Surface Diagnostics in Tribology
Surface Diagnostics in Tribology
Surface Diagnostics in Tribology
Kazuhisa Miyoshi
Lewis Research Center, Cleveland, Ohio
February 1999
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Kazuhisa Miyoshi
Lewis Research Center, Cleveland, Ohio
Prepared for
IMECO-XV
sponsored by the Society of Instrumentation and Control Engineers
Osaka, Japan, June 13–15, 1999
February 1999
Acknowledgments
The author thanks Dr. R.L.C. Wu and his group at the U.S. Air Force Research Laboratory for depositing and
characterizing the microwave-plasma-assisted CVD diamond films.
Available from
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Surface Diagnostics in Tribology Technology and
Advanced Coatings Development
Kazuhisa Miyoshi
NASA Lewis Research Center
21000 Brookpark Road, MS 23–2
Cleveland, Ohio 44135 USA
E-mail: miyoshi@lerc.nasa.gov
Abstract
This paper discusses the methodologies used for surface property measurement of thin films and coatings, lubricants, and materials
in the field of tribology. Surface diagnostic techniques include scanning electron microscopy, transmission electron microscopy,
atomic force microscopy, stylus profilometry, x-ray diffraction, electron diffraction, Raman spectroscopy, Rutherford backscatter-
ing, elastic recoil spectroscopy, and tribology examination. Each diagnostic technique provides unique information. It should be
possible to coordinate the different pieces of information provided by these diagnostic techniques into a coherent self-consistent
description of the surface properties. Examples are given on the nature and character of thin diamond films.
Keywords: measurement, surface methodology, diamond, films and coatings, and tribology
1.0 Introduction This paper deals with the application of surface diagnostic
techniques in the field of tribology and in the development of
Several diagnostic techniques are now available for measur- advanced tribological coatings, particularly diamond films
ing the properties and composition of any solid surface. Because and related coatings. These techniques can probe complex
the surface plays a crucial role in many mechanical, physical, surfaces of thin films and coatings, lubricants, and materials
and chemical processes, such as adhesion, friction, wear, and clarify their interactions in mechanical systems and pro-
oxida-tion, and corrosion, these diagnostic techniques have cesses. Examples are given on the nature and character of
established their importance in a number of scientific, indus- microwave-plasma-assisted CVD diamond films. Some ear-
trial, and commercial fields [1]. lier data and experimental details on this research are given in
Tribology is defined as the science and tech-nology of the references [4–6].
interacting surfaces in relative motion and of related subjects
and practices, such as adhesion, friction, lubrication, and wear
[2]. It is now believed that proper attention to tribology, 2.0 CVD Diamond
especially surface engineering and technology, research, appli- A variety of techniques can be used to characterize CVD
cation, and education, could lead to economic savings of diamond films: scanning electron microscopy and transmis-
between 1.3 and 1.6% of the gross national product (GNP). sion electron microscopy (SEM and TEM), to determine
Tribology impacts strongly on the national economy and on the surface morphology, micro-structure, and grain size; surface
lifestyles of most people. Wear shortens product life and profilometry and atomic force microscopy (AFM), to measure
friction results in wasted energy con-sumption. As material and surface roughness and to determine surface mor-phology;
energy shortages develop, greater demand will arise for longer Rutherford backscattering (RBS) and elastic recoil spectros-
product life, increased wear resistance, and reduced energy copy (ERS), to determine the composition (including hydro-
consumption through lubrication and surface coatings. During gen); Raman spectro-scopy, to characterize the atomic bonding
the last decade significant progress has taken place in the state and quality of diamond; x-ray diffraction (XRD), to
development of advanced surface films and coatings used in determine the crystal orientation of diamond; and tribological
tribology technology. Their number is growing; some of the examination, to determine the coefficient of friction, the
most exciting recent developments are superhard coatings and friction behavior, and the wear rate.
films, such as chemical-vapor-deposited (CVD) diamond, It is generally accepted [7] that for a material to be recog-
diamondlike carbon (DLC), and cubic boron nitride (c-BN) nized as diamond it must have all of the following
films [3]. characteristics:
NASA/TM—1999-208527 1
1. Crystalline diamond morphology and micro-structure the coated diamond can be studied with an image resolution of
visible by electron microscopy 1 to 50 nm.
