Journal of Tribology

Technology Review
This idea was promoted mainly for parallel sliding, as is the case in mechanical seals 7,8 . An etching technique was used for the texturing, and both theoretical and experimental work was performed in an attempt to optimize the texturing dimensions. Thirty years later, in 1996, Etsion and Burstein 9 presented a model for mechanical seals with regular micro-surface structure, showing a substantial improvement in seal performance when evenly distributed hemispherical micro-dimples are present on one of the mating seal faces. The work in 9 was followed by an experimental study 10 in which laser-textured seal rings were tested in oil showing that the spherical dimple shape can be optimized and that an optimum dimple depth over dimple diameter ratio exists that maximizes the lm stiffness and the PV factor at seizure inception. As can be seen from the discussion above various forms of surface texturing can be used for enhancing tribological performance. However, of all the practical micro-surface patterning methods it seems that laser surface texturing LST offers the most promising concept. This is because the laser is extremely fast and allows short processing times, it is clean to the environment and provides excellent control of the shape and size of the microdimples, which allows realization of optimum designs. By controlling energy density, the laser can safely process hardened steels, ceramics, and polymers as well as crystalline structures. Indeed, LST is starting to gain more and more attention in the Tribology community as is evident from the growing number of publications on this subject. The purpose of this paper is to review various forms of surface texturing in general and the laser surface texturing in particular. Extensive experience that has been accumulated since 1996 with LST, mainly in mechanical seals, will be described as well as the on going research and development work for other applications like piston rings and thrust bearings.

State of the Art in Laser Surface Texturing

Izhak Etsion
e-mail: etsion@tx.technion.ac.il Department of Mechanical Engineering, Technion, Haifa 32000, Israel

Surface texturing has emerged in the last decade as a viable option of surface engineering resulting in signicant improvement in load capacity, wear resistance, friction coefcient etc. of tribological mechanical components. Various techniques can be employed for surface texturing but Laser Surface Texturing (LST) is probably the most advanced so far. LST produces a very large number of micro-dimples on the surface and each of these microdimples can serve either as a micro-hydrodynamic bearing in cases of full or mixed lubrication, a micro-reservoir for lubricant in cases of starved lubrication conditions, or a micro-trap for wear debris in either lubricated or dry sliding. The present paper reviews the current effort being made world wide on surface texturing in general and on laser surface texturing in particular. It presents the state of the art in LST and the potential of this technology in various lubricated applications like mechanical seals, piston rings and thrust bearings. The paper also describes some fundamental on going research around the world with LST. DOI: 10.1115/1.1828070

Introduction
Surface texturing as a means for enhancing tribological properties of mechanical components is well known for many years. Perhaps the most familiar and earliest commercial application of surface texturing is that of cylinder liner honing 1,2 . Today surfaces of modern magnetic storage devices are commonly textured 3,4 and surface texturing is also considered as a means for overcoming adhesion and stiction in MEMS devices 5 . Fundamental research work on various forms and shapes of surface texturing for tribological applications is carried out by several research groups worldwide and various texturing techniques are employed in these studies including machining, ion beam texturing, etching techniques and laser texturing. Interestingly almost all these fundamental works are experimental in nature and most of them are motivated by the idea that the surface texturing provides microreservoirs to enhance lubricant retention or micro-traps to capture wear debris. Usually, optimization of the texturing dimensions is done by a trial and error approach. Hamilton et al. presented in 1966 6 surface texturing in the form of micro-asperities that act as micro-hydrodynamic bearings.
Manuscript received December 18, 2003; revision received August 11, 2004. Review conducted by: L. S. Stephens.

