Elasto-plastic statistical model of strongly anisotropic rough surfaces
for ?nite element 3D-contact analysis
Ryszard Buczkowski a ,Michal Kleiber
b,c,*
a
Technical University of Szczecin,Division of Applied Mechanics,Piastow 41,71-065Szczecin,Poland
b
Institute of Fundamental Technological Research,Polish Academy of Sciences,Swietokrzyska 21,00-049Warsaw,Poland
c
Department of Mathematics and Information Sciences,Warsaw University of Technology,Poland
Received 23February 2005;received in revised form 15November 2005;accepted 15November 2005
Abstract
The complete elasto-plastic microcontact model of anisotropic rough surfaces is proposed.The description of anisotropic random surfaces is restricted here to strongly rough surfaces;for such surfaces the summits are represented by highly eccentric elliptic paraboloids having their semi-major axes oriented in the direction of the grain.The present model is based on the volume conservation of asperities in which the plasticity index is modi?ed to suit more general geometric contact shapes during plastic deformation process.This model is utilized to determine the total contact area,contact load and contact sti?ness which are a mixture of both the elastic and plastic com-ponents.For low nominal pressures both the elastic and elasto-plastic contact sti?ness is found to be almost linear in relation to the normal load.The elastic and elasto-plastic sti?ness coe?cients decrease with increasing variance of the surface height about the mean plane.The standard deviation of slopes and standard deviation of curvatures have no observable e?ects on the normal contact sti?ness.ó2006Elsevier B.V.All rights reserved.
Keywords:Rough surfaces;Statistical modelling;Contact sti?ness;Finite element method
1.Introduction
For machined metal surfaces the height,slope and curvature of asperities are random and have the Gaussian or nearly Gaussian probability distribution.This fact suggests that the geometry of such surfaces can be described statistically assuming they are described by a limited number of variables.On the basis of probability theory Greenwood and William-son [1](GW model),Whitehouse and Archard [2],Nayak [3,4],Bush et al.[5–7],Sayles and Thomas [8],Whitehouse and Phillips [9–11]and Greenwood [12]have made an important advancement in developing the asperity based-model.
The observation of Pullen and Williamson [13]that the volume of deformed asperities is conserved stimulated Chang,Etsion and Bogy [14](CEB model)to adopt it in their elasto-plastic model of deformed spheres.They introduced an improved model where the asperity deformations are primarily elastic but there is also a signi?cant number of asperities beyond their elastic limit.Recently,Horng [15]extended the CEB model to describe a more general case of an elliptical contact of asperities.On the other hand,surfaces machined by turning,honing or grinding,have orientation corresponding to the direction of motion of the cutting tools relative to the workpieces,and a model of anisotropic rough surfaces must be then employed.In such cases,it is necessary to include both the principal curvatures taking into account the directional
0045-7825/$-see front matter ó2006Elsevier B.V.All rights reserved.doi:10.1016/j.cma.2005.11.014
*
Corresponding author.Address:Institute of Fundamental Technological Research,Polish Academy of Sciences,Swietokrzyska 21,00-049Warsaw,Poland.
E-mail address:michal.kleiber@https://www.sodocs.net/doc/ca15487468.html,.pl (M.Kleiber).
