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This book focuses on hydrated materials and their
applications. It presents the fundamental knowledge
of material mechanics necessary for understanding the
properties of hydrated materials and that of tribology
(the science and technology of interacting surfaces in
relative motion), which is useful for understanding the
functions of these materials in practical applications.

Hydrated Materials
It helps understand the functions and designs of
hydrated materials found in the human body, such
as articular cartilage and skin, which are expected to
serve as models for developing new artificial hydrated
materials. Finally, the text presents examples of tissue
regeneration and therapeutic agents in the medical
field and the use of hydrated materials in mechanical
elements and footwear that improve quality of life. The
book guides readers through their first steps toward
gaining a good understanding of these materials.

Hydrated Materials
Yoshitaka Nakanishi received his Dr. Eng. degree in
tribology from the Graduate School of Mechanical
Engineering, Kyushu University, Japan, in 1998.
Currently, he is a full professor at the Graduate School
of Science and Technology of Kumamoto University,
Japan, and vice-chairman of the Kumamoto University
Innovative Collaboration Organization, Japan. His Applications in Biomedicine
current research interests include soft-tribology
research and its applications in bioengineering and and the Environment
sustainable technology. Prof. Nakanishi has authored
or coauthored 3 books and more than 100 scientific
papers as well as organized many conferences and Nakanishi
workshops in the field of bioengineering.

edited by
Yoshitaka Nakanishi

V392
ISBN 978-981-4463-22-5
Hydrated Materials
Pan Stanford Series on Renewable Energy — Volume 2

Hydrated Materials
Applications in Biomedicine
and the Environment

edited by
editors Yoshitaka Nakanishi
Preben Maegaard
Anna Krenz
Wolfgang Palz

The Rise of Modern Wind Energy

Wind Power
for the World
CRC Press
Taylor & Francis Group
6000 Broken Sound Parkway NW, Suite 300
Boca Raton, FL 33487-2742
© 2015 by Taylor & Francis Group, LLC
CRC Press is an imprint of Taylor & Francis Group, an Informa business

No claim to original U.S. Government works

Version Date: 20150421

International Standard Book Number-13: 978-981-4463-23-2 (eBook - PDF)

This book contains information obtained from authentic and highly regarded sources. Reason-
able efforts have been made to publish reliable data and information, but the author and publisher
cannot assume responsibility for the validity of all materials or the consequences of their use. The
authors and publishers have attempted to trace the copyright holders of all material reproduced in
this publication and apologize to copyright holders if permission to publish in this form has not
been obtained. If any copyright material has not been acknowledged please write and let us know so
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April 8, 2015 11:44 PSP Book - 9in x 6in 00-Yoshitaka-Nakanishi-prelims

Contents

Preface ix

1 Mechanics of Materials 1
Mitsugu Todo
1.1 Introduction 1
1.2 Strain 3
1.3 Stress 4
1.4 Constitutive Equations 6
1.4.1 Linear Elasticity 7
1.4.2 Viscoelasticity 8
1.5 Elastoplasticity 12
1.5.1 Yield Criteria 13
1.5.2 Incremental Plasticity 16
1.5.3 Deformation Plasticity 17

2 Tribology: Friction, Wear and Lubrication 19

Kazuyuki Yagi
2.1 Introduction of Tribology 19
2.2 Friction 21
2.3 Wear 25
2.4 Lubrication 28

3 Articular Cartilage 33
Makoto Sakamoto
3.1 Introduction 33
3.2 Structure of Articular Cartilage 33
3.3 Mechanical Model of Articular Cartilage 35
3.4 Lubrication Model of Articular Cartilage 36
3.5 Degeneration of Articular Cartilage 38
3.6 Conclusions 38
April 8, 2015 11:44 PSP Book - 9in x 6in 00-Yoshitaka-Nakanishi-prelims

vi Contents

4 The Human Skin and Hydration 41

M. Morales Hurtado, X. Zeng and E. van der Heide
4.1 Introduction 41
4.2 Skin Structure 42
4.2.1 Epidermis 43
4.2.2 Dermis 44
4.2.3 Hypodermis 45
4.3 Skin Properties 46
4.3.1 The Hydration Characteristics of Skin 46
4.3.1.1 Dermis 46
4.3.1.2 Epidermis 48
4.3.2 Mechanical Performance 48
4.3.3 Tribological Performance 51
4.3.4 Thermal Properties 52
4.4 The Effect of Hydration on Skin 53
4.4.1 The Effect of Hydration on Skin Structure 53
4.4.2 The Effect of Hydration on Skin Properties 55
4.5 Conclusions 62

5 Hydrogel Materials for Tissue Engineering 71

Berkay Ozcelik, Greg Guanghua Qiao
and Geoffrey Wayne Stevens
5.1 Tissue Engineering 71
5.2 Cell and Tissue Responses 72
5.2.1 Cell–Surface Interactions 72
5.2.2 Foreign Body Responses 73
5.2.3 Vascularisation 75
5.3 Tissue Engineering Scaffold Materials 75
5.3.1 Natural Polymers 76
5.3.2 Synthetic Polymers 76
5.4 Hydrogels 77
5.4.1 Hydrogel Tissue Engineering Scaffolds 77
5.4.2 Desired Hydrogel Scaffold Properties 78
5.5 Applications of Hydrogels for Tissue Regeneration 79
5.5.1 Cell Encapsulation and Delivery 80
5.5.2 Hydrogels as Tissue Regeneration Substrates 81
5.5.3 Complete Replacement of Tissues 83
5.6 Summary 84
April 8, 2015 11:44 PSP Book - 9in x 6in 00-Yoshitaka-Nakanishi-prelims