Surface Texturing in Tribology

Various forms and techniques of surface texturing were developed over the years for enhancing Tribological performance. The vibrorolling method was developed by Schneider in 1984 11 , it consists of producing shallow grooves by plastic deformation using a hard indenter on metallic parts. An extensive work has been done on vibrorolling in Eastern Europe 12 that somehow went unnoticed in the western world. At about the same time Suh and co-workers 13 in the U.S. presented the idea of modulated surface for removing oxide wear debris from the interface of electrical contacts. They initially used an etching technique which was later replaced by abrasive machining to form grooves 14 17 that they termed undulated surfaces. Like in 13 the function of the undulations is to act as traps for wear debris thereby reducing the ploughing and deformation components of friction and wear. Reactive ion etching RIE was employed by a group lead by Kato in Japan 18 20 to study the effect of surface texturing, in the form of micro-dimples, on parallel sliding faces of SiC in water. Other techniques include Abrasive jet machining 21 , Transactions of the ASME

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Table 1 Various techniques utilized for surface texturing other than LST Technique Vibrorolling Undulated surfaces Reactive ion etching RIE Abrasive jet machining and excimer laser LIGA Lithography and anisotropic etching Institute Institute of Mechanical Engineering Problems, Petersburg, Russia MIT, Cambridge, USA Tohoku University, Sendai, Japan FCRA and AIST, Nagoya, Japan University of Kentucky, Lexington, USA Uppsala University, Uppsala, Sweden References 11,12 1317 18 20 21 22 23 Comments Various mechanical components Wear particle trapping sites Laboratory tests and limited theoretical modeling Pin on disk tests Laboratory tests on thrust rings. Limited theoretical modeling Reciprocating test rig

LIGA 22 , and lithography and anisotropic etching 23 . Table 1 summarizes these various techniques and shows the global spread of interest in surface texturing. Most of the work described above is experimental, using various types of pin on disk and ring on ring test machines. This is probably due to the fact that the involved phenomena are very complex, and only in limited cases can be described analytically. However, in spite of the lack of extensive theoretical modeling and optimization of the texturing dimensions, remarkable improvement in terms of friction and wear reduction was demonstrated in these experiments with various texturing forms.

Laser Surface Texturing LST

Laser surface texturing has been used for over 10 years now in the magnetic storage industry 3,4 mainly to prevent stiction during start up. This issue will not be dealt with in the present review. Instead, the potential of LST in enhancing Tribological performance during continuous operation will be described. A large amount of work on laser surface texturing was done in Germany starting some 10 years ago. Unfortunately, most of it is published in the German language and hence, is not even referenced in English archive journals. A few exceptions are papers coming from the group lead by Geiger at the University of Erlangen-Nuremberg e.g. 24,25 . This group uses an eximer laser with a mask projection technique, a mask is illuminated with the laser beam and its geometrical information is projected onto the textured surface. This method was applied to a punch, used in a backward cup extrusion process for the production of rivets, and showed a substantial increase of up to 169% in cold forging tool life. An interesting discussion regarding the combination and order of hard coating and laser texturing is included with the conclusion that for the specic case in hand coating prior to texturing was preferable. Another German paper that was translated to English in 2002 26 provides a good review of LST work done in Germany including applications such as mechanical seals and cylinder liners for internal combustion engines. This paper also describes different laser systems used for surface texturing but concentrates on CO2 and Nd:YAG lasers. A CO2 laser was used at Tohoku University, Japan 27 to texture SiC surfaces for studying the effect of LST on the transition from hydrodynamic to mixed lubrication regime. Experiments were carried out with a disk and a cylinder conguration loaded axially under water lubrication. Surface texture in the form of micro-pores with a diameter of 150 m and a depth of about 8 10 m was tested and compared with untextured specimens. It was found that the critical load for the transition from hydrodynamic to mixed lubrication in the case of the textured specimens was 20% larger than that for the untextured faces. An extensive research work on laser surface texturing is being done at the Institute of Applied Physics of the University of Bern in Switzerland utilizing Q-switched Nd:YAG but mostly femtoJournal of Tribology