https://www.sodocs.net/doc/ca15487468.html,/locate/cma
5142R.Buczkowski,M.Kleiber/Comput.Methods Appl.Mech.Engrg.195(2006)5141–5161
nature of surface roughness.To do so,the asperities may be replaced by elliptic paraboloid and then the analysis due to Hertz may be employed for elastic deformation of the surfaces.The statistical theory of Longuet-Higgins[16,17]in its gen-eral form provides a complete description of random anisotropic surfaces.Nayak[3]considered the application of the Longuet-Higgins[16,17]theory to anisotropic engineering surfaces and demonstrated how the spectrum moments up to order4can be obtained by knowing seven pro?le parameters(invariants)of the surface.These parameters,which are deter-minants of correlation matrices used in the multi-dimensional normal distribution theory are termed invariants of the surface and are independent of the orientation of the coordinate axes.Each of these invariants was discussed by Nayak [3]in terms of its respective physical interpretation.For a general analysis,?ve non-parallel pro?les are required to calcu-late the surface moments m ij in terms of the pro?le moments m n(h).A case of engineering importance is the surface with a grain pronounced to one direction.A theoretical analysis of such surfaces was presented by Bush et al.[5–7].They derived a joint distribution density function for random asperity heights and curvatures of elliptic paraboloids in elastic contact with a smooth rigid?at for both the isotropic[5,6]and anisotropic[7]surface.An interesting fact about non-isotropic sur-faces is that one needs nine constants(spectral pro?le moments m ij)to proceed with the analysis of the surface statistics. However,the properties of the surface are independent of the orientation of the plane reference surface coordinates(x,y). In relation to the anisotropic case Bush et al.[7]simpli?ed the general anisotropic rough surfaces to a strongly anisotropic one.In this case it is su?cient to consider?ve surface parameters:the variance of the surface height m00,two principal mean square slopes m02,m20and two principal mean square curvatures:m04,m40.A more general description of aniso-tropic surfaces was recently presented by So and Liu[18].This approach showed that the plastic part of the contact area increases signi?cantly as the degree of anisotropy increases.McCool and Gassel[19]gave the mathematical basis for aniso-tropic description using the Monte Carlo simulation technique.Another approach was taken by Kucharski et al.[20], Kogut and Etsion[21]and Larsson et al.[22]who proposed a?nite element model to determine a more realistic elasto-plastic or elasto-viscoplastic deformation for the analysis of a single-asperity behaviour,and then the relations derived were combined with a statistical description of the rough surface.
Di?erent approaches have been considered to describe micromechanical contact laws.The available formulations are based either on curve-?tting of experimental results or on statistical analysis of rough https://www.sodocs.net/doc/ca15487468.html,prehensive review of such models has been recently presented by Wriggers[23].An extensive survey of statistical models of rough surfaces was made by Thomas[24],Bhushan[25–27]and Whitehouse[28].Relations between surface parameters of the pro?lomet-ric and various asperity-based models were summarized by McCool[29].According to him,for the isotropic case the prediction of nominal pressure assuming the bandwidth parameter a=10is lower by nearly a factor of2in comparison to the elastic isotropic model taken from reference of Bush,Gibson and Thomas[5](BGT model)but is in good accordance with an asymptotic solution of the BGT model and the GW model.The question why the agreement is not better at higher bandwidth parameters a is not known[29].The suggestion of Mcool that it could be due to truncation errors in the numer-ical integrations is not justi?ed.A comparison of all simpli?ed models to the strongly anisotropic model of Bush,Gibson and Koegh[7](BGK)is therein not given.
It appears that the statistical roughness models given in the context to the?nite element procedure by Willner and Gaul [30],Zavarise and Schre?er[31](both related to the elastic case)and Buczkowski and Kleiber[32](the elasto-plastic case) were published?rst.
This study concentrates on building an elasto-plastic statistical model of rough surfaces for which the joint sti?ness can be determined in a general way.In Section3,we begin with a complete description of anisotropic random surfaces to be restricted here to strongly rough surfaces;for such surfaces the summits are represented by highly eccentric elliptic parab-oloids having their semi-major axes oriented in the direction of the grain.The statistical description of random,strongly anisotropic Gaussian surfaces based on the model of Bush et al.[7]is adopted.To calculate the forces and contact area for the single asperity in the elastic range the solution of Hertz is used(Section4).Section6presents an elasto-plastic micro-mechanical model of rough surfaces which is based on volume conservation during plastic deformation.Both the elastic and elasto-plastic normal contact coe?cients are derived in Sections5and7,respectively.Section8is devoted to the?nite ele-ment incremental solution of fully three-dimensional contact problem accounting for the normal contact sti?ness obtained using the statistical model of the strongly anisotropic rough surfaces.Some conclusions are presented in Section9.
2.How to describe surface roughness?