Contents vii

6 Polyethylene Glycol Gel for Orthopaedic Technologies 93

Masanori Kobayashi
6.1 Introduction 93
6.2 Polyethylene Glycol 94
6.2.1 The Basic Characteristics Properties of PEG 94
6.2.2 The Applications for Bio-Medicine 95
6.2.2.1 Bio-interface 96
6.2.2.2 Drug delivery system 96
6.2.3 The Applications for Orthopaedic Surgery 97
6.3 Background of Osteoarthritis (OA) 98
6.3.1 OA of the Knee Joint 98
6.3.2 Conservative Treatment and Intra-Articular
Injection of Hyaluronic Acid 99
6.3.3 Total Knee Joint Arthroplasty (TKA) 100
6.4 Development of Intra-Articular Artificial Lubricant
Using PEG 102
6.4.1 The Fabrication and Characteristics of PEG
Lubricant 102
6.4.2 Viscosity of PEG Lubricant 103
6.4.3 In Vivo Trial as Intra-Articular Lubricants for
OA of the Knee 103
6.4.4 PEG Lubricant for Protection from Wear of
UHMWPE in Artificial Knee Joint 107
6.4.4.1 Comparison of the amount of wear of
UHMWPE 108
6.4.5 Potential of PEG Lubricant 108
6.5 Development of PEG as an Artificial Auricular
Cartilage 110
6.6 Conclusion 112

7 Environmentally Friendly Bearing and Sealing Systems with

Artificial Articular Cartilage for Power Generation from
Natural Energy 115
Yoshitaka Nakanishi
7.1 Introduction 115
7.2 Clustered Micro-Generation System for Streamflow
and Tidal Power Generation 116
7.3 ‘Bio-Star’: Bearing and Seal System 117
April 8, 2015 11:44 PSP Book - 9in x 6in 00-Yoshitaka-Nakanishi-prelims

viii Contents

8 Controlling Water-Based or Oil-Based Film between Shoes

and the Floor to Prevent Slips and Falls 127
Takeshi Yamaguchi and Kazuo Hokkirigawa
8.1 Introduction 127
8.2 Hybrid Rubber Surface Pattern to Increase SCOF and
DCOF when Lubricated by a Water-Based Lubricant 129
8.3 High-Friction Mechanism of a Hybrid Rubber Surface
Pattern 131
8.4 Development of a Footwear Outsole with a Strong
Grip Using a Hybrid Rubber Surface Pattern 135
8.5 Conclusion 140

Index 145
April 8, 2015 11:44 PSP Book - 9in x 6in 00-Yoshitaka-Nakanishi-prelims

Preface

Water covers more than 70% of the earth’s surface and is an

essential and major component of all living matter. However,
artificially hydrated materials, including hydrophilic materials, are
far fewer than one might expect. Currently, these materials are in a
state of development for applications in fields such as biomedicine,
environmental engineering, and industrial engineering. So what do
they hold for the future?
This book is a great introduction to hydrated materials for
anyone unfamiliar with the topic. Readers can expect this book to
be one of the first steps on the path to deepen the understanding
of hydrated materials. Within this book they can expect to find
academic and practical content, which will give them a feel of both
theoretical and real- world problems; fundamental lectures, which
will help them to develop a strong knowledge base; examples of
latest issues, which will inform them of the direction of current
research; hydrated materials defined in a simple manner and
explanation for their effective use as a beginner; and a veritable
cornucopia of practical examples in a range of fields, which can be
employed to fully understand the topic.
I thank all chapter authors for their participation, cooperation,
and patience, without which this book would not have been possible.

Yoshitaka Nakanishi
Spring 2015
April 8, 2015 11:44 PSP Book - 9in x 6in 00-Yoshitaka-Nakanishi-prelims
April 8, 2015 11:45 PSP Book - 9in x 6in 01-Yoshitaka-Nakanishi-c01

Chapter 1

Mechanics of Materials

Mitsugu Todo
Research Institute for Applied Mechanics, Kyushu University, Japan
[email protected]

1.1 Introduction

When an engineering material or a biological tissue is subjected to

forces, it is deformed depending on its mechanical characteristics
and the amount and direction of the forces. It is crucial to
understand such mechanical response of the material from the
standpoint of mechanical design when it is supposed to be used as
a part of mechanical device. It is also fundamental to characterise
the mechanical behaviour of the tissue from the biomechanical
point of view because the remodelling of the tissue is known
to be controlled by the mechanical environment surrounding the
tissue and its mechanical properties. The macroscopic deformation
behaviour of materials is usually characterised by expressing the
relationship between the stress and the strain. Fundamental stress–
strain relation can be obtained from mechanical tests such as tensile,
compression and shear tests. Multi-axial mechanical tests are also
sometimes performed to understand more complex mechanical

Hydrated Materials: Applications in Biomedicine and the Environment

Edited by Yoshitaka Nakanishi
Copyright c 2015 Pan Stanford Publishing Pte. Ltd.
ISBN 978-981-4463-22-5 (Hardcover), 978-981-4463-23-2 (eBook)
www.panstanford.com
April 8, 2015 11:45 PSP Book - 9in x 6in 01-Yoshitaka-Nakanishi-c01

2 Mechanics of Materials

Figure 1.1 Stress–strain behaviour of various kinds of polymer.

response of the materials. The basic mechanical properties such as

elastic moduli, Poisson’s ratio, yield strength and failure strength
are then determined from the testing results obtained. It is however
very difficult to characterise the three-dimensional mechanical
response of the materials, although in the most of real situations,
they are subjected to three-dimensional loadings. As examples, the
stress–strain relations of various types of polymers under tensile
condition are shown in Fig. 1.1. These macroscopic mechanical
characteristics strongly depend on the microstructures and the
rheological conditions of macromolecules of the polymers.
The continuum mechanics approaches such as elasticity, vis-
coelasticity or plasticity have been utilised to theoretically char-
acterise the stress–strain relations of materials and tissues. The
elasticity is simply understood to be a mechanics that deals with
totally reversible deformation, while the plasticity tries to express
irreversible deformation with permanent strain mathematically. The
viscoelasticity deals with time-dependent deformations such as
creep and stress relaxation. Each of the mechanics theories can
be used with equations and material parameters that differ from
material to material. Those parameters are usually determined
through mechanical tests experimentally.
In this chapter, the basic mathematical formulae appeared in
each mechanics theories are described briefly.
April 8, 2015 11:45 PSP Book - 9in x 6in 01-Yoshitaka-Nakanishi-c01

Strain 3

Figure 1.2 Cylindrical rod under tensile loading.