second lasers 28 32 . This work is mainly aimed at studying the texturing process itself however, limited basic Tribological tests are also performed in collaboration with researchers at other institutions like CSEM in Neuchatel, Switzerland and elsewhere. In 29 for example, a ball-on-disk test is described where a small xed amount of lubricant is provided and the evolution of friction coefcient with sliding distance is monitored. The lifetime of a sample was dened as the distance at which friction starts to increase rapidly. It was found that the lifetime of LST sample disks could be eight times longer than that of untextured samples. A fundamental research work on LST is carried out at Argonne National Laboratory in the USA. The effect of LST on the transition from boundary to hydrodynamic lubrication regime was experimentally investigated 33 by measuring friction and electrical-contact resistance in a pin-on-disk unidirectional sliding conformal contact. LST was observed to expand the range of the hydrodynamic lubrication regime in terms of load and sliding speed. Furthermore, LST was observed to reduce the friction coefcient substantially under similar operating conditions when compared with untextured surfaces. As with the nonlaser texturing techniques of the previous section, the entire laser texturing works described above are experimental when it comes to investigation of the tribological aspects of LST. A trial and error approach is adopted whenever optimization of the texturing dimensions is attempted. This is probably the reason for the large variations in optimum dimensions obtained by different groups. The trial and error approach may be the only viable one in cases like dry sliding or starved lubrication where basic theoretical modeling does not exist. In these cases the LST micro-dimples usually function as micro-traps for wear particles or micro-reservoirs for lubricant retention. However, in other cases, where the micro-dimples function as micro-hydrodynamic bearings, a thorough theoretical investigation can be performed to

Fig. 1 LST regular micro-surface structure in the form of micro-dimples

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Fig. 4 Schematic of a partial laser surface textured mechanical seal

Fig. 2 Seal model and mode of operation

optimize the LST parameters for best tribological performance, depending on the application at hand. This idea has motivated a very extensive research and development program at TechnionIsrael Institute of Technology, which resulted in several models for optimizing LST in various applications. The current achievements of this activity are described in the following sections.

LST in Mechanical Seals

The earlier simple modeling 9 and experiments 10 of LST in mechanical seals were followed by more in-depth theoretical and experimental studies 34 . The three dimensions that characterize the LST see Fig. 1 are the dimples diameter, depth, and area density. The mechanical seal model treated in 34 is shown in Fig. 2. It was found that the actual shape of the micro-dimple does not play a signicant role and taht the most signicant parameter for optimum load capacity is the ratio of the dimple depth over diameter. The modeling is based on solving the Reynolds equation for the hydrodynamic pressure distribution and nding the average pressure in the sealing dam for various operating conditions.

A high stiffness of the uid lm below a clearance of 1 m and a very good agreement between theory and experiment was shown in 34 . Further testing of actual seals in water 35 showed dramatic reduction of up to 65% in friction torque see Fig. 3 and face temperature. Similar results of lower friction and face temperature with laser textured seal face were found in East China University of Science and Technology and are reported in 36 where textured SiC rings were tested against carbon rings in oil. Another test of LST mechanical seal in oil that was performed at the Fraunhofer Institute for Production Technology in Germany is briey reported in 26 indicating 40% reduction in friction torque and nearly doubling of the LST seal service life. As shown in Fig. 3 the reduction in friction torque is gradually diminishing at higher sealed pressures, corresponding to higher unit loads. To overcome the poor performance at high pressures a special treatment was developed that enhances hydrostatic effects in high-pressure seals 37 . This treatment consists of applying higher density LST over a portion of the sealing dam see Fig. 4 adjacent to the high-pressure side and leaving the remaining portion nontextured. The textured portion provides an equivalent larger gap so that the end result is a converging seal gap in the direction of pressure drop, which produces hydrostatic effect. Figure 5 shows results that were obtained with very simple unbal-

Fig. 3 Comparison of the friction torque versus face loading for textured and nontextured SiC SiC seals in water 35

Fig. 5 Friction torque versus sealed pressure for nontextured and partial textured seals 37