Modelling of the contact of rough surfaces has been treated using a number of approaches.One of the methods is a fractal description of engineering surfaces being presently a subject of the intensive discussion.Because the conventional parameters like slopes and curvatures are very scale-sensitive,attractiveness of the fractal model consists in its ability to predict the relationship between roughness parameters and sampling size or the resolution of the measuring instrument. The surface roughness can be adequately described using self-a?ne fractal models.A self-a?ne fractal object needs to be characterized by at least two parameters de?ned as the fractal dimension D which describes how roughness changes with scale and the amplitude parameter(sometimes called topothesy)K de?ned as the horizontal separation of pairs of points on
a surface corresponding to an average slope of one radian.A number of methods have been suggested in the literature to estimate both the D and K parametres.The structure function,spectral,the variogram,roughness-length and line scaling methods were used to calculate fractal parameters.Many authors showed that the fractal parameters are scale dependent,which arise from the sampling size,sampling interval and the resolution of the scanning instrument.Fardin et al.[33,34]used a 3D laser scanner having high accuracy and resolution to investigate the scale dependent behaviour of a large and rough rock fracture.Four sampling windows were selected from the central part of the modi?ed digital replica.Their results show that both D and K are scale dependent and their values decrease with increasing size of the sampling windows of the 3D-laser scanner.The authors obtained a power law relation between the standard deviations of the reduced asperity height and the window sizes for the all sampling windows.They concluded that the scale-dependency is always limited to a certain size,de?ned as the stationarity threshold,below which reliable statistical properties of the joint surface cannot be extracted.Moreover,rougher surfaces will have a larger stationarity limit and therefore,for accurate characterization of the rock fracture surface roughness,samples with a size larger than or equal to stationarity limit are necessary.In the note of Whitehouse [35]the author questions the philosophy of using fractals to describe engineering surfaces.Greenwood [36]in his comments on the paper of Whitehouse also doubts about the fractal concept.
The classical statistical model for a combination of the elastic and plastic contact between rough surfaces model of Greenwood and Williamson has been widely accepted.It assumes that asperities are modelled by a set of spheres of con-stant radius equivalent to an average curvature of the asperities and the deformation of any point in the roughness layer is independent of its neighbouring points.The last assumption,however,cannot be accepted for higher contact normal loads.On the basis of the ?nite element results according to Komvopoulos and Choi [37]interaction e?ects of neighboring asper-ities strongly depend on the distribution and radius of asperities and indentation depth.They concluded that the e?ect of neighboring asperities manifests itself through the unloading and superposition mechanisms.
A surface of GW model can be characterized by two following parameters:the standard deviation of surface heights r or R q which is referred to the square root of m 0and the area density of peaks and summits.Greenwood and Williamson [1]introduced the idea of studying three-point peaks.They de?ned the peak as a sample point on the pro?le which is higher than their immediate neighbours at the sampling interval,while the summit as a point on the two-dimensional surface higher than all its neighbours.In this case the summit of roughness is de?ned in the majority of cases as a point for which eight neighbouring points are situated below.The GW model assumes that summits on surface are equivalent to peaks on pro?les.Clearly it is not true,the summit density can be estimated from the peak density squared,but the factor is not 1as assumed by Greenwood and Williamson [1].According to the ?ve-point summits theory of Greenwood from 1984[12],the discrepancy between the density of summits and peaks increases when the sampling interval is larger and rises to the asymptotic value of 1.8.For complete description of the isotropic GW model we need also the information about the distance between the summit mean plane and the surface mean plane which depends on the bandwidth parameter a ,de?ned as
a ?m 0m 42
;
where m 0,m 2and m 4are known as the zeroth,second and fourth spectral moments of the pro?le.In the limit as the sam-pling interval tends to zero the moments of the power spectrum m 0,m 2and m 4become equal to the quantities r 2,r 2m and r 2
j which are the mean square values of the height,slope and curvature,respectively (see [12]).