1.2 Strain

When a material is loaded, the change in the material’s physical

configuration can be described using a non-dimensional quantity
called strain. Fundamentally, there are two types of strain: normal
strain and shear strain. The normal strain is defined as the extension
or compression in the direction of the applied load. As a simple
example, we see a round bar subjected to a uniaxial load, as shown
in Fig. 1.2. In this case, the strain in the axial direction is defined as:
L1 − L0 L
ε= = (1.1)
L0 L0
It is also noted that the bar shrinks uniformly in the lateral direction,
and the strain is defined as:
d1 − d0 d
ε = = (1.2)
d0 d0
The ratio of the strain in the lateral direction to the strain in the axial
direction is known as Poisson’s ratio and expressed by:
ε
ν=− (1.3)
ε
Poisson’s ratio is known to be between 0 and 0.5.
A rectangular solid subjected to a shearing force slopes by the
angle θ as shown in Fig. 1.3, and the shear strain is defined as:
l
γ = = tan θ ≈ θ (1.4)
l
April 8, 2015 11:45 PSP Book - 9in x 6in 01-Yoshitaka-Nakanishi-c01

4 Mechanics of Materials

Figure 1.3 Rectangular solid under shear loading.

In general, if it is assumed that all strains are small, the components

of normal strain are defined as follows:
∂u ∂v ∂w
εx = , εy = , εz = (1.5)
∂x ∂y ∂z
where u, v and w are the components of displacement in the x, y and
z directions, respectively. Similarly, the components of shear strain
are defined by:
∂u ∂v ∂v ∂w ∂w ∂u
γx y = + , γ yz = + , γzx = + (1.6)
∂y ∂x ∂z ∂y ∂x ∂z

1.3 Stress

Stress is understood as the transmission of force through deformable

materials, and the force acting on the surface of unit area. For
example, in a simple uniaxial loading case as shown in Fig. 1.2, tensile
stress is defined as:
P
σ = (1.7)
A0
Shear stress is also understood as the shearing force acting on the
surface of unit area. Therefore, in the rectangular solid subjected to
a shearing force V shown in Fig. 1.3, the shear stress is expressed as:
V
τ= (1.8)
S0
April 8, 2015 11:45 PSP Book - 9in x 6in 01-Yoshitaka-Nakanishi-c01

Stress 5

Figure 1.4 An arbitrary solid under three-dimensional loading condition.

We consider a body subjected to a force vector P having the

rectangular components P1 , P2 and P3 as shown in Fig. 1.4. In a
certain cross-sectional area perpendicular to the x-axis, the force
vector P acting on the surface can be decomposed of three
components Px , P y and Pz . Stress components are then defined
as follows:
Px P y Pz
σx = lim , τx y = lim , τx z = lim (1.9)
A→0 A A→0 A A→0 A

In a more general way, an infinitesimally small cube inside of

the solid, as shown in Fig. 1.4, is often considered to express stress
tensor as illustrated in Fig. 1.5. In this configuration, there are three
normal stresses and six shear stresses existing on the surfaces. The

Figure 1.5 Stress components acting on the surfaces of a small cube.

April 8, 2015 11:45 PSP Book - 9in x 6in 01-Yoshitaka-Nakanishi-c01

6 Mechanics of Materials

stress tensor is defined by:

⎡ ⎤
σx τx y τx z
σ = ⎣ τ yx σy τ yz ⎦ (1.10)
τzx τzy σz

It can be proved from the theory of elasticity that this tensor must
be symmetric, that is, τi j = τ j i . Therefore, the stress tensor actually
has three shear components. If the cube is rotated as shown in
Fig. 1.5, the stresses in the new position will be related to the
original stresses, but they will generally not be the same. The stress
components in the original rectangular Cartesian coordinate system
x, y, z are expressed by σi j where i = 1, 2 or 3 and j = 1, 2 or
3, corresponding to x, y and z, respectively. Similarly, the stress
components in the new coordinate system x  , y  , z are denoted by

σkm where k = 1, 2 or 3 and m = 1, 2 or 3, corresponding to x  , y 
and z , respectively. Then, the stress components are transformed
according to the tensor transformation law:

σkm = σ j i αkj αmi (1.11)

where αki denotes the direction cosine of the xk axis (x1 = x  , x2 =
y  , x3 = z ) with respect to the xi axis (x1 = x, x2 = y, x3 = z). In
these formulae, the summation convention of the index is used.
At every point in a solid, there exists a plane, called a principal
plane, where only the normal stress is acting on the plane and there
is no shear stress acting on that surface. These normal stresses are
called principal stresses and usually denoted by σ1 , σ2 and σ3 in three-
dimensional stress states.

1.4 Constitutive Equations

The mechanical responses of materials are characterised by the

relationships between stress and strain from the continuum
mechanics point of view. These theoretical descriptions are called
constitutive equations. A wide variety of materials from soft polymer
to hard ceramics exist. Therefore, many constitutive equations
describing such variety of materials must be developed.
April 8, 2015 11:45 PSP Book - 9in x 6in 01-Yoshitaka-Nakanishi-c01

Constitutive Equations 7

1.4.1 Linear Elasticity

The simplest formula is the constitutive equation for the linear
elastic material under uniaxial tensile loading as shown in Fig. 1.2.
In this case, stress is proportional to strain and the stress–strain
relation is called Hooke’s Law and given by:

σ = Eε (1.12)

where E is called Young’s modulus. Similarly, the linear relation of

shear stress and shear strain is expressed as:

τ = Gγ (1.13)

Where G is called shear modulus, and can be written as a function of

E and ν as follows:
E
G= (1.14)
2 (1 + ν)
Hooke’s Law can be extended to a multi-axial loading condition. The
principle of linear superposition is utilised to obtain the generalised
Hooke’s Law for a three-dimensional stress state as follows:
1  
εx = σ x − ν σ y + σz (1.15a)
E

1
εy = σ y − ν (σz + σx ) (1.15b)
E

1  
εz = σz − ν σ x + σ y (1.15c)
E

τx y τ yz τzx
γx y = , γ yz = , γzx = (1.15d)
G G G
Equation (1.15) can also be written by the tensor form:
1+ν ν
εi j = σi j − δi j σkk (1.16)
E E
where δi j is the Kronecker delta, which has the value 1 if i = j , and
zero if i = j
April 8, 2015 11:45 PSP Book - 9in x 6in 01-Yoshitaka-Nakanishi-c01