2. Single-phase diamond crystalline structure detectable by The stylus profilometer (mechanical profilometer) is today
x-ray or electron diffraction commonly used for measuring surface roughness and analyz-
3. Clear, sharp diamond peak at 1332 cm–1 in a Raman ing topography. A diamond stylus with a tip radius of a few
spectrum micrometers moves up and down as it dragged across a speci-
4. The carbon element men surface. This up-and-down motion effectively replicates
5. Low equilibrium coefficient of friction (0.01 to 0.05) in the surface topography.
air The grain size, surface morphology, and surface roughness
of a microwave-plasma-assisted CVD diamond film can be
The following case studies focus attention primarily on micro- controlled by varying the deposition parameters, such as gas-
wave-plasma-assisted CVD diamond films. phase chemistry parameters and temperatures (e.g., Table 1
and [5]). The grain size and surface roughness data were
obtained by using TEM and stylus profilometry. The CVD
diamond films referred to in Table 1 can be divided into three
2.1 Electron Microscopy, Stylus groups by grain size: fine, medium, and coarse grain. The grain
Profilometer, and Atomic Force sizes of the fine-grain diamond films were determined from
Microscopy bright- and dark-field electron photomicrographs to be be-
tween 20 and 100 nm. The medium- and coarse-grain diamond
Transmission electron microscopy offers two methods of films have grain sizes estimated at 1000 to 1500 nm and 3300
specimen observation: image mode and diffraction mode [8]. In nm, respectively. The average surface roughness of the dia-
image mode, analysis of transmitted electron images yields mond films measured by a surface profilometer increases as the
information both about atomic structure and about defects grain size increases, as shown in Fig. 1. Figure 2 shows
present in the material. In diffraction mode, an electron dif- scanning electron photomicrographs of fine-, medium-, and
fraction pattern is obtained from the specimen area illuminated coarse-grain diamond films. Triangular crystalline facets typi-
by the electron beam. The electron diffraction pattern is cal of diamond are clearly evident on the surfaces of the
entirely equivalent to an x-ray diffraction pattern. medium- and coarse-grain films.
Scanning electron microscopy (with energy dispersive spec- In an atomic force microscope, to obtain topographical
troscopy) is the most useful tool when the researcher needs not information, a probe tip traverses across a diamond surface and
only mor-phological and topographical information about sur- senses the force of interaction between itself and the diamond
faces but also information concerning the composition of near- surface. By monitoring the tip deflected necessary to maintain
surface regions of the material. Although diamond is an insulator, a constant interacting force surface topographical data can be
it can be studied by using low primary electron beam voltages obtained on a nanometer scale. Figure 3 is an AFM image of a
(5 keV or less) if one is willing to compromise image resolution fine-grain CVD diamond film. The surface has a granulated or
to some extent. If the diamond is coated with a thin conducting spherulitic morphology (i.e., it contains spherical asperities of
film (10 to 20 nm thick) of carbon, gold, or some other metal, different sizes).
NASA/TM—1999-208527 2
Substrate
Si {100}
Si {100}
200 a-SiC
a-SiC
a-SiC
Standard deviation
100
50
0
0 1 2 3 4
Grain size, mm
Figure 1.—Surface roughness as function of grain size
for diamond films.
(a) (b)
(c)
Figure 2.—Scanning electron micrographs of diamond films. (a) Fine-grain (20 to 100 nm) diamond film on {100}
silicon substrate; rms surface roughness, 15 nm. (b) Medium-grain (1100 nm) diamond film on {100} silicon
substrate; rms surface roughness, 63 nm. (c) Coarse-grain (3300 nm) diamond film on {100} a-silicon carbide
substrate; rms surface roughness, 160 nm.
NASA/TM—1999-208527 3
3
µm
0.20 2
0.00
3 µm
1
2
µm 1
0
0
100
Concentration, at.%
4000
80
3000 60
2000 40
1000 20
0 0
0 1000 2000 3000 4000 0 1000 2000 3000 4000
Height, Å Height, Å
Figure 3.—Atomic force micrograph of chemical-vapor-deposited, fine-grain diamond film on mirror-polished
silicon substrate.