The question that now remains to be answered is whether the pro?le parameters vary with the sampling size or the instrument resolution.Both the theory and experiment show that the density of peaks or summits and curvatures do all depend on the sampling interval.When the sampling interval is reduced by the factor of 10,the summit density increases by a factor of 40.Much the same holds for curvatures [12].Additionally,in the recent work of Greenwood and Wu [39],the authors stated that their idea based on assumption that peaks on a surface pro?le (points higher than their immediate neighbours at the sampling interval used)is quite wrong and gives false results according to both the number and the radius of curvature of the asperities.A similar problem occurs in the 3D description of surface.Radziejewska [40]have recently proposed entirely new method of surface roughness modelling with one e?ective radius which is much larger than the one obtained from measurements.The proposed method is based on the 3D analysis of size and shape of the surface intersec-tion asperities with planes parallel to the mean plane.It provides much more information than the standard bearing curve,which additionally enables to de?ne the contact process in the beginning phase of the approach.
Fortunately,the experimental data for the thin-?lm disks and magnetic tapes clearly show that the r.m.s.of m 0referred to r or R q does not change [41]or varies very little for machined surfaces with sampling interval [42]and can therefore be considered as scale independent for most surfaces and used to characterize a rough surface uniquely.The last conclusion ?ts very well to the present formulation because the standard deviation of slopes nad curvatures have no observable e?ects on the elastic or elasto–plastic normal sti?ness while both the elastic and elasto–plastic sti?ness coe?cients depend primar-ily on the variance of the surface height about the mean plane m 00(after Sayles and Thomas [38]and McCool [43],
m 00=m 0),which is not much sensitive over a large range of sampling intervals.Additionally,R q ???????
m 0p is the most useful and recognized parameter in the surface metrology thus being embedded in the international standards.
R.Buczkowski,M.Kleiber /Comput.Methods Appl.Mech.Engrg.195(2006)5141–51615143
3.Strongly anisotropic model of rough surfaces
Theories of isotropic surfaces are not applicable to the important practical case of ground surfaces which are strongly anisotropic.Bush,et al.[7]presented the random theory of strongly anisotropic rough surfaces which will be brie?y described here.In the model the cap of each asperity is replaced by elliptic paraboloid with summit n 1above the point (x 0=0,y 0=0)on the mean plane.The plane z =h intersects the paraboloid in an ellipse which has semi-axes of lengths (in a local deformed stage)A and B with one its principal radii of curvature at angle b =0to the positive x -axis (see Fig.1).Let us consider a rough surface whose heights above the mean plane of of the surface are de?ned by z (x ,y ),where x ,y are the Cartesian coordinates in the mean plane.De?ning
n 1?z ;n 2?
o z o x
;n 3?
o z o y ;n 4?o 2z o x
2;
n 5?
o 2z
o x o y
;n 6?o 2z o y
2;
e1T
the joint probability density of the normally distributed variables n i (i =1,2,...,6),each being the sum of a large number of independent variables with zero expectation,is
p en 1;n 2;...;n 6T?1e2p T3D 1=2
exp à1
2M ij n i n j
;e2Twhere M ij is the inverse of the
positive-de?ned covariance matrix N ij
N ij ?E ?n 21
E ?n 1n 2 ...E ?n 1n 6
E ?n 2n 1 E ?n 2
2 ...E ?n 2n 6 ..
......
....E ?n 6n 1 E ?n 6n 2
...E ?n 26
2
6
66
6643
7
7
7775e3T
and D is the determinant of N ij .Considering the random variables with zero mean,the components of the matrix N ij in
Eq.(3)are the expectations of n i n j which can be written in terms of the spectral moments m ij as
E ?n i n j ?m ij .
e4T
According to Longuet-Higgins [16]the spectral moments can then be de?ned by the power spectral density (called there the energy spectrum)
m ij ?
Z 1à1
Z 1
à1
U eu ;v Tu i v j d u d v ;e5Twhere U (u ,v )is the power spectral density and u and v are the wave numbers.(The power spectral density is the Fourier
transform of the surface autocorrelation function.)
Choosing the x -axis in the direction of the grain,symmetry implies that
m 11?m 13?m 31?0.
e6
T
5144R.Buczkowski,M.Kleiber /Comput.Methods Appl.Mech.Engrg.195(2006)5141–5161
Restricting the theory to the case of highly eccentric asperities with their axes closely aligned to the x-direction leads to m22 being negligible(see[7]).In this case it is su?cient to consider the probability density of the variables of n1,n2,n3,n4and n6, so that Eq.(2)becomes now
pen1;n2;n3;n4;n6T?