8 Mechanics of Materials

1.4.2 Viscoelasticity
When a body is suddenly strained and then the strain is maintained
constant, the corresponding stresses decrease with time. This
mechanical phenomenon is call stress relaxation. On the contrary,
if the body is suddenly stressed and then the stress is maintained
constant, the body continues to deform. This phenomenon is called
creep. If the body is subjected to a cyclic loading, the stress–
strain relationship in the loading process is usually somewhat
different from that in the unloading process, and the phenomenon
is called hysteresis. The features of hysteresis, stress relaxation
and creep are found in many natural and engineering materials,
and such mechanical behaviours are theoretically characterised by
viscoelasticity.
Mechanical models have been developed to discuss the viscoelas-
tic behaviour of materials. Three representative mechanical models
for simplified viscoelastic behaviour are shown in Fig. 1.6, and they
are called the Maxwell model, the Voigt model and the Kelvin model,
respectively, all of which are composed of combinations of linear
springs with spring constant E and dashpots with coefficient of
viscosity η. A linear spring is supposed to produce instantaneously
a deformation proportional to the load and therefore, the strain ε of

Figure 1.6 Three fundamental viscoelastic models.

April 8, 2015 11:45 PSP Book - 9in x 6in 01-Yoshitaka-Nakanishi-c01

Constitutive Equations 9

the spring is related to σ by Hook’s Law Eq. (1.12), that is, σ = E ε.

A dashpot is supposed to produce a velocity proportional to the load
at any instance and therefore, the velocity of deflection dε/dt in the
dashpot is related to σ by σ = ηdε/dt. The total velocity in the
Maxwell model is then given by the sum of the contributions from
the spring and the dashpot such that:
dε 1 dσ σ
= + (1.17)
dt E dt η
For the Voigt model, the spring and the dashpot have the same strain.
The total stress σ is therefore
dε
σ = σ1 + σ2 = E ε + η (1.18)
dt
For the Kelvin model, the strain ε is decomposed of ε1 of the spring
and ε1 of the dashpot. The total stress σ is the sum of the stress σ1
from the Maxwell element and the stress σ2 from the single spring.
Thus, the following equations are obtained:

ε = ε1 + ε1 σ = σ1 + σ2 (1.19)

and
dε1
σ1 = E 1 ε1 = η σ2 = E 2 ε2 (1.20)
dt
By combining these equations, the relationship between the stress
and the strain is given by:
η dσ E2 dε
σ+ =η 1+ + E 2ε (1.21)
E 1 dt E1 dt
This equation is also expressed as:
dσ dε
σ + τε = ER ε + τσ (1.22)
dt dt
where
η η E2
τε = , τσ = 1+ , E R = E2 (1.23)
E1 E2 E1
The constant τε is called the relaxation time for constant strain,
whereas τσ is called the relaxation time for constant stress.
April 8, 2015 11:45 PSP Book - 9in x 6in 01-Yoshitaka-Nakanishi-c01

10 Mechanics of Materials

In order to understand the fundamental mechanical responses of

these three models, we introduce a unit-step function U (t) defined
as:
⎧
⎪
⎪ 1 : t>0
⎨
1
U (t) = : t=0 (1.24)
⎪
⎪
⎩ 02 : t < 0

By solving these equations for ε(t) when σ (t) is the unit-step

function U (t), we obtain:
From Maxwell model
1 1
Dc (t) = + t U (t) (1.25)
E η
From Voigt model
1 
Dc (t) = 1 − e−E t/η U (t) (1.26)
E
From Kelvin model
 
1 τε
Dc (t) = 1− 1− e−t/τσ U (t) (1.27)
ER τσ
These Dc (t) are called creep compliance. On the contrary, by solving
the equations for σ (t) when ε(t) is U (t), we obtain:
From Maxwell model
E r (t) = E e−E t/η U (t) (1.28)
From Voigt model
E r (t) = ηδ (t) + E U (t) (1.29)
From Kelvin model
 
τσ
E r (t) = E R 1 − 1 − e−t/τε U (t) (1.30)
τε
These E r (t) are called relaxation modulus. The δ(t) is called Dirac-
delta function and defined by:
δ (t) = 0 : t < 0 and t > 0 (1.31a)
 ε
f (t) δ (t) dt = f (0) : ε>0 (1.31b)
−ε
where f (t) is an arbitrary function, continuous at t = 0. These Dc (t)
and E r (t) are illustrated in Figs. 1.7 and 1.8, respectively.
April 8, 2015 11:45 PSP Book - 9in x 6in 01-Yoshitaka-Nakanishi-c01

Constitutive Equations 11

Figure 1.7 Creep compliances of three models.

Figure 1.8 Relaxation moduli of three models.

More generalised models can be developed to express the

viscoelastic responses of materials. Typical examples of such models
are the generalised Maxwell model and the generalised Voigt model
(also called generalised Kelvin model) that are constructed as a
series of the unit models as shown in Figs. 1.9 and 1.10. For the
generalised Maxwell model shown in Fig. 1.9, the stress–strain
relation is expressed as:
 
 Ei
σ (t) = E e + D ε(t) (1.32)
i
(D + 1/τi )
where D = d/dt and τi = ηi /E i . For the generalised Voigt model
shown in Fig. 1.10, the stress–strain relation is given by:
 
 Ci
ε (t) = C e + D σ (t) (1.33)
i
τi (D + 1/τi )
where
1 1 ηi
Ce = , Ci = , τi = (1.34)
Ee Ei Ei
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12 Mechanics of Materials

Figure 1.9 Generalised Maxwell model.

Figure 1.10 Generalised Voigt (Kelvin) model.

