, R. 1973 Thermoelastic instability in a seal-like conguration. Wear 59, 177{188. Du, S., Zagrodzki, J. R., Barber, J. R. & Hulbert, G. M. 1997 Finite element analysis of frictionally excited thermoelastic instability. J. Thermal Stresses 20, 185{201. Greenwood, J. A. & Williamson, J. B. P. 1966 Contact of nominally at surfaces. Proc. R. Soc. Lond. A 295, 300{319. Jang, J. Y. & Khonsari, M. M. 1999 Thermoelastic instability including surface roughness e ects. ASME J. Tribol. 121, 648{654. Jang, J. Y. & Khonsari, M. M. 2000 Thermoelastic instability with consideration of surface roughness and hydrodynamic lubrication. ASME J. Tribol. 122, 725{732. Khonsari, M. M. & Booser, E. R. 2001 Applied tribology: bearing design and lubrication. Wiley. Kilaparti, R. & Burton, R. A. 1976 A moving hot-spot conguration for a seal-like geometry, with frictional heating, expansion and wear. ASLE Trans. 20, 64{70. Lebeck, A. O. 1980 The e ect of ring defection and heat transfer on the thermoelastic instability of rotating face seals. Wear 59, 121{133. Lebeck, A. O. 1991 Principles and design of mechanical face seals. Wiley. Lee, K. & Barber, J. R. 1993a Frictionally excited thermoelastic instability in automotive disk brakes. ASME J. Tribol. 115, 607{614. Lee, K. & Barber, J. R. 1993b The e ect of shear tractions on frictionally excited thermoelastic instability. Wear 160, 237{242. Natsumeda, S. & Miyoshi, T. 1994 Numerical simulation of engagement of paper based wet clutch facing. ASME J. Tribol. 116, 232{237. Netzel, J. P. 1980 Observation of thermoelastic instability in mechanical face seals. Wear 59, 135{148. Patir, N. & Cheng, H. S. 1978 An average ow model for determining e ects of three-dimensional roughness on partial hydrodynamic lubrication. J. Lubrication Technol. 100, 12{17. Patir, N. & Cheng, H. S. 1979 Application of average ow model to lubrication between rough sliding surfaces. J. Lubrication Technol. 101, 220{230. Yi, Y.-B., Barber, J. R. & Zagrodzki, P. 2000 Eigenvalue solution of thermoelastic instability problems using Fourier reduction. Proc. R. Soc. Lond. A 456, 2799{2821. Zagrodzki, P. 1990 Analysis of thermomechanical phenomena in multidisc clutches and brakes. Wear 140, 291{308.

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