2.2 X-Ray Diffraction and Electron Diffraction rings and dots can be observed in
Fig. 5(a). The d spacings of the diffraction rings were calculated
Diffraction by using an aluminum SAD as a calibration standard and were
X-ray diffraction is a powerful technique used to uniquely found to match well with the known diamond d spacings. No
identify the crystalline phases present in materials and to evidence of nondiamond carbon was found in the SAD. This
measure the structural properties of these phases [8]. Although observation indicates that the nondiamond concentration
x-ray diffraction is not inherently a surface diagnostic tech- in the diamond film was extremely small.
nique, it offers unparalleled accuracy in the measurement of Careful observation of Fig. 5(b) revealed various nuclei-like
atomic spacing. regions marked N. Diamond grains are distributed radially
XRD was used to determine the structure and crystal orien- outward from these nuclei. A grain boundary is formed where
tation of the CVD diamond films. Typical x-ray diffraction the grains from various nuclei meet. As previously mentioned,
patterns for the fine- and medium-grain diamond films (Fig. 4 the grain sizes of the fine-grain CVD diamond films estimated
[5]) show peaks representing only the diamond film and the from the bright- and dark-field photomicrographs varied from
silicon substrate. Diffraction peaks corresponding to the {111}, 20 to 100 nm.
{220}, {311}, and {400} planes, reflective of diamond,
are clearly evident. The intensity ratios I{220}/I{111} were
calculated from the x-ray diffraction patterns for these films
and found to be 1.3 and 0.04, respectively. The powder diffrac- 2.3 Raman Spectroscopy
tion pattern of diamond with random crystal orientation
(ASTM 6–0675) gives I{220}/I{111} = 0.27. Thus, most of the Raman spectroscopy is primarily a structural char-acterization
crystallites in the fine-grain diamond film are oriented along the tool [8]. Raman spectra are more sensitive to the lengths,
〈110〉 direction, whereas most of the crystallites in the medium- strengths, and arrangement of bonds in a material than to
grain diamond films are oriented along the 〈111〉 direction. chemical composition. Raman spectra of crystals likewise
The well-formed triangular facets observed in SEM photo- reflect the details of defects and disorder than to trace impurities
micrographs of medium- and coarse-grain diamond films and related chemical imperfections. The laser-optical Raman
confirm the 〈111〉 crystal orientation. technique can determine with great confidence the atomic
Figure 5 presents a TEM selected-area diffraction pattern bonding states of the carbon atoms (sp2 for graphite or sp3 for
(SAD), a TEM bright-field photomicrograph, and a TEM dark- diamond) due to their different vibrational modes [9]. Raman
field photomicrograph of a free-standing, fine-grain CVD spectra result from the inelastic scattering of optical photons by
diamond film [4]. lattice vibration phonons.
NASA/TM—1999-208527 4
Si Si Si
500 Diamond
{220} (a)
400 Diamond
Relative intensity
{111}
300
200
Diamond
100 {311}
0
30 50 70 90 110 130
Angle 2u, deg
(a)
Diamond
{111} Si Si
5000
(b)
4000
Relative intensity
3000
NASA/TM—1999-208527 5
1485
1505
1535
It was also demonstrated that both carbon and hydrogen
1332
1.0 are uniformly distributed in the fine-grain film from the
(a)
top of the surface to the silicon substrate.
0.8 RBS analytical results can also be used to deter-
Relative intensity
Normalized yield
C
1530
4.8 30 Si
4.0
20
3.2
1200 1300 1400 1500 1600 1700
10
Raman shift, cm–1
Figure 6.—Raman spectra of diamond films. (a) Fine-
0
grain (20 to 100 nm) diamond film on {100} silicon 0 50 100 150 200 250
substrate. (b) Medium-grain (1100 nm) diamond film Channel
on {100} silicon substrate.
Figure 7.—Rutherford backscattering spectrum of fine-
grain diamond film on silicon substrate. (Simulation
curve was calculated by using the computer code
RUMP.)