1.5 Elastoplasticity

Most of engineering metals and plastics exhibit irreversible non-

linear deformation when these materials are loaded beyond their
elastic limits. Such deformation is called plastic deformation. It
should be noted that the final state of deformation depends not only
on the final loading but also on the loading history. To express such
elastic–plastic deformation theoretically, yield criteria, that define
the transition point from reversible elastic to irreversible plastic
deformation, need to be developed. Furthermore, the incremental
theory (the flow theory) and the total strain theory (or the
deformation theory) has been established to describe the plastic
deformation mathematically.
Some idealised stress–strain relations have been introduced
in order to express the elastic–plastic stress–strain behaviour
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Elastoplasticity 13

mathematically. These stress–strain relations are schematically

illustrated in Fig. 1.11. It is mathematically convenient to decompose
the elastoplastic stress–strain behaviour into the linear elastic
deformation region and the subsequent plastic deformation region.
The plastic stress–strain behaviour can be expressed by both linear
and nonlinear functions. In the perfectly plastic deformation, the
stress keeps constant value equivalent to the yield strength in
the plastic region [Fig. 1.11(a)]. The linear and nonlinear work-
hardenings exhibit linear and nonlinear increasing behaviours of
stress with increasing strain in the plastic region as shown in
Fig. 1.11(b and c), respectively. For a mathematical simplicity,
exponential function is sometimes introduced to express the
nonlinear work-hardening behaviour as shown in Fig. 1.11(d).

1.5.1 Yield Criteria

The strain εi j in an elastic–plastic material is decomposed of the
elastic and plastic contributions such that
p
εi j = εiej + εi j (1.35)
p
where εiejand εi j
denote the elastic and plastic contributions,
respectively. The elastic component is related to the stress σi j by the
generalised Hooke’s Law:
σi j = C i j kl εkl (1.36)
where C i j kl is the tensor of elastic constants. Symmetry of the stress
and strain tensors requires that C i j kl = C j i kl and C i j kl = C i jlk ,
respectively. If the stress level is lower than the yielding point, then
the plastic strain component is identically zero. When yielding takes
place, the plastic deformation is assumed to be incompressible, that
is:
p
εii = 0 (1.37)
A yield criterion is required to assess whether or not plastic
deformation has occurred. It is assumed that a yield function exists
such that:
f = f (σi j ) (1.38)
This is a function of the current state of stress σi j . The yield surface
f = 0 represents a hypersurface in the nine-dimensional Euclidean
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14 Mechanics of Materials

Figure 1.11 Idealised elastic–plastic stress–strain relations.

space σi j . In general, the yield surface can expand (isotropic

hardening), translate (kinematic hardening) or both during plastic
deformation. All current stress must lie either on or inside ( f ≤ 0)
this surface, but never outside ( f > 0) it. All stress states within the
surface are elastic whereas during plastic deformation the current
stress state must be on the yield surface.
For isotropic material behaviour, the yield function must be an
isotropic function of the stress. This requires that:
f = f (I1 , I2 , I3 ) (1.39)
where Ii are the stress invariants defined by:
I 1 = σ x + σ y + σz (1.40a)

I2 = (σx σ y + σ y σz + σz σx ) − τx2y − τ yz
2
− τzx
2
(1.40b)
 
 σx τx y τzx 
 
I2 =  τx y σ y τ yz  (1.40c)
τ τ yz σz 
zx
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Elastoplasticity 15

Since these invariants can be expressed in terms of the principal

stresses, then alternatively:
f = f (σ1 , σ2 , σ3 ) (1.41)
Yielding of most metals is not influenced by a moderate hydrostatic
pressure:

p = (σx + σ y + σz ) 3 = I1 /3 (1.42)
For such cases, the yield function is independent of I1 and depends
only on the deviatoric stresses si j which is defined by:
1
si j = σi j − δi j σii (1.43)
3
Therefore, for isotropic behaviour:
f = f ( J 2, J 3) (1.44)
where J 2 and J 3 are the second and the third invariants of the
deviatoric stress tensor, respectively, and given by:
1 1
J 2 = si j si j J 3 = si j si k s j k (1.45)
2 3
The von Mises and the Tresca yield conditions are widely used as
yield criteria in the material engineering field. The von Mises yield
function is expressed as:
f = J 2 − k2 (1.46)
where the parameter k depends on the strain history for a work
hardening material and assumes a constant for a perfectly plastic
material. In terms of the principal stresses, the von Mises yield
surface is defined by:
1
f = (σ1 − σ2 )2 + (σ2 − σ3 )2 + (σ3 − σ1 )2 − k2 = 0 (1.47)
6
If we introduce a condition of pure shear with σ1 = –σ3 = σ and
σ2 = 0 where τ is the yield stress in shear, then Eq. (1.45) results in:
k=τ (1.48)
On the other hand, if we introduce a condition of uniaxial tension
with σ1 = σy and σ2 = σ3 = 0 where σy is the yield stress in uniaxial
tension, then:
σy
k= √ (1.49)
3
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16 Mechanics of Materials

This result implies that the parameter k can be determined from

uniaxial tensile test. The von Mises yield surface is a circular
cylindrical surface whose axis is the ray σ1 = σ2 = σ3
The Tresca criterion was derived from the assumption that
yielding occurs when the maximum shear stress in the material
reaches the yield stress k in shear. Therefore, the Tresca criterion
can be expressed using the principal stresses such that:
max [|σ1 − σ2 | , |σ2 − σ3 | , |σ3 − σ1 |] = 2k (1.50)
The Tresca yield surface is a regular hexagonal cylinder with the axis
σ1 = σ2 = σ3 in the principal stress space.

1.5.2 Incremental Plasticity

From Eq. (1.35), strain increment may be expressed as:
p
dεi j = dεiej + dεi j (1.51)
e
From Eq. (1.15), the elastic strain increment dεi j is given by:
1+ν ν
dεiej = dσi j − δi j dσkk (1.52)
E E
By introducing von Mises yield criterion, the plastic strain increment
p
dεi j is expressed as:
p 3 si j
dεi j = d σ̄ (1.53)
2 σ̄ H 
where si j is the deviatoric stress defined by Eq. (1.43), and σ̄ is the
effective stress which is defined by:
1/2
3
σ̄ = (3J 2 )1/2 = si j si j (1.54)
2
The corresponding effective strain is defined by:
2 p p 1/2
ε̄ p = ε ε (1.55)
3 ij ij
Therefore, the effective stress and strain increments are expressed
as:
1/2
3
d σ̄ = dsi j dsi j (1.56a)
2
2 p p 1/2
d ε̄ p = dε dε (1.56b)
3 ij ij
H  is the slope of the equivalent stress—the equivalent plastic strain
curve at the current effective stress. Substitution of Eqs. (1.52) and
April 8, 2015 11:45 PSP Book - 9in x 6in 01-Yoshitaka-Nakanishi-c01

