Appendix 1: Methods of Description of

Rough Surface

A.1.1 METHODS OF DESCRIPTION OF ROUGH SURFACE

Parametric method of description includes a number of parameters, some of which are given in
Chapter 2. Here some further parameters are listed which are used in tribological theory and
practice. As a rule, the parameters are determined in respect to mean line.
There are two methods of plotting the mean line: the M-system, or “mean-line system”, and the
E system or “envelope system”.
The first method is recommended by ISO and by the standards of the majority of countries, e.g.,
UK, Holland, Russia, USA, etc., the second method is used in the standards of Germany, Italy,
Switzerland and some other countries. According to the M system, the mean line is plotted using the
method of least squares so that the sum of squared deviations of the profile curve from this line is
minimal, meanwhile the shape of the mean line should coincide with the nominal (geometrical)
profile. For example, it is a straight line for plane and cylinder along its generatrix, an arc for sphere
and cylinder along its directrix, and so on.
The E-system implies the rolling of the real profile by a circle of sufficiently large radius (e.g.,
25 mm in the German standard). The locus of the center of the circle is shifted by the circle radius
giving the envelope, which is displaced into the profile curve by the depth of surface smoothing. As
a result, we obtain the mean line consisting of the arcs of the rolling circle and approximately
coinciding with the least-squares mean line.
The M- and E- systems differ insignificantly in practice. The mean line in these two systems is
plotted within a sampling length l, which is the length of some elementary portion of the effective
profile. The length is selected so that it becomes possible to exclude the irregularities of other types,
waviness primarily. The sampling length is usually standardized.
High-spot count HSC is the number of complete profile peaks (with assessment length) projecting
above the mean line, or a line parallel with the mean line (Figure A1.1, peaks 1–4). The parameter is
insensitive to short wavelengths. In the case of profile mean line, it is identical to zero crossing density.
The degree of fullness K is a ratio of area of material (the area between the measured profile and
a lower reference line, parallel to mean line) to area of enveloping rectangle.
There are parameters, which characterize the shape of a single asperity.
Mean peak radius of curvature rp is defined as mean reciprocal curvature of all peaks in
sampling length. The peak curvature cp is the second derivative of profile equation z(x) at the
top of asperity and usually calculated by the central difference formula:

Cpi Z ð2zi KziK1 KziC1 Þ=l2 :

The mean radius of curvature is then determined from the formula:

1 XnK2
1
rp Z :
nK2 iZ1 cpi
where nZ L /l, number of sampling points.

555

q 2006 by Taylor & Francis Group, LLC

556 Electrical Contacts: Fundamentals, Applications and Technology

z
L

1 4
2
i i −1 i i +1
3
i +1
x
l

FIGURE A1.1 High-spot count and peak curvature.

There exist other methods to calculate the peak radius of curvature. For example, rpi may be
calculated from formula:

rpi Z Dl2i =8hi ; (A1.1)

where Dli is the length of the section of the asperity by the line equidistant to the mean line and
spaced from the peak to a distance hi. Here it is assumed that hi is approximately equal to 0.3 Ra.
This list of roughness parameters currently in use is far from complete. The majority of the
above parameters are included (or at least had been included) into national standards in various
combinations (see Table A1.1 which includes the ISO standard for comparison).
Foreign standards should be used with specific caution because:

– the same parameter may be designated differently in different standards (these differences
are specifically marked in Table A1.1, e.g., km instead of Ra in the Spanish standard);
– the same designation has different or differently assigned parameters. For example, unlike
the above definition of Rz corresponding to Russian or British standard, the German standard
determines this parameter as the average of the maximum peak-to-valley heights in five
consecutive sampling lengths;
– different standards recommend different numbers of sample lengths to be used as the
assessment length of one and the same parameter.

Probabilistic approach based on the probability theory and the random process theory is often
used under the assumption that rough surfaces are Gaussian (normal).

TABLE A1.1
Some National Roughness Standards
Ra Rz Rmax Rp tp S Sm Country

C C UK
C C C Germany
km H Spain
C C C C C C Russia
C USA
C C C C Sweden
C R C C (Tp)C AR France
C C C Japan
C C C ISO

q 2006 by Taylor & Francis Group, LLC

Appendix 1: Methods of Description of Rough Surface 557

Profile Distribution Values

Skew
0

Kurtosis

FIGURE A1.2 Skewness Sk and kurtosis Ks of real profile. (according to Thomas, T. R., Precision Eng., 3, 97, 1971.)

