Wear, 44 (1977) 329 - 343

0 Elsevier Sequoia S.A., Lausanne - Printed in the Netherlands

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