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anced seals, rated by the manufacturer at a maximum operating pressure of 12 bars. Indeed the test with the non-textured seals had to be terminated at 12 bars due to a too high friction torque reading of 5 N m that indicated the inception of severe face contact. The corresponding friction torque of the textured seal at the 12 bar is only 0.16 N m, hence, a reduction in friction of more than 90%. The textured seals could be easily operated up to the 23 bar limit of the test rig and at this relatively high pressure the friction torque was only 0.5 N m, a value that could be obtained with the nontextured seals only below 11 bar. Hence, the high pressure sealing capability of the textured seals is substantially greater than that of the standard nontextured ones. Another study 38 , in collaboration with Western Michigan University, on both full and partial LST seals demonstrated the potential positive effect of micro-surface texturing on reducing breakaway torque and blister formation in carbongraphite mechanical seal faces. The LST advantages are not limited to liquid lubrication only, and dry gas seals can benet from LST as well 39 . The main difference is the optimum dimple depth over diameter ratio, which in gas application is much smaller than in liquid application. The benet of LST in a dry gas seal application was demonstrated in 40 by tests at 12,000 rpm with increasing unit loads to compare the performance of LST seal with that of a nontextured baseline seal. A substantial reduction in friction torque and face temperature was obtained with the LST seal as well as more stable operation compared to the nontextured seal. An interesting nding is reported in 26 regarding the benet of texturing only one or both of the seal mating faces. As shown in Fig. 4 of that paper the texturing of just one surface reduced the friction by 40% compared to the standard nontextured case. On the other hand texturing of both mating surfaces increased the friction by 100% compared to the standard nontextured case. Case Study: LST Technology Tested at a Petrochemical Renery. Gadiv Petrochemical Industries Ltd., one of Israels largest petrochemical companies, started a eld test in 1998 in order to improve the reliability of the mechanical seals at its petrochemical renery plant. Gadiv evaluated the benets of LST by comparing the performance of identical pumps that pumped liquid hydrocarbonsone was tted with an LST treated seal, and the other with a standard nontextured seal. The details of the seals, pump, uid, and operating conditions are: Seal Seal materials Seal diameter Pump Fluid pumped Vapor pressure Viscosity Operating temp. Pressure at the seal 74 BW 2002539, Borg-Warner Tungsten carbide against carbon enriched with silicon 55 mm at shaft 128-3507A, Byron-Jackson C9C10 hydrocarbons 7.25 bar 0.175 cp 350C 4 5 bar.

Fig. 6 Correlation between experimental and theoretical results of friction time variation at 1000 rpm under full lubrication condition 42

Fig. 7 Effect of oil starvation on the average friction force at 900 rpm for various dimple depths, h p 42

Fig. 8 Typical pressure distribution in three slider bearing congurations of: 1-plane slider, 2-stepped slider, 3-surface textured parallel slider

The LST treated seal operated for more than 10 000 h over a 38 month period before it was replaced because of an O-ring failure. Over the same time, the untreated seal had to be replaced four times. Gadiv found the following: 1. Failure of the seal was caused by the melting of the O-ring of the stationary tungsten seal ring as a result of exposure to high temperature; 2. The LST tungsten carbide ring was still in perfect and operational condition. The atness at the contact surface of the ring was within 1 m and the atness outside the contact surface was 0.25 m; 3. The carbon ring, with a waviness of 3 4 m, could be reassembled after re-polishing/lapping; 4. The wear rate of the tungsten carbide ring was just 1 m for 10 000 h of operation. LST increased the life of the seal threefold. Journal of Tribology

Fig. 9 A comparison of friction coefcient of partial bidirectional and unidirectional LST bearings, and a baseline untextured bearing at 1500 rpm 46

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Table 2 World distribution of activity in LST Country Germany Israel Japan China Switzerland USA Russia France Institutions University of Erlangen-Nuremberg IFAS/IPT Aachen University of Hannover, and Gehring Technion, and Surface Technologies Ltd. SurTech Tohoku University East China University, Shanghai University of Bern UB and CSEM Argonne National Laboratory Western Michigan University Stein Seal Co. General Physics Institute Moscow Mediterranean University, Marseille References 24,25 26 43,44 9,10,34 35 , 37 42,45 46 , 48,49,53 27 36 28 32 29,31 33 38 40 28,31 3032 Comments Review more German Institute Texturing of cylinder liners Mechanical seals, piston rings and thrust bearings including modeling

Experimental research work in collaboration with Technion and SurTech In collaboration with UB In collaboration with UB

In addition, the average savings gained from using the LSTtreated seal were in the region of US $900 per year.