Skewness Sk and kurtosis Ks are the parameters serving to assess the deviation of the real surface
from the surface with symmetric distribution. The skewness Sk is a measure of deviation of
the probability density from the symmetric shape (Figure A1.2). It is defined in the following
manner:
ð
N
1
Sk Z z3 f ðzÞdz (A1.2)
s3
KN

Symmetric distributions (for example, the Gaussian distribution) naturally possess zero skew-
ness. The skewness is negative when profiles have worn peaks and deep scratches, while the
skewness is positive for a surface with high peaks and/or shallow valleys filled up with debris.
The excess Ks characterizes the peakedness of the distribution and is defined as (Figure A1.2):
ð
N
1
Ks Z 4 z4 f ðzÞdz: (A1.3)
s
KN

The symmetric Gaussian distribution has the kurtosis equal to three. If the profile has compara-
tively few high peaks and deep valleys, e.g., as a result of surface turning with a sharp pointed tool,
then Ks !3 and the distribution is termed platikurtic. The distribution is termed leptokurtic, Ks O3,
in the opposite case when there is a large number of high peaks and deep valleys.
The probalistic approach is generalized by the approach based on the theory of random fields
(processes).
It has been noted above that the surface roughness ordinate z is measured, say, from the mean
plane. The coordinate is treated as a random function of two variables z Z z(x, y). According to the
theory of random fields, in case the field z is homogenous and normal, as it is commonly assumed
when analyzing rough surfaces, it is fully determined by its correlating function:

Lð1 Lð2
1
Kðx; yÞ Z lim zðx1 ; y1 Þzðx1 C x; y1 C yÞdx1 dy1 :
L1 ;L2/N 4L1 L2
KL1 KL2

q 2006 by Taylor & Francis Group, LLC

558 Electrical Contacts: Fundamentals, Applications and Technology

Practically any problem of determination of field characteristics (some of them are listed below)
can be solved. Still, it is frequently convenient to apply Fourier transformation to the correlation
function:
ð
N ð
1
Fðkx ; ky Þ Z 2 Kðx; yÞexp½Kiðxkx C yky Þdxdy;
4p
KN

which is termed as the spectral density. Here kx, ky are the components of the wave vector k.
The moments of spectral density are intensively used in the subsequent analysis:
ð
N ð
mpq Z Fðkx ; ky Þkxp kyq dkx dky
KN

For isotropic surfaces it is easy to demonstrate that

m20 Z m02 Z m2 ; m11 Z m13 Z m31 Z 0
(A1.4)
m00 Z m0 ; 3m22 Z m40 Z m04 Z m4 ;

where m0, m2, m4 are the moments of the spectral density of the profile.
The moments are practically determined from the surface profilograms using the Longuet-
Higgins formulas for the densities of zeroes Dz,0 and extrema (maxima and minima) De,0:
 
1 m2 1=2
Dz;0 Z ; (A1.5)
p m0
 1=2
1 m4
De;0 Z : (A1.6)
p m2

Whence it is determined that

m2 Z p2 s2 D2z;0 ; (A1.7)
m4 Z p4 s2 D2z;0 D2e;0 ; (A1.8)

where the standard deviation s equal to (m0)1/2 is also determined from the profilogram. Available
modern measuring instruments allow us to determine the densities of zeroes and extrema
automatically.
In order to determine a number of characteristics of a rough surface it may be enough to use the
joint probability density of the random function and its first two derivatives:

vzðx; yÞ vzðx; yÞ
x1 Z zðx; yÞ; x2 Z ; x3 Z ;
vx vy
v2 zðx; yÞ v2 zðx; yÞ v2 zðx; yÞ
x4 Z ; x5 Z ; x6 Z :
vx2 vxvy vy2

It is assumed that these random variables satisfy the general conditions of the central limit
theorem, so their joint probability density is written as
 
1 1 ðT ð
pðx1 ; x2 ; .; x6 Þ Z 3 1=2 exp K x M x ; (A1.9)
8p D 2

where xð is the column vector of values xj (j Z1, 2,., 6); T, the symbol of transposition; M, the
quadratic matrix 6!6 inverse with the matrix N:

q 2006 by Taylor & Francis Group, LLC

Appendix 1: Methods of Description of Rough Surface 559

0 2 1
x1 x1 x2 x1 x3 . x1 x6
B C
B C
Bx x x22 x2 x3 . x2 x6 C
N ZB 2 1 C;
B , , , , , C
@ A
x6 x1 x6 x2 x6 x3 . x26

where the bar above symbols is the averaging of them.