2.4 Rutherford Backscattering
Spectroscopy and Elastic Recoil
Energy, MeV
Spectroscopy 0.2 0.4 0.6 0.8 1.0
200
Rutherford backscattering is a nondestructive, quantitative
2.75-MeV He++
depth profiling of thin-film compositions and structures, crys- 75° 30°
tallinity, dopants, and impurities [8]. Elastic recoil spectros- 150 12.5-mm
copy (hydrogen forward scattering or proton recoil detection) Mylar
H
is the simplest ion beam technique for hydrogen profiling and
Counts
NASA/TM—1999-208527 6
2.5 Tribological Examination asperities on the diamond film surfaces were strong, the
friction was high (point A in Fig. 9). The surface roughness of
The classical Bowden and Tabor model for sliding friction of diamond films can have an appreciable influence on the initial
materials in contact, in its simple form, assumes that the friction friction of diamond films: the greater the initial surface rough-
force arises from two con-tributing sources [14]. First, an ness, the higher the initial coefficient of friction. Similar
adhesion force is developed at the real area of contact between frictional results have also been found by other workers on
the surfaces, arising from the attractive forces between the single-crystal diamonds [15] and on diamond coatings [16].
contacting surfaces. Second, a deformation force is needed to As sliding continued and the pin passed repeatedly over
plow or cut the asperities of the harder surface through the the same track, the coefficient of friction was appreciably
softer. The resultant friction force is the sum of the two affected by the wear (i.e., a blunting of the tips of the asperities)
contributing sources: friction due to adhesion and friction on the diamond films (Fig. 9). When repeated sliding produced
due to deformation and/or fracture. When a smooth flat is a smooth groove or a groove with blunted asperities on the
brought into contact with a smooth spherical surface of the diamond surface (Fig. 10), the coefficient of friction was low
same or softer material, the plowing or cutting contribution in (<0.05). The initial surface roughness effect became negligible.
friction can be neglected. In this situation, as is well known, Therefore, the equilibrium coefficient of friction was indepen-
diamond is one of the slipperiest materials and is similar to dent of the initial surface roughness of the diamond film.
polytetrafluoroethylene in air. The coefficient of friction is
between 0.01 and 0.05.
When the fine-, medium-, and coarse-grain diamond films
were brought into contact with a natural diamond pin in
reciprocating sliding motion in air, the coefficients of friction
varied as the pin traveled back and forth (reciprocating motion),
retracing its tracks on the diamond films (Fig. 9). In humid air
at a relative humidity of 40% abrasion (plowing) occurred and
dominated the friction and wear behavior. The bulk natural 100
diamond pin tended to dig into the surface of the diamond films nm
during sliding and produce a wear track (groove). SEM (a) 200 mm
observations of the diamond films indicated that small frag-
ments chipped off their surfaces. When abrasive interactions
between the diamond pin surface and the initially sharp tips of
200
0.52 Diamond film nm
0
0 10 20 30 40 50 60 70 80 90
Sliding distance, m
(c) 200 mm
0 10 000 20 000 30 000 Figure 10.—Wear tracks (grooves) on diamond films
Number of passes after 30 000 passes of bulk diamond pin in dry nitro-
Figure 9.—Coefficient of friction as function gen. (a) Fine-grain (20 to 100 nm) diamond film;
of number of passes of bulk diamond pin in rms surface roughness, 15 nm. (b) Medium-grain
contact with fine-, medium-, and coarse- (1100 nm) diamond film; rms surface roughness,
grain diamond films in humid air (approx. 63 nm. (c) Coarse-grain (3300 nm) diamond film;
40% relative humidity). rms surface roughness, 160 nm.
NASA/TM—1999-208527 7
3.0 Concluding Remarks [5] K. Miyoshi, Friction and wear of plasma-deposited dia-
mond films, J. Appl. Phys., vol. 74, no. 7, Oct. 1993,
To achieve satisfactory surface and bulk properties of pp. 4446-4454.
coatings and films, it is necessary to optimize deposition [6] K. Miyoshi, R.L.C. Wu, and A. Garscadden, Friction and
parameters. These parameters must not only give the appropri- wear of diamond and diamond-like carbon coatings,
ate initial level of surface and bulk properties but must also Surf. Coat. Technol., vol. 54/55, 1992, pp. 428-434.
provide the durability of films and coatings. To understand the [7] H.O. Pierson, Handbook of Carbon, Graphite, Diamond
benefits provided by deposition parameters, and ultimately to and Fullerenes, Noyes Publications, Park Ridge, New
provide better deposition parameters, it is necessary to study Jersey, 1993.