Bibliography 17

(1.53) into Eq. (1.51) yields:

1+ν ν 3 si j
dεi j = dσi j − δi j dσkk + d σ̄ (1.57)
E E 2 σ̄ H 

1.5.3 Deformation Plasticity

The deformation theory of plasticity is actually a nonlinear elasticity
theory and therefore has very definite limitations. Nevertheless, it
offers certain mathematical simplifications that make its useful. In
the deformation theory, it is assumed that:
p
εi j = φ si j (1.58)
where φ is a scalar function of the stress invariants and plastic
strains. From Eqs. (1.53) and (1.58), one obtains:
3 ε̄ p
φ= (1.59)
2 σ̄
Substitution of Eqs. (1.15), (1.58) and (1.59) into Eq. (1.35) yields:
1+ν ν 3 ε̄ p
εi j = σi j − δi j σkk + si j (1.60)
E E 2 σ̄
The principal limitation of the deformation theory of plasticity is
reflected by Eq. (1.58). The plastic strains depend only on the
current state of stress and are independent of the path leading to
this state.

Bibliography

1. Gere JM, Timoshenko SP (1984) Mechanics of Materials, 2nd ed, PWS

Engineering, Boston, MA.
2. Kanninen MF, Popelar CH (1985) Advanced Fracture Mechanics, Oxford
University Press, New York, NY.
3. Fung YC (1993) Biomechanics: Mechanical Properties of Living Tissues,
2nd ed, Springer-Verlag, New York, NY.
4. Meyers MA, Chawla KK (2009) Mechanical Behavior of Materials, 2nd ed,
Cambridge University Press, UK.
5. Pruitt LA, Chakravartula AM (2011) Mechanics of Biomaterials: Funda-
mental Principles for Implant Design, Cambridge University Press, UK.
April 8, 2015 11:45 PSP Book - 9in x 6in 01-Yoshitaka-Nakanishi-c01
April 8, 2015 11:45 PSP Book - 9in x 6in 02-Yoshitaka-Nakanishi-c02

Chapter 2

Tribology: Friction, Wear and Lubrication

Kazuyuki Yagi
Department of Mechanical Engineering, Kyushu University, 744 Motooka,
Fukuoka-city, Fukuoka 819-0395, Japan
[email protected]

This chapter describes the fundamental of tribology. Tribology is the

science and engineering of interacting surfaces with relative motion.
Interacting areas can be found in machinery as well as human
body. In some contacting areas, low friction and wear are desirable
for requirements of high efficient and safe operation. Lubrication
is conducted to decrease friction and wear. On the other hand,
there also exist contacting areas in which high friction and wear
are required such as clutches, tires and erasers. It is important for
tribological engineers and scientists to control and use effectively
functions obtained from interacting surfaces such as friction, wear
and lubrication. In this chapter, the principles of friction, wear and
lubrication are introduced.

2.1 Introduction of Tribology

The term ‘tribology’ is defined as the science and engineering of

interacting surfaces in relative motion in 1966 by a committee

Hydrated Materials: Applications in Biomedicine and the Environment

Edited by Yoshitaka Nakanishi
Copyright c 2015 Pan Stanford Publishing Pte. Ltd.
ISBN 978-981-4463-22-5 (Hardcover), 978-981-4463-23-2 (eBook)
www.panstanford.com
April 8, 2015 11:45 PSP Book - 9in x 6in 02-Yoshitaka-Nakanishi-c02

20 Tribology

of the Organization for Economic Cooperation and Development.

Interacting surfaces can be found everywhere. Vehicles have
contacting areas between the ground and tires at which traction
force is generated for movement. Pencils and erasers work by
making a contact area between a pencil and a paper. Machines have
many frictional and lubricated areas formed by contacting surfaces.
Human body also has many interacting surfaces in human joints.
Frictional areas have many complex and important phenomena
related to mechanics, physics, material science and chemistry, which
were attractive for scientists as well as engineers.
Friction is most accessible phenomenon for human, which is
resistance force against movement under normal loading and is
energy dissipation process. Normally, frictional force should be
reduced for frictional areas. However, human being cannot walk and
catch anything by hands unless frictional force takes place. Wear
is material waste process of surfaces during frictional movement.
As wear occurs in frictional area, debris particles are generated as
a result of detachment parts of the surfaces, which cause further
damage of frictional surfaces. The function of lubrication is to
support normal load by thin film to prevent from direct contacts of
mating surfaces and to decrease friction and wear. Liquid lubricant
is usually used to achieve the formation of a fluid film in which
viscous flow occurs. However, gas and a few atomic layers adsorbed
on surfaces also posses the function of ‘lubrication’.
The goal of ‘tribology’ is to control and use effectively friction,
wear and lubrication depending on requirements. For rolling
bearings used in spindles and shafts, safe and long-time operation
with low frictional force and wear is required, while clutches
equipped in transmissions and tires need high frictional force to
transfer high power. The impact of reduction of friction and wear
is not small for the economical aspect as well as engineering one.
The reduction of frictional force of each rolling bearing and gear
may be small. However, many rolling bearings and gears are used in
one machine. The accumulation of the frictional reduction becomes
a great impact on energy savings. If the longer life operation
is achieved as a result of overcoming tribological problems, no
exchange of parts of machinery during short period become to be
required.
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Friction 21

2.2 Friction

Friction is a process of energy dissipation during sliding motion

under normal loading. Friction is generated in the opposite direction
of the sliding motion as a resistance force. Leonardo da Vinci
found two laws of friction, which were again discovered and
further developed by Guilaume Amontons and Caharles-Augustin de
Coulomb. Four empirical laws are as follows:
• Frictional force is proportional to normal load.
• Frictional force is independent of apparent contact area.
• Frictional force is independent of sliding speed.
• The static frictional force is greater than the dynamic
frictional force.
Amonton and Coulomb believed that the origin of friction would
cause when one surface having roughness climbs another rough-
ened surface. This hypothesis had well been recognised for more
than five hundred years since Amonton thought. However, in
accordance with progress of technology, it was found that frictional
force increased when surfaces with small roughness were used [1].
Bowden and Tabor [2] suggested that friction would be generated
by adhesive force when contacting asperities on the mating surfaces
were detached.
Figure 2.1 shows the schematic of mating asperities under
applied load. The real contact area between the asperities can be
expressed when plastic deformation of the asperities occurs.
W
Ar = (2.1)
pm

Ar

Figure 2.1 Adhesive force at asperity-asperity contact area.