Transformation of the matrix N with the allowance for Equation A1.4 yields the following
expression for the isotropic surface:
0 1
2m4 3m2 3m2
0 0 0
B D1 2D1 2D1 C
B C
B C
B 1 C
B 0 0 0 0 0 C
B m2 C
B C
B C
B 1 C
B 0 0 0 0 0 C
B m2 C
B C
M ZB
B 3m2
C;
B 9D2 3D3 C C
B 2D 0 0 0
4m4 D1 C
K
B 1 4m4 D1 C
B C
B 1 C
B 0 0 0 0 0 C
B m2 C
B C
B C
B 3m 3D3 9D2 C
@ 2 0 0 K 0 A
2D1 4m4 D1 4m4 D1

where D1 Z2m0m4K3m22, D2 Zm0m4Km22, D3 Z m0m4K3m22

Then the unknown joint probability density is written in the form:
 
1 1
pðx1 ; x2 ; :::; x6 Þ Z p ffiffiffi
ffi exp K X (A1.10)
8p3 D 2
4
where DZ ðm m Þ2 ð2m0 m4 K3m22 Þ;
27 2 4
2m4 2 9D2 3 3m
XZ x1 C ðx24 C x26 Þ C x25 C 2 x1 ðx4 C x6 ÞK 3D3 x x C 1 ðx2 C x3 Þ:
D1 4m4 D1 m4 D1 2m D 4 6 m 2 3
4 1 2

Now it is the matter of techniques to determine various useful characteristics of the rough
surface. For example, again leaving the details apart, let consider the distribution of the peaks. The
surface has a summit (i.e., local maximum) in the point (x, y), providing the following conditions
are satisfied:

x2 Z x3 Z 0; x4 ! 0; x6 ! 0; x4 x6 Kx25 R 0:

If the point is within the elementary region dA above which the summit is disposed, the
variables x2, x3 vary within the region
 
 vðx ; x Þ 
dx2 dx3 Z  2 3 dA Z jx4 x6 Kx25 jdA:
vðx; yÞ

q 2006 by Taylor & Francis Group, LLC

560 Electrical Contacts: Fundamentals, Applications and Technology

Then the density of the summits with the ordinate x1 is determined by integration:
ððð
Psum Z pðx1 ; 0; 0; x4 ; x5 ; x6 Þjx4 x6 Kx25 jdx4 dx5 dx6 ;
V

where the region of integration V is determined by the following inequalities:

x4 ! 0; x6 ! 0; x4 x6 Kx52 R 0:

With some experience and taste for non-trivial transformations it is easy to demonstrate that the
last integral is taken in the finite form, after it is normalized for the density of the summits (the
number of summits per square unit of area):

1 m4
DZ pffiffiffi : (A1.11)
6p 3 m2

It is determined after transformations that the probability density of the summits is:
8
pffiffiffi < 2 31=2 pffiffiffiffiffiffi
* 3 * 4 3ð2aK3Þ 5 *2 3 2p * 2
pðx1 Þ Z x expðKC1 x1 Þ C ðx1 K1Þ
2p : 1 a2 2a
2 0 0 11=2 13 0 1 2 31=2
3 A A5exp@K1 x*1 2 A C 4 2pa 5
!41 C erf @x1* @ ; (A1.12)
2ð2aK3Þ 2 3ðaK1Þ
2 0 0 11=2 13 9
 
*2 =
a ax
!41 C erf @x1* @ A A5exp 1
K
2ðaK1Þð2aK3Þ 2ðaK1Þ ;

where x1 Z x1 =m01=2 ; aZ m0 m4 =m22 ; C1 Z a=ð2aK3Þ:

This distribution was first derived by Nayak and below is referred to his name.
The distribution is degenerated in the normal one at a / N and in the Rayleigh distribution at
a / 1.5.
It is evident that Gaussian isotropic surface is adequately described by the moments m0, m2 and
m4, which are commonly found by processing the profilometer trace. In spite of this circumstance, a
distinction needs to be drawn between statistics of surface (a random function of two variables) and
statistics of profile (a random function of one variable, or a one-dimensional section of the surface).
For example, it is well known that the probability density for the height of profile peaks is
 1=2        
aK1 ax1 p 1 2 x1
ppeak ðx1 Þ Z exp K 
C x1 exp K x1 1 C erf p ffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi $
2pa 2ðaK1Þ 2ðaK1Þ 2 2ðaK1Þ