1
e2pT5=2D1=2
expà
1
2
M ij n i n j
;e7T
where M ij is the inverse of the simpli?ed matrix N ij given as
N ij?
m0000àm20àm02
0m20000
00m0200
àm2000m400
àm02000m04
2
66
66
66
4
3
77
77
77
5
.e8T
The determinant D of N ij is found to be
D?m00m40m04m20m02l;e9Twhere
l?e1àb1àb2T;e10Twhile b1and b2are de?ned by the bandwidth parameters a1and a2in the x-and y-directions,respectively,as
a1?1
b
1
?
m00m40
m2
20
;a2?
1
b
2
?
m00m04
m2
02
.e11T
For strongly anisotropic surfaces?ve parameters are required to describe such surfaces:(1)m00,i.e.variance of the sur-face height about the mean plane,(2)m02and m20,i.e.the principal mean square slopes,(3)m04and m40,i.e.the principal mean square curvatures.According to Longuet-Higgins[16],Nayak[3],Sayles and Thomas[38]these moments can be obtained from two pro?le measurements,one taken in the direction of the grain and the other across the grain assuming that both pro?les have the same variance m00.These surface moments are related to the the number of zero crossings D0 and extrema(minima and maxima)D e per unit length of pro?le by the following equations given by Nayak[4]:
D0ealong grainT?1
p
m20
m00
1=2
;D0eacross grainT?
1
p
m02
m00
1=2
;
D eealong grainT?1
p
m40
m00
1=2
;D eeacross grainT?
1
p
m04
m00
1=2
.
e12T
Assuming,for example,the bandwidth parameters a1and a2set equal to3and the value of m04/m40=6561=94,the pro?le in the direction of the grain will have an average of one-ninth of the number of zero-crossings and extrema of those across the grain.No experimental data are available to provide the mean square slopes(m20,m02)and the mean square curvatures (m40,m04)for anisotropic surfaces.Throughout the study we consider the?ctitious data related to the spectral moments given previously by McCool[29]and Bush et al.[7].
Furthermore,the random variables involved in Eq.(1)are written in non-dimensionalized form as follows:
x1?
n1
??????????
m00l
p;x4?à
n4
??????????
m40l
p;x6?à
n6
??????????
m04l
p.e13T
It is noted that necessary condition for the existence of relative maximum(not a saddle point)of the summit at the point z(x,y)requires that the slopes of a summit n2and n3must be zero and the principal curvatures n4and n6must be negative, i.e.n2=0,n3=0,n460,n660and n4n6àn5P0.
Using Eqs.(7)and(8)the probability that an ordinate is a summit of height x1and curvatures x4and x6is now
pex1;x4;x6T?
l2
e2pT5=2
??????????????
m04m40
p
??????????????
m02m20
p j x4x6j expeàX=2T;e14T
where
X?x2
1te1àb2Tx2
4
te1àb1Tx2
6
à2
?????
b1
p
x1x6à2
?????
b2
p
x1x4t2
?????????
b1b2
p
x4x6.e15TR.Buczkowski,M.Kleiber/Comput.Methods Appl.Mech.Engrg.195(2006)5141–51615145
In the theory which follows the probability distribution of summits is needed.To obtain it,Eq.(14)must be normalized by the ratio of summits to ordinates.The probability that an ordinate is a summit,D sum ,is found by integrating Eq.(14)over the standardized height x 1and the curvatures x 4and x 6
D sum ?Z t10
Z t11
Z t1
à1
p ex 1;x 4;x 6Td x 6d x 4d x 1.e16T
According to Bush et al.[7]the closed form of the density of summits is
D sum ?1e2p Tm 40m 04
m 20m 02
2.