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22 Tribology

W
F
r

Figure 2.2 Ploughing force during sliding.

where A r is the real contact area, W is the load and pm is the

hardness of softer asperity. Friction F a and friction coefficient μ can
be expressed as the following equation:
 
W
Fa = s (2.2)
pm
s
μ= (2.3)
pm
where s is the shear stress by adhesive force. When load increases,
the real contact area also increases proportionally. Therefore, the
friction coefficient is constant. The hypothesis of adhesive force can
explain three of the four empirical laws.
In the case where one surface is considerably softer than the
other surface, ploughing action contributes to friction. Figure 2.2
shows the schematic of ploughing action.
When the asperity of harder material penetrated into softer
surface to slide in the tangential direction, it is necessary to remove
softer material during sliding. Friction by ploughing surface F p can
be expressed as follows.
F p = A p pm (2.4)
where A p is the reflected area to the sliding direction. The
contribution of frictional force by ploughing action depends on the
difference in hardness between the surfaces and geometrical shape.
At least in metal–metal contacts, the influence of ploughing action
on frictional force can be negligible.
As expressed Eq. (2.1), the real contact area is created as a
result of plastic deformation by normal load under a static contact.
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Friction 23

As sliding motion is added to normal load, frictional force also

contributes to increase the real contact area. The mechanism of the
increase in real contact area by frictional force is called ‘junction
growth’. The mechanism of junction growth can be explained by the
following Von Mieses yield criterion:
p2 + C τ 2 = p2y = C sm
2
(2.5)
where p is the normal stress, τ is the shear stress, py is the plastic
flow stress under only normal load, sm is the shear strength and C
is an arbitrary constant. The value of C ranges from 3 to 25 [2]. The
stresses p and py can be expressed as follows:
W
p= (2.6)
Ar
F
τ= (2.7)
Ar
W
p0 = (2.8)
A r0
where F is the frictional force, W is the normal force, A r is the real
contact area under normal and tangential forces and A r0 is the real
contact area with only normal force W.
Substituting and rearranging gives:
  2
Ar W/ p F 1
= = 1+α = (2.9)
A r0 W/ pm W 1 − (s/sm )2
F sA s 1
ϕ= = = =   (2.10)
W pA p α (s/sm )2 − 1
The above equations indicate that the real contact area increases
to infinity as the shear force reach the shear strength of material
sm . as shown in Fig. 2.3. Actually, the surface starts to slide before
the shear force s reaches sm [3]. Consider a thin film with the shear
strength sf on the surface.
sf = ksm (2.11)
Substituting the shear strength of the thin film sf into Eq. (2.10)
gives:
A 1
=√ (2.12)
A0 1 − k2
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24 Tribology

3 2

Tangential force coefficient φ

α=9
2.5

Shear stress ratio s/sm

φ 1.5
2

1.5 s/sm 1

1
0.5
0.5

0 0
0 1 2 3 4 5 6 7 8
A/A0

Figure 2.3 Increase of real contact area by frictional force.

k
φ=   (2.13)
C 1 − k2

Figure 2.4 shows the real contact area ratio A/A 0 and tangential
friction coefficient φ for various shear strength ratios sf /sm . The
values of A/A 0 and φ are significantly reduced as sf /sm decreases.
According to the above equations, the combination between a thin

10 3
Tangential force coefficient φ
Real contact area ratio A/A0

8
2
6

4
1
A/A0
φ
2

0 0
0 0.2 0.4 0.6 0.8 1
Shear strength ratio sf/sm

Figure 2.4 Real contact area ratio and tangential friction coefficient for
various shear strength ratios.
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Wear 25

film with low shear strength and a surface with high hardness is the
best way to reduce the friction coefficient.

2.3 Wear

Wear is material waste at the interfaces between contacting bodies

by friction during sliding. As wear occurs, wear debris particles are
generated and then surface topography is changed. The occurrence
of wear reduces efficiency and reliability of machinery to cause
further damages of surfaces. On the other hand, there are also
many techniques such as cutting, polishing, superfinishing, chemical
and mechanical polishing (CMP) and running-in to utilise the
wear phenomenon. The wear phenomenon is complex and is
related to mechanical, physical and chemical mechanisms. To date,
many investigations on wear have been conducted. However, no
systematic way to predict and estimate quantitatively wear has been
found.
The mode of wear can be classified into the following mecha-
nisms:

• adhesive wear
• abrasive wear
• corrosive wear
• erosive wear

Adhesive wear occurs at real contact areas of contacting asperities

because adhesive force detaches parts of the surfaces. Archard [4]
explained the wear volume by adhesive wear using a simple model
schematically shown in Fig. 2.1. It is assumed that there are the
sum of real contact areas A r composed of n of circular contacting
points with radius a. As the upper asperity slides, the contact area
decreases to reach 0. When the contact area equal to 0, another
pair of asperities are assumed to start to contact. The number of
contacts of asperities N during sliding in distance Lcan be expressed
as follows:
nL
N= (2.14)
2a
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26 Tribology

Substituting W = pm A r and A r = nπa2 into Eq. (2.4) gives

WL
N= (2.15)
2πa3 pm
Semispherical wear debris with radius a is generated in the
probability k during contacts. The wear volume V in sliding distance
L reads:
2πa3 k WL
V = kN = (2.16)
3 3 pm
The equation for the wear volume V indicates that the wear
volume is to proportional to load and sliding distance, and is
inversely proportional to hardness.
Abrasive wear is to remove softer material by asperity or debris
with harder material during sliding. Cutting and polishing are
established by the abrasive wear mechanism. In the case where
softer surface is rubbed away by harder surface, the action is called
‘two-body abrasive wear’. In the case where the surface is removed
by harder particles such as debris particles and slurry, the action is
called ‘three-body abrasive wear’.
One of the simplest model for abrasive wear is shown in Fig. 2.5.
A rigid cone is penetrated into a surface with depth d. The cone
is moved from left to right removing the surface. The load W is
expressed as follows.
pm
W = π (d tan θ )2 (2.17)
2
where ϑ is the semi vertical angle of the cone. The wear volume V
after moving the distance L reads:
2 cot θ 2 cot θ W L
V = d 2 tan θ L = WL = (2.18)
π pm π pm

L
θ

Figure 2.5 Model of abrasive wear.