Here by a peak is meant a maximum in the profilometer trace (profile) which does not need to be
coincident with a maximum in the surface named a “summit”.
A comparison of probability densities of summits and peaks (Figure A1.3) shows how the
profile distors the surface. With the same parameter a the profile gives smaller amounts of high
peaks and underestimates their height than there exist on surface. The reason is that the chance that
stylus of profile-measuring instrument will travel over the summit is negligible. That is, the stylus,

q 2006 by Taylor & Francis Group, LLC

Appendix 1: Methods of Description of Rough Surface 561

0.7

0.6
a = 1.5
0.5 a=5
0.4
a=∞
p (ξ1*)

0.3

0.2

0.1

0.0
−2 −1 0 1 2 3
ξ 1*

FIGURE A1.3 Probability densities for peak (thin lines) and summit (thick lines) heights.

as a rule, travels over the shoulder of an asperity. The distortion decreases when the parameter a
varies from 1.5 (the greatest distortion) to N (zero distortion).
Let us consider some other measures of surface roughness.
The surface gradient is defined by the variables (x2, x3), the joint probability density of which is
found by the equation
 2 
1 x2 C x23
pðx2 ; x3 Þ Z exp K : (A1.13)
2pm2 2m2

If we pass to the polar coordinates

ðx2 ; x3 Þ Z ðx cos q; sin qÞ

then with regard to the Jacobian

 
 vðx2 ; x3 Þ 
 
 vðx; qÞ 

from Equation 2.11, we obtain

 2 
z2 z ðm02 cos2 qK2m11 cos q sin q C m20 sin 2qÞ
pðz; qÞ Z exp K
2pD21=2 2D2

Hence we may find the distribution density of the gradient modulus

 2   2 
z z m20 C m02 z m20 Km02
pðzÞ Z 1=2 exp l0 (A1.14)
D2 4D2 4D2
2Ðp
where I0 ðzÞZ ð1=2pÞ expðKzsin qÞdq is the Bessel function of the zero order for
imaginary argument. 0

In deducing Equation A1.14 we suggested the axis X1 coincides with the major direction, so that
m11 Z 0 and m20 R m02. In the case of the isotropic roughness the gradient modulus has the

q 2006 by Taylor & Francis Group, LLC

562 Electrical Contacts: Fundamentals, Applications and Technology

Rayleigh distribution

z
pðzÞ Z expðKz2 =2m2 Þ (A1.15)
m2

Then the mean value of the gradient modulus is

ð
N

1=2
z Z zpðzÞdz Z pm2 (A1.16)
2
0

Surface curvature at summit is defined as follows. There are two major directions and the
corresponding them principal curvatures K1 and K2 at each surface point. Their half-sum is the
mean curvature Km Z (K1 CK2)/2 Z K(x4Cx6)/2. The joint probability density for summit
heights x1 at the summit t1 is
 1=2  
3C1 1
pðx1 ; tÞ Z ½t12 K2 C 2 2
expðKt1=2 ÞexpðKC1 x2
1 Þexp ðC t2 C C2 t1 x1 Þ (A1.17)
2p 2 11

Here C1 Za/(2aK3); C2 ZC1(12/a)1/2; t1 Z KKm(3/m4)1/2.

Then the expected value K m ðx1 Þ at the summit with the height x1 is

m 1=2 I ðx ÞK2I ðx Þ C 2I ðx Þ
K m ðx1 Þ Z 4 3 1 1 1 5 1
; (A1.18)
3 I2 ðx1 ÞK2I0 ðx1 Þ C 2I4 ðx1 Þ

where
 1=2
 
p 1
I0 Z exp K x1 ð1 C erf b1 x1 Þ;
2C1 2
   
1 2  1 2 
I1 Z expðKC1 x1 Þ C p b1 x1 exp K x1 ð1 C erf b1 x1 Þ ;
1=2
C 2
 1     
pffiffiffi 3=2 1 1 2
I2 Z 2C1 b1 x1 expðKC1 x2 1 Þ C p 1=2
b x
1 1
2
C exp K x ð1 C erf b1 1 ;
x 
Þ
2 2 1
    