the physical, chemical, and structural changes of films and [8] C.R. Brundle, C.A. Evans, Jr., and S. Wilson, Encyclo-
coatings produced by these deposition parameters. pedia of Materials Characterization, Butterworth-
The use of analytical techniques including tribological Heinemann, Boston, Massa-chusetts, 1992.
examination was highlighted in the important case study of [9] R.J. Nemanich, J.T. Glass, G. Lucovsky, and R.E. Shroder,
microwave-plasma-assisted, chemical-vapor-deposited Raman scattering character-ization of carbon bonding in
diamond films for tribological applications. Each diagnostic diamond and diamondlike thin films, J. Vac. Sci. Technol.
tech-nique provides unique information. It should be possible A, vol. 6, pt. 3, 1988, pp. 1783–1787.
to coordinate the different pieces of information provided by [10] J.J. Cheng, T.D. Mautei, R. Vuppulahadium, and H.E.
these diagnostic techniques into a coherent self-consistent Jackson, Effects of oxygen and pressure on diamond
description of the surface properties. These methodologies have synthesis in a magnet-oactive microwave discharge,
contributed significantly to the understanding of the character- J. Appl. Phys., vol. 71, no. 6, 1992, pp. 2918–2923.
istics and properties of diamond films and their surfaces. [11] K. Kobashi, K. Nishinura, V. Kawate, and T. Horiuchi,
A combination of surface diagnostic techniques was Synthesis of diamonds by use of microwave plasma
successfully applied to provide correlation between deposition chemical vapor deposit-ion: morphology and growth
parameters and resultant diamond film composition, of diamond film, Phys. Rev., vol. B38, no. 6, 1988,
crystallinity, grain size, and surface roughness. pp. 4067–4084.
[12] N. Wada and S.A. Solin, Raman efficiency measure-
References ments of graphite (and Si and Ge), Physica. B&C, vol.
105, 1981, pp. 353–356.
[1] K. Miyoshi and Y.W. Chung, Surface Diag-nostics in [13] L.R. Doolittle, Algorithms for the rapid sim-ulation of
Tribology: Fundamental Principles and Applications, Rutherford backscattering spectra, Nucl. Instrum. Meth.,
World Scientific Publish-ing Co., River Edge, New vol. B9, 1985, pp. 344–351.
Jersey, 1993. [14] F.P. Bowden and D. Tabor, The Friction and Lubrication
[2] H.P. Jost, Tribology—origin and future, Wear, vol. 136, of Solids, Clarendon Press, Oxford, England, 1958.
1990, pp. 1–17. [15] M. Casey and J. Wilks, The friction of diamond sliding
[3] A.D. Molloy and A.M. Dionne, eds., Wear and Super- on polished cube faces of diamond, J. Phys. D. (Appl.
hard Coatings 1998, Gorham Advanced Materials, Inc., Phys.), vol. 6, no. 15, 1973, pp. 1772–1781.
Gorham, Maine, 1998. [16] I.P. Hayward, I.L. Singer, and L.E. Seitzman, Effect of
[4] R.L.C. Wu, A.K. Rai, A. Garscadden, P. Kee, H.D. roughness on the friction of diamond on CVD diamond
Desai, and K. Miyoshi, Synthesis and characterization coatings, Wear, vol. 157, 1992, pp. 215–227.
of fine grain diamond films, J. Appl. Phys., vol. 72,
no. 1, July 1992, pp. 110–116.
NASA/TM—1999-208527 8
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Kazuhisa Miyoshi
Prepared for IMECO-XV sponsored by the Society of Instrumentation and Control Engineers, Osaka, Japan, June 13-15,
1999. Responsible person, Kazuhiza Miyoshi, organization code 5140, (216) 433-6068.
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13. ABSTRACT (Maximum 200 words)
This paper discusses the methodologies used for surface property measurement of thin films and coatings, lubricants, and
materials in the field of tribology. Surface diagnostic techniques include scanning electron microscopy, transmission electron
microscopy, atomic force microscopy, stylus profilometry, x-ray diffraction, electron diffraction, Raman spectroscopy,
Rutherford backscattering, elastic recoil spectroscopy, and tribology examination. Each diagnostic technique provides specific
measurement results in its own unique way. In due course it should be possible to coordinate the different pieces of
information provided by these diagnostic techniques into a coherent self-consistent description of the surface properties.
Examples are given on the nature and character of thin diamond films.