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Wear 27

According to Eq. (2.18), the wear volume by abrasive wear

is the same trend as that in the case of adhesive wear. The
volume is proportional to load and sliding distance, and is inversely
proportional to hardness.
Corrosive wear [5] occurs as a result of chemical reaction
of surfaces to surroundings such as lubricant, additives and
atmosphere. If corrosion occurs to produce a film on its surface,
the film is easy to be removed under sliding contacts. As a result,
nascent surface is exposed to cause further corrosion. This process
is repeated under activated circumstance, the wear volume is
increased. Oxidative wear is one of types of corrosive wear and is
cause by oxidative reaction. Oxygen is included in lubricant as well
as atmosphere.
Corrosive wear possesses actions to create protected layer on
its surface as well as to accelerates to produce wear volume. For
example, in vacuum, friction is significantly higher compared to
in air and depend on material of the surface because in air an
oxidative layer could prevent from direct contacts of mating surfaces
to weaken adhesive force. Extreme-pressure agent is used to create
protected layers on the surface by corrosive action in engine oils.
CMP process utilises effectively the combination of corrosive wear
and abrasive wear.
Erosive wear is caused by the impact of particles such as
solid and liquid to the surface. Erosive wear depends on impact
speed angle, particles size and material of the surface and particle.
Figure 2.6 shows the schematic result for the influence of the impact
angle. The angle of 90 degrees means that particles are impacted in
normal direction. At low impact angles, the wear volume is small
for brittle materials while the volume is high for ductile materials.
This is because abrasive wear occurs in the horizontal direction for
ductile materials at low impact angles. At high impact angles, crack
generation and propagation are the main part of wear for brittle
materials. Therefore, at high impact angles the wear volume for
brittle materials is higher than that for ductile materials. The size of
particles also play an important role in mechanism of erosive wear.
As the size of particles increases, the mode of erosion changes from
ductile to brittle [6].
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28 Tribology

α α
Wear rate

Wear rate
90° 90°
Impact angle α Impact angle α

(a) Ductile material (b) Brittle material

Figure 2.6 Schematic of variation in erosion rate for various impact angles.

Cavitation erosion is caused by the impact of liquid, which is the

collapse of bubbles in lubricant. When bubbles collapse during shot
period, significant high pressure from 100 MPa to 1 GPa is generated.
There are two types of cavitation for lubricated areas. One is vapour
cavitation. If the pressure is reduced down to the vapour pressure of
liquid, the liquid evaporates to form bubbles. The other is gaseous
cavitation. If the pressure is reduced, dissolved gas is released to
form cavitation. For hydraulic systems, this type of cavitation is
called ‘aeration’ [7]. In the water case, the vapour pressure is higher
than the gas released pressure. Therefore, cavitation in water is
vapour cavitation. In the lubricant case, bubbles are formed by
the release of dissolved gas from the lubricant because the vapour
pressure is lower than the gas released pressure. The shrink speed
of bubbles formed by gaseous cavitation is not fast because released
gas dissolves slowly into the lubricant. Therefore, cavitation erosion
hardly occurs in the lubricant case while significant damage is found
on the surface in the water case.

2.4 Lubrication

The function of lubrication is to separate mating surfaces with

relative motion by a film to support load. In the case where the
film is thick, a hydrodynamic force generated by the viscous flow
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Lubrication 29

Boundary lubrication Mixed lubrication Hydrodynamic lubrication

Friction coefficient μ

Bearing number S = ηu/pm

Figure 2.7 Stribeck curve.

separates the mating surfaces. This type of lubrication is called

‘hydrodynamic lubrication’. Normally, liquid lubricant is used to
achieve hydrodynamic lubrication. Gaseous could also produce
hydrodynamic lubrication force because gaseous also have viscosity.
The shear stress of lubricant is significantly low compared to that by
solid–solid contacts. Wear is also expected to be so small because
of prevention of solid–solid contacts. Therefore, safe and high
efficiency operation with low friction and wear can be achieved in
the hydrodynamic lubrication region. Figure 2.7 shows the Stribeck
curve to indicate the lubrication region. The horizontal axis indicates
the bearing number S defined as S = ηu/ pm , where η is the
viscosity, u is the sliding speed and pm is the nominal pressure. When
the bearing number is high, that is, the nominal pressure is small,
sliding speed is high and viscosity is high, the film thickness and
friction coefficient are increased. If the film thickness decreases as
a result of decreasing the bearing number, the friction coefficient
starts to raise. This arises from starting direct contacts of the mating
surfaces. The friction coefficient increases with further decreasing
the bearing number.
This lubrication region is mixed lubrication. In the mixed lubri-
cation region, the applied load is supported by the hydrodynamic
force and direct contacts of the surfaces. When the bearing number
is low, the friction coefficient becomes high and is independent
Exploring the Variety of Random
Documents with Different Content
1640 & Candy restored, 1641; ed. f. MSS. by C. Leech, see Bang
(W.) MatCiials, n.s., vl5, 1938. Weston, Yorks. The register of the Ch.
of All Saints, W., nr. Otley, 1639-1812. Transor., ed. &c. by J.
Singleton. [Yorks. Par. Reg. Soc, v54, b. w. Rormton, East. Reg.]
i°.p.p. [Leeds]. 1916 Weston (Christine). The dark wood. 8°. 1947
Indigo. 8'. 1944 Weston (Frank), bp. of Zanzibar & East Africa. The
black slaves of Prussia. Open letter to Gen. Smuts. [M421]. s8°.
Boston. 1918 Weston (H. Claude), see Indust. Fatigue Research Bd.
Rep. 40, 49, 57; by W. &o., 1927-29. Weston (Harold). Form in
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