2 3 1 2
I3 Z 2 ð1 C b21 x2 1 ÞexpðK C x
1 1
2
Þ C p 1=2
b x
1 1
3
C b x
exp K x ð1 C erf b1 x1 Þ;
C1 2 1 1 2 1
 1=2  
p ax2
I4 Z ð1 C erf b2 x1 Þexp K 1
;
2ðC1 C 1Þ 2ðaK1Þ
  
1 ax2
I5 Z expðKC1 x2 1 Þ C p 1=2
b x
2 1

ð1 C erf b x
1 1

Þexp K 1
;
C1 C 1 2ðaK1Þ
 1=2  1=2
3 a
b1 Z ; b2 Z :
2ð2aK3Þ 2ð2aK1Þð2aK3Þ

Analysis of dependence Equation A1.18 shows (Figure A1.4) the curvature radius at the
summit is decreased with increase of the peak height (higher peaks is “more acute”), i.e., the
curvature is increased.
1=2 a: as a / 1.5 the mean curvature is directly
Its increase depends on bandwidth parameter
proportional to the peak height K m ZK 2m4 =3 x1 ; as a / 1.5 it becomes independent of the
peak height K m Z ð8=3Þðm4 =pÞ1=2 .

q 2006 by Taylor & Francis Group, LLC

Appendix 1: Methods of Description of Rough Surface 563

2.5

2.0
a=∞

Km /(m4)1/2
1.5

1.0 a=6

a = 1.5
0.5
a=2

0.0
−2 −1 0 1 2 3
ξ1*

FIGURE A1.4 Mean curvature of summits for different values of a.

It is pertinent to note that the dimensionless peak curvature is calculated by the formula:
pffiffiffi
K peak ðx1 Þ pffiffiffi xb C p expðx2 b2 Þð1 C erf xbÞðx2 b2 C 0:5Þ
pffiffiffiffiffiffi Z b a pffiffiffi ;
m4 1 C xb p expðx2 b2 Þð1 C erf xbÞ

where bZ 1=½2ðaK1Þ1=2 .
Comparison of peak and summit curvatures presented in Figure A1.5 shows that here, too,
there is a distortion of the surface by the profile. This distortion is small for a O2 within the range,
0% x1 % 3 which is of interest to tribological calculation. It is notable that the profile gives both
overestimated (a !2.5) and underestimated (a O2.5) values of peak curvature when compared to
the summit curvature.
Average roughness R’a is defined as mean value of absolute surface deviations from mean plane:
ðð
1
R’a Z jzðx; yÞdxdyj
A
A

where A is the area of the domain under consideration.

3.0

2.5 a = 1.5
Km /(m4)1/2

2.0
a = 2.5
1.5
a=4
1.0

0.5

0.0
0.0 0.5 1.0 1.5 2.0 2.5 3.0
ξ1 *

FIGURE A1.5 Comparison of peak (thin lines) and summit (thick lines) curvatures for aZ 1.5, 2.5 and 4.

q 2006 by Taylor & Francis Group, LLC

564 Electrical Contacts: Fundamentals, Applications and Technology

Two first moments of functional R’a are the mean

 1=2
2
R’a Z s (A1.19)
p

and the variance

ð Lð0 ðð
4s2 X
N
1  ð2kK1Þð0Þ 2
DR’a Z 4 F K 2k ðrÞdx1 dx2 dy1 dy2
L0 kZ1 ð2kÞ!
0

Here F(k)(X) is the derivative of the Laplace function; K(r) is the correlation function of
the field.
Bearing area ratio is defined in the following manner. Let the surface zZ z (x, y) is intersected
by horizontal plane parallel to the mean plane and far from it on some distance u. In this horizontal
plane regions are cut out by surface z. Their summary area referred to unit of the nominal area is
named the bearing area at level u and denoted by hu. The mean value of the bearing area is

hu Z 1KFðu=sÞ; (A1.20)

where

ð
N
1
FðxÞ Z expðKt2 =2Þdt:
ð2pÞ1=2
KN

The variance of functional hu is

ð Lð0 ðð
1 XN
1 h ðkÞ
u i1=2
Dhu Z 4 F K k ðx2 Kx1 ; y2 Ky1 Þdx1 dx2 dy1 dy2
L0 kZ1 k! s
0

The distribution of value hu may be assumed nearly normal with the mathematical expectation
h u and variance Dhu.

q 2006 by Taylor & Francis Group, LLC