LST in Dry Contact Applications

As was demonstrated with the undulated surfaces 1317 surface texturing can reduce friction and wear by trapping loose wear particles. The potential benet of LST in providing micro-traps for wear debris in dry contacts subjected to fretting has been demonstrated in 48 and 49 . The results in 48 showed that the escape of oxide wear debris into the LST micro-dimples resulted in up to 84% reduction in the electrical contact resistance of the textured fretting surfaces compared to the case with nontextured surfaces. The potential effect of LST on fretting fatigue life was demonstrated in 49 by conducting a limited number of fretting fatigue tests. The LST allowed an easier wear debris escape from the fretted zone into the micro-dimples thus, improved the fretting fatigue resistance and almost doubled the fretting fatigue life.

LST in Other Lubricated Applications

The potential benets of applying LST to piston rings has been demonstrated theoretically 41 and experimentally in laboratory tests 42 . Optimum texturing parameters for minimum friction force were found in 41 for full LST rings showing a potential reduction of about 30% compared to nontextured rings under full lubrication conditions. Good agreement was found with experimental results in 42 see Fig. 6 . In addition it was found that optimum LST is benecial under starvation as well, where the dimples serve as micro-reservoirs for lubricant. Figure 7 presents experimental results 42 with full LST applied to specimens simulating piston rings, where the conditions were varied from full to starved lubrication by controlling the lubricant ow rate to the sliding contact. This was done by drip lubrication while varying the time between successive drops. The results show the benets of LST in reducing friction in both full 30 s between successive drops and starved lubrication conditions 260 s between successive drops . The use of laser texturing in the form of micro-grooves on cylinder liners of internal combustion engines was presented at the 14th International Colloquium Tribology in Esslingen see 43 for example showing lower fuel consumption and wear. This technique called laser honing is now commercially available from the Gehring Company in Germany 44 . Analysis of LST in hydrodynamic thrust bearings of the simplest form of parallel sliding disks 45 has shown the potential of LST in this application. These simple bearings are usually found in magnetic drive seal-less pumps were the process uid serves as the lubricant for the pump bearings. It was found that partial LST can improve substantially the load carrying capacity of these simple bearings and make them comparable to more sophisticated tapered or stepped sliders. The concept of generating load carrying capacity with partial LST is demonstrated in Fig. 8. The textured portion of the slider provides an effective larger clearance than the non-textured portion and hence, the slider is acting as a stepped slider. Test results in water at 1500 and 3000 rpm 46 showed that the textured bearing operated with a clearance that is about 3 times larger and friction that is about 3 times smaller see Fig. 9 than the case of the nontextured bearing throughout the range of tested loads. Laser texturing is also used extensively in metal forming as a mean for a secondary hydrodynamic lubrication mechanism which is called micro-pool or micro-plastic hydrodynamic lubrication 47 . More work in this area can be found in the references list of 47 . 252 Vol. 127, JANUARY 2005

Summary
Surface texturing in general and laser surface texturing in particular has emerged in recent years as a viable means of enhancing tribological performance. A great deal of fundamental research work is still going on worldwide, utilizing various texturing techniques, to explore the benets of surface texturing and to optimize the texturing forms and dimensions under various operating conditions. Some very recent additional publications on relevant work can be found in 5052 . Of all the practical micro-surface patterning methods it seems that laser surface texturing LST offers the most promising concept. This is because the laser is extremely fast, clean to the environment and provides excellent control of the shape and size of the micro-dimples, which allows realization of optimum designs. Table 2 presents a list of centers and organizations around the world that are active in LST. As can be seen LST is starting to gain more and more attention in the Tribology community as is evident from the growing number of publications on this subject. At the same time LST is already successfully applied to cylinder liners and to mechanical seals resulting in up to threefold increase in seal life in pumps operating in the eld 53 . This success is attributed to the theoretical modeling of LST under full uid lm conditions, which gave good agreement with laboratory tests and permitted optimization of the LST parameters. It is envisaged that with the continuing R&D effort many more mechanical components in tribological applications may benet from LST in the coming years.

References
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