e17T
This formula can be also taken as an ordinary check in the numerical evaluation of integrals Eq.(16).Finally,dividing Eq.(14)by Eq.(17)we obtain the joint probability density function of summits as
p sum ex 1;x 4;x 6T?l 2??????2p p m 04m 40
m 02m 20 3=2j x 4x 6j exp eàX =2T.e18T
4.Elastic contact
In the model a cap of each asperity is replaced by a paraboloid having the same height and principal curvatures as the
summit of the asperity.The asperities are parameterised by their height n 1and the semi-axes a and b of the ellipse obtained from the intersection of the asperity and a plane at height h above the point (x 0,y 0)on the mean plane of the rough surface as shown in Fig.1.The equation for an elliptic paraboloid asperity of summit height n 1above the point x 0and y 0is
n 1àz n 1àh ?ex àx 0T2
a 2tey ày 0T
2
b .e19T
Di?erentiating the above equation with respect to x and y yields the following relationships between the curvature and the semi-axes a and b ,see Eq.(1)
n 4?
à2en 1àh T
a 2
;n 6?
à2en 1àh T
b 2
.e20T
Using Eqs.(13)and (20),the semi-axes of the ellipse a and b can be expressed as functions of x 1,x 4and x 6by the fol-lowing expressions:
a 2
?2ex 1??????????m 00l p àh Tx 4??????????m 40l p ;b 2?2ex 1??????????m 00l p àh Tx 6??????????
m 04l p .e21TBased on this asperity model,the cross-sectional area per unit nominal area,called the bearing area A G is then A G es T?Z 1x 1?l
Z 1x 4?0
Z 1
x 6?0
p abp sum ex 1;x 4;x 6Td x 6d x 4d x 1;
e22T
where
l ?s ???l
p ;
s ?h ???????m 00
p .
e23T
The bearing area (or Abbott–Firestone bearing area)can be understood by imagining a straight smooth plane being brought slowly down towards the pro?le of the surface under https://www.sodocs.net/doc/ca15487468.html,ing Eqs.(21)and (22)the bearing area A G becomes
A G es T?l 2ea 1a 2T
1=4e2p T3=2
Z 1l Z 10Z 1
0ex 4x 6T1=2ex 1àl Texp eà1=2X Td x 6d x 4d x 1.e24TThe bearing area A B corresponding the Greenwood and Williamson [1]isotropic model is given by the integral
A B eh T?1????????????2p m 00p Z 1
h
exp àz
22m 00 d z .
e25T
The bearing area based on this asperity model can be compared with the true bearing area as a test of the validity of the
model for strongly anisotropic surfaces.In Fig.2the ratio A G /A B is plotted against s for various bandwidth parameters a 1and a 2taken from Eq.(11).For large separations as s !1the ratio A G /A B tends to 1.
5146R.Buczkowski,M.Kleiber /Comput.Methods Appl.Mech.Engrg.195(2006)5141–5161
The bearing area is a useful tool in characterising a large group of surfaces of some practical importance.Many technical surfaces employed in machine joints are not produced in a single operation but in a sequence of machining oper-ations.Such a sequence of operations superimposed on an earlier surface remove the higher parts of asperities of the ori-ginal process and produce a?ner texture leaving the deep valleys of the initial process untouched.It results in increasing the mean peak radius even more and reducing the plasticity index[1].Such processes are termed multiprocess or strati?ed surfaces(see Ref.[24])and their height distributions may contain useful information needed to categorise the surface multi?nish pro?les for quality control purposes.
The elastic deformation of the asperity causes the contact ellipse to be smaller than the geometric ellipse.If the contact ellipse has the semi-axes A and B then these are related to the semi-axes of the geometric ellipse a and b by the following equation[7]
A2 a2t
B2
b2
?1e26T
and
k2?b2
a2
?
kKàe1àk2Td K
d k
d K
;e27T
where a and b denote the semi-minor and the semi-major axes of the ellipse obtained from the intersection of the asperity (elliptical paraboloid)and a plane at height h,respectively making zero angles with the positive x-axis.K is the complete elliptic integral of the?rst kind
KeeT?
Z p=2
e1àe2sin2/Tà1=2d/e28Tof the argument e(eccentricity of the ellipse